The Sustainable World

The

Sustainable World

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

WITeLibrary Home of the Transactions of the Wessex Institute. Papers contained in The Sustainable World are archived in the WIT eLibrary in volume 142 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.

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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

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

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

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 A El-Zafrany Cranfield 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,

E R de Arantes e Oliveira Instituto Superior

H J S Fernando Arizona State University,

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

Portugal

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

Poland 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, D Gross Technische Hochschule Darmstadt,

M Karlsson Linkoping University, Sweden T Katayama Doshisha University, Japan K L Katsifarakis Aristotle University of

R Grundmann Technische Universitat

J T Katsikadelis National Technical

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

E Kausel Massachusetts Institute of

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 National Institute of Informatics, 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 S Heslop University of Bristol, UK 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

Thessaloniki, Greece

University of Athens, Greece Technology, USA

H Kawashima The University of Tokyo, 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 Urbana-

Champaign, 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 M Tanaka Shinshu University, Japan 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 P Vas University of Aberdeen, UK R Verhoeven Ghent University, Belgium A Viguri Universitat Jaume I, Spain Y Villacampa Esteve Universidad de Alicante, Spain 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, Germany

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

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

M Zador Technical University of Budapest, Hungary

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

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

N Zhong Maebashi Institute of Technology, Japan

H G Zimmermann Siemens AG, Germany

The

Sustainable World Editor C.A. Brebbia Wessex Institute of Technology, UK

C.A. Brebbia Wessex Institute of Technology, UK

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: 978-1-84564-504-5 ISSN: 1746-448X (print) ISSN: 1743-3541 (online) 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 carriedout 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. The Publisher does not necessarily endorse the ideas held, or views expressed by the Editors or Authors of the material contained in its publications. © WIT Press 2011 Printed in Great Britain by MPG Books Group, Bodmin and King’s Lynn. 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 a collection of papers presented at a series of meetings organised by the Wessex Institute of Technology (WIT) dealing with sustainability, the environment and ecological issues. The complexity of the modern world presents new challenges to scientists and engineers that requires finding interdisciplinary solutions. Any problem solving carried out in the isolation of a particular field of expertise may give rise to a series of damaging effects which can create new and unintentional environmental and ecological problems. Specialisation, while required in our culture, needs to be kept under control by the understanding of the whole, which leads to the need of relying on interdisciplinary teams. Nowadays this can be easily achieved thanks to the massive advances in information technology which ensure continuous and immediate contact between all partners. This collaboration needs to be effective and to produce results that will lead to a better world. For this to happen, it is necessary that different groups of scientists and engineers acquire the necessary skills to be able to talk to each other. Furthermore, they need to understand the social and economic aspects of a given problem, in addition to the scientific and engineering issues involved. The Wessex Institute of Technology (WIT) has a long and very successful record in organising interdisciplinary conferences. The papers in this book are a reflection of the proceedings of some of those meetings. WIT started as a centre of excellence for computational mechanics and evolved its interdisciplinary character in response to the demands and industry and society as a whole. Hence the contents of this book focused on problems associated to sustainable cities, urban transport, waste management, eco-architecture and sustainable tourism, are a reflection of WIT’s interests as well as those of the participants.

We are indebted to all authors for their contributions and to the organising committee members of the different meetings for their help in selecting the papers included in this Volume. Carlos A. Brebbia Director Wessex Institute of Technology The New Forest, UK, 2011

Contents Section 1: Sustainable city Ecological urban design through Material and Energy Flow Analysis and Life Cycle Assessment: from an architect’s perspective Z. C. Cai & R. Wennerstern................................................................................. 3 Determining the vitality of urban centres J. E. Drewes & M. van Aswegen........................................................................ 15 Relocating MIU to the cityscape: gentrifying Wynwood’s art district from industrial to institutional Y. A. Perez ......................................................................................................... 27 Sustainable cities: do political factors determine the quality of life? J. M. Prado, I. M. García & B. Cuadrado......................................................... 39 Forecasting low-cost housing demand in an urban area in Malaysia using artificial neural networks: Batu Pahat, Johor N. Y. Zainun, I. A. Rahman & M. Eftekhari....................................................... 51 Networks of public open spaces in the urban fabric E. Aga ................................................................................................................ 59 Linkages between responses to the available amenities and expressed environment-related health needs in international refugee camp, Oru-Ijebu, Nigeria A. O. Afon, M. A. Asani, S. A. Adeyinka, A. Z. Hasan, M. S. Jimah, T. U. Ilogho, T. G. Faborode, G. B. Faniran & K. O. Popoola......................... 69 Public participation in public private partnership projects – the way forward S. T. Ng, J. M. W. Wong & K. K. W. Wong........................................................ 79 BREEAM Communities in Spain A. L. Cabrita & J. R. Alvarez............................................................................. 89

Rural-urban gradient and sustainability in Spain: a municipal-scale approach O. de Cos, P. Reques & M. Marañón .............................................................. 101 Evaluation of the Kadıköy Hasanpasa Gasworks in the context of sustainable urban design S. Yuksel........................................................................................................... 109 The assessment of Kırkgöz Bridge in the context of sustainable, cultural and architectural heritage Z. Akdemir & G. Sener .................................................................................... 117 Two energy storage alternatives for a solar-powered sustainable single floor desert home M. A. Serag-Eldin ............................................................................................ 131 Urban walkers in medium-sized Portuguese cities: a study of Guimarães and Braga K. R. Rahaman, T. Alves & J. M. Lourenço..................................................... 145 Sustainable mobility – analysis of sustainable mobility measures in cities N. L. Sá & J. B. Gouveia.................................................................................. 157 High-speed railway: impact on regional territorial configurations A. de Meer & C. Ribalaygua ........................................................................... 169 Studies on the carrying capacity of water resources for sustainable cities in the Taijiang area Y. C. Lin & T. Y. Lee........................................................................................ 181 Local area greywater symbiosis approach to a more sustainable urban water management S. M. Zadeh, D. R. Lombardi, D. V. L. Hunt & C. D. F. Rogers ..................... 193 Global aerotropolis versus local aqua-community: conflicting landscapes in the extended Bangkok Metropolitan Region, Thailand S. Nasongkhla & S. Sintusingha ...................................................................... 205 Public participation in urban noise prevention Z. Baros & L. Dávid ........................................................................................ 217 Development of a unified treatment system for public use of discharged water from a Korean apartment complex for urban infrastructure regeneration C. Choi, K. Park, W. Park & H. Park.............................................................. 227

Transformative temporary use Z. Kotval, P. Machemer & J. Mullin ............................................................... 233 Challenges in managing infrastructure for urban tourism: a comparative study of three Asian cities J. Jamil & M. S. Puad...................................................................................... 243 Section 2: Eco-architecture A regenerative high-rise tower in Shreveport, Louisiana for community renewal international M. Garrison ..................................................................................................... 257 The eco-unit settlement adapted to the vernacular culture: a case study of dwelling design in the Chaoshan area of Guangdong Province, China Y. Z. Wang & Y. T. Chen.................................................................................. 265 For a rationalized refurbishment of the 1960s-70s towers: the Core-Skin-Shell concept L. Arantes, P. Rollet, O. Baverel & D. Quenard ............................................. 275 LABCOG: the case of the Interpretative Membrane concept L. Landau, J. W. Garcia & F. P. Miranda....................................................... 287 Study of the traditional tabique constructions in the Alto Tâmega region J. Pinto, H. Varum, A. Cepeda, P. Tavares, J. Lousada, P. Silva & J. Vieira .......................................................................................... 299 Section 3: Waste management The new national environmental management: Waste Act; a shift in waste management approach in South Africa O. Baloyi & K. Masinga .................................................................................. 311 Methods for sustainable management of secondary resources A. Pehlken, M. Rolbiecki, A. Decker & K.-D. Thoben ..................................... 323 Study on coal recovery technology from waste fine Chinese coals by a vegetable oil agglomeration process Q. Wang, N. Kashiwagi, P. Apaer, Q. Chen, Y. Wang & T. Maezono............. 331

Liquefaction processes and characterization of liquefied products from waste woody materials in different acidic catalysts Q. Wang, Q. Chen, P. Apaer, N. Kashiwagi, H. Kurokawa, K. Sugiyama, X. Wang & X. Guo..................................................................... 343 Comparative technology assessment of anaerobic digestion of organic fraction of MSW A. Cesaro, V. Belgiorno & V. Naddeo ............................................................. 355 Electrodeposition of Zn-Mn alloys from recycling battery leach solutions in the presence of amines P. S. D. Brito, S. Patrício, L. F. Rodrigues, D. M. F. Santos & C. A. C. Sequeira ............................................................... 367 Environmental impacts of improper solid waste management in developing countries: a case study of Rawalpindi City N. Ejaz, N. Akhtar, H. Nisar & U. Ali Naeem.................................................. 379 Effect of bacterial additives on the performance of septic tanks for wastewater treatment in the Upper Egypt rural area H. T. El-Zanfaly, A. Mostafa, M. Mostafa & I. Fahim..................................... 389 Monitoring the biomass content in the aerobic digestor of a WWTP: correlation between gravimetric and optical methods M. Salaverría, A. Elías, A. Iturriarte, L. Gurtubay & S. Paunero ................... 401 Utilization of agricultural residues as animal feeds for fattening sheep in Saudi Arabia H. Al Tonobey & H. M. El Shaer ..................................................................... 409 Recycling of exposed photographic X-ray films and recovery of silver using Bromelain K. V. Radha & C. Arun .................................................................................... 421 Malaysian newspapers coverage of waste issues: problems in need of solutions? H. A. Hamid, A. Hussein & S. L. Chu .............................................................. 431 Section 4: Urban transport Study for sustainable traffic strategy in local government perspective: a contribution towards a strategy for mobility V. Guerreiro da Silva & M. P. Amado............................................................. 445

The use of the city in space and time as a new social approach for prioritising transport corridors in the metropolitan area of Barcelona (Spain) J. Cerda & C. Marmolejo ................................................................................ 459 Integrated system for decision help in urban mobility management – towards sustainable urban area development: VISUTRANS C. Danoh, A. N’Diaye & J. Marchal ............................................................... 469 Locating intra city bus terminals using fuzzy logic with emphasis on city development and community alliance: case study of Tasuj N. Marsousi & K. Pourebrahim....................................................................... 479 About the characterization of urban public transport networks and their terminals Ş. Raicu, V. Dragu, Ş. Burciu & C. Ştefănică.................................................. 489 Prioritization of national road projects in Saudi Arabia: weighting of multiple criteria R. Abbyad & I. Kaysi ....................................................................................... 501 Evaluation of pricing tools in urban multimodal paths D. Ambrosino & A. Sciomachen ...................................................................... 513 An integrated approach for studying the safety of road networks: logistic regression models between traffic accident occurrence and behavioural, environmental and infrastructure parameters F. Crocco, S. De Marco & D. W. E. Mongelli................................................. 525 System requirements control and risks control: mind the gap A. Cointet & C. Laval ...................................................................................... 537 Rolling-stock change risk management: an innovative approach J. P. Bert & F. Jubert ...................................................................................... 549 Improving safety in Greek road tunnels K. Kirytopoulos, A. Rentizelas, I. Tatsiopoulos & K. Kazaras ........................ 557 Application of a genetic algorithm to reduce the search time for traffic signal control H. Kazama, H. Mochizuki, S. Takahashi & H. Nakamura............................... 569 Study of car emissions in the Athens Restriction Ring from the mid 1980s to 2007 with a prediction scenario for 2011 using air quality indices A. Loster-Mańka, K. Karkalis, G. Arapis & M. Jedziniak ............................... 581

Section 5: Sustainable tourism Sustainable tourism at mass tourist destinations: best practice from tourist producers in Europe A. Sörensson .................................................................................................... 593 Perceived impact of tourism on rural and urban communities in Botswana J. Pansiri & R. N. Mmereki ............................................................................. 605 Landscape evaluation on a regional level for sustainable tourism development I. Jurinčič......................................................................................................... 619 An appraisal of incentives for developing green hotel buildings P. Sloan, W. Legrand, C. S. Kaufmann & M. Belz........................................... 629 The hospitality sector: innovations addressing environmental concern E. Szymańska ................................................................................................... 641 Community-based tourism and the development of local small businesses in rural Baja California, Mexico G. Velázquez, J. Valderrama, J. Ruiz, O. Martínez, L. Morales, R. Verján & J. Flores....................................................................................... 653 The experience of stakeholder participation in tourism planning: operationalising ‘best practice’ B. C. Hall......................................................................................................... 665 Rural tourism as a factor of sustainable development: a case study of Sukur World Heritage Site in Adamawa State, Northeastern Nigeria W. Nzeda Tagowa ............................................................................................ 675 Rural eco-museums: tourism development based on sustained development models P. Miryousefi ................................................................................................... 689 “Can the UN WTO and the Colombian government policies promoting ecotourism, contribute to rural territorial development” H. Rojas-Pinilla ............................................................................................... 701 Networking among rural tourism entrepreneurs H. Farrell, G. Bosworth & R. Newbery ........................................................... 713 Alternative tourism: a pathway for sustainability in the Cabo Pulmo National Park, Baja California Sur, Mexico: a SWOT analysis A. Ivanova, R. Ibañez, A. Gamez & M. Angeles............................................... 725

Art and culture as a viable currency in Yoruba traditional architecture P. S. O. Aremu, O. J. Ajiboye & B. Abiodun.................................................... 737 Food tourism initiatives: resistance on the ground S. L. Slocum & S. Everett................................................................................. 745 Retrofitting potential of an existing tourist lodge for improved environmental performance: an investigation S. Bardhan, B. Ghosh, S. Hazra & M. Chatterjee ........................................... 759 The short-break holiday: assessing its understanding in the Northern Territory, Australia R. D. Sharma ................................................................................................... 771 Cycling in the city, reduction of greenhouse gas emissions and economic impact on tourism: case study of Puebla, Mexico Y. D. Bussière, I. Espinosa Torres, J.-L. Collomb & E. Ravalet ..................... 779 Author Index .................................................................................................. 791

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Section 1 Sustainable city

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The Sustainable World

3

Ecological urban design through Material and Energy Flow Analysis and Life Cycle Assessment: from an architect’s perspective Z. C. Cai1,2 & R. Wennerstern2 1

School of Architecture, Southeast University (SEU), China Department of Industrial Ecology, Royal Institute of Technology (KTH), Sweden

2

Abstract The process of ecological urban design was studied through the perspective of Material/Energy Flow Analysis from an architect’s viewpoint. The study examined how to control and adjust the production, transportation, distribution and consumption of material and energy flows in built environment systems, and how to analyse the relevant ecological design methods. Two environmental methods were used, Material/Energy Flow Analysis as the main method and Life Cycle Assessment as a parallel method, to analyse the ‘integrated efficiency’ of material and energy utilisation in the built environment and its significance for sustainable design. The analysis was applied to two cases: Material Flow Analysis of household wastewater treatment and Energy Flow Analysis of energy for heating and cooling buildings. Keywords: Ecological Design, built environment, Material/Energy Flow Analysis, Life Cycle Assessment.

1 Introduction Urban development is a complex process involving multiple stakeholders, e.g. government, developers, engineers, contractors, residents, etc., and different physical flows, e.g. water, solid waste, energy, foods, etc. The development also covers a long time span including construction, operation and demolition. Nowadays decisions regarding urban development are becoming increasingly complex because decision-makers have to consider social, economic and of course environmental aspects. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100011

4 The Sustainable World The concept of Ecological Design has been defined as “…any form of design that minimizes environmentally destructive impacts by integrating itself with living processes” [1]. Thus, ecological urban design tries to minimise the impacts of the built environment on natural systems and to maintain harmony between the human environment and nature. This latter objective consists of two parts, i.e. that while maintaining a certain standard of living, urban development should minimise its inputs of natural resources and energy from the exterior and its outputs of pollutants to nature. From the perspective of Material and Energy Flow Analysis (M/EFA), ecological urban design involves adjusting and influencing the production, transportation, distribution and consumption of material and energy flows through forms of land use planning and physical space design in which the natural and built environments are integrated and human impacts on nature are minimised. Conventionally architects have concentrated on functionality and aesthetics in architecture and urbanisation, while neglecting materials and energy consumption behind the physical forms. They have therefore contributed little to the sustainability of the contemporary built environment. In view of the complexity of urban development, decision-making methods are necessary as an analytical tool for architects to choose the most sustainable solutions. The ecological design of a particular urban project reflects holistic thinking on material and energy flows. This approach involves examining the wider environmental impact on both a temporal and spatial scale. In the temporal perspective, the formerly used static environmental impact assessment should be replaced by a life cycle assessment covering raw material extraction, transportation, construction, operation and maintenance, renovation and demolition. In the spatial perspective, the emphasis should be expanded from project level to higher levels, e.g. urban, regional, national and even global. Therefore, ecological urban design through M/EFA should have the global biosphere in mind and trace all relevant flows in order to solve problems on the appropriate local levels. This involves thinking globally and acting locally.

2 Material and Energy Flow Analysis and Life Cycle Assessment There are two environmental analytical tools that can be used for ecological urban design through M/EFA: Material/Energy Flow Analysis and Life Cycle Assessment. The aim of the Material/Energy Flow Analysis is to specify and quantify the pathways of materials/energy into, through and out of specified system boundaries. This system can be on national, regional, community, company or even household scale. In general, material/energy flows in society are determined in a quantified manner. The entire circular flow of materials/energy is considered from the extraction of resources through processing and manufacture, use and recycling of the materials/energy to the point of final disposal. The capacity of the environment to absorb the pollutants and emissions produced is also taken into consideration. There are two main approaches in M/EFA: analysis of the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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flows of bulk materials (MFA) and analysis of flows of a single substance or a group of substances (SFA). M/EFA can be employed to analyse the environmental impact on a spatial dimension. M/EFA can be used to:     

Determine the major flows and stocks Predict future problems at an early stage Trace the fate of inflows Link specific pollution problems to their origin in society Assess the consequences of management changes on environmental flows and stocks.

Life Cycle Assessment (LCA) is a tool for analysing the life cycle of a product, service or project by evaluating its different flows (material and energy) and its environmental impacts throughout its lifespan. It is often described as a ‘cradle-to-grave’ tool, which means analysis of the materials used in making a product or service from extraction of materials and energy through to the return of the materials to the earth. LCA is also important for technology choices or process analysis. A full LCA consists of four main phases (part of the ISO 14000 environmental management standards) [2]:   



Goal and scope: Definition of the system boundaries and description of the method/s applied for assessing potential environmental impacts Life Cycle Inventory (LCI): Collection of data (for inputs and outputs for all unit processes affected) and system modelling Life Cycle Impact Assessment: Evaluation of the potential environmental impacts from the emissions (global warming, acidification etc.), often referred to as Life Cycle Impact Assessment (LCIA) because it is based on the LCI results Interpretation: Establishment of conclusions. This phase is the most important one since it indicates whether the ambitions from the Goal and scope phase can be met.

Life Cycle Assessment helps to establish systematic thinking in order to analyse the whole life of an environmental issue, so that and ‘out of sight, out of mind’ and ‘problem shifting’ responses can be prevented. It also helps to trace the environmental burdens to the original sources. LCA is a comprehensively used quantitative method, and can be employed to analyse environmental impact in a temporal dimension. In general, M/EFA and LCA are used in a quantitative way to evaluate all relevant environmental impacts. However, in the present study they were used as qualitative tools that could help architects and urban designers i) understand the broader process of material and energy flows and ii) establish a Life Cycle Perspective to analyse different stages of the life cycle of ecological urban design. Considering architects’ background and the nature of their work, they are unlikely to carry out the scientific and quantitative research themselves, but implement and combine the results produced into physical forms through design. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

6 The Sustainable World Architects and urban designers work as a bridge between research and realistic construction and thus a qualitative approach is more useful and feasible for these professionals.

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Ecological urban design through M/EFA and LCA

3.1 Integrated Efficiency (Ei) When M/EFA and LCA are applied to an urban project, the spatial level chosen is a key factor influencing the results. Different levels have different issues and measurements. The global built environment can be divided into eight levels: global, sub-continental, regional, city, urban district, neighbourhood, building cluster, and single building. Of these, architects and urban designers deal with Table 1:

Physical spatial levels and environmental issues.

Global

Climate change

Sub-continental

Energy and resources Environmental protection Bio-diversity Landscape ecology

Regional City & Urban District

Bio-climatic planning Integration of land use and urban transportation：TOD model

Urban Neighbourhood

External resources and energy supply: Material/Energy Flow Analysis Bio-climatic planning and design Local natural resources Urban density: FAR analysis, effective and mixed land use Waste treatment: Source separation, recycling, reuse Local agricultural development and greenland planning

Building Cluster & Single Building

High comfort, low energy, low emission, reuse Material/Energy Flow Analysis

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projects from the level of single building to the level of city. Table 1 shows interlinks between different physical boundary levels and related environmental issues. Material and energy flows, as basic issues of ecological design, proceed from the very beginning (nature) through all the relevant levels and back to the very beginning (nature) again. For a certain urban project, energy flows may include electricity, heating, cooling, mechanical, etc., while material flows may include water, fuel, building materials, agricultural products, industrial products, sewage, solid waste, greenhouse gases, etc. In a more general sense, human movements can also be regarded as a material flow, so urban transportation can be analysed by M/EFA. At the urban level, the flows of materials and energy can be divided into four stages: external supply or local production, transportation, distribution, consumption (Figure 1). After these four stages, part of materials and energy can be recycled or reused, while others become environmental burdens that need to be absorbed naturally or treated artificially. Moreover, some flows will be accumulated as different types of pollution. However, each stage has different possibilities to reduce environmental impacts (Figure 1). The chart presented in Figure 1 varies slightly when used to indicate specific flows. One of the main objectives of ecological urban design is to utilise materials and energy with a high efficiency, which means achieving more services with less material and energy consumption. Integrated Efficiency considering all stages of material and energy flows is essential to ecological design. Integrated Efficiency (Ei) consists of: 1) Production Efficiency (Ep): Ep shows the efficiency of producing a certain material or energy. In terms of ecological urban design, it means how the urban project obtains its supply of materials and energy. For instance, electricity can be obtained directly from the national grid or produced by a local facility such as PV panels or local power generator. The goal of ecological design is to maximise the use of renewable materials and energy. Reuse & Recycling

Supply or Production

Renewable & clean

Figure 1:

Transportation

Efficiency, distance reducing

Distribution and working

Demand and Consumption

Efficiency improving

DSM, Waste minimising

Conceptual model of M/EFA in an urban area.

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8 The Sustainable World 2) Transportation Efficiency (Et): Et shows the efficiency during the transportation of a certain material and energy flow from production point to target point. Thus it shows how much extra materials and energy are used to support certain flows and how much of the flows is lost during transportation. Improving Et includes reducing transportation distance and decreasing avoidable losses. 3) Working Efficiency (Ew): Ew indicates the efficiency of certain material and energy flows to fulfil a specific service requested by human needs. This stage is very important for ecological design. Type of equipment or working system can have a major effect on working efficiency. 4) Saving Efficiency (Es): Es is connected with life style and standard of living. It means the material and energy saved because of environmental awareness leading to a change in life style, and sometimes because of improved design leading to lower demand. Es shows the high potential of people’s subjective attitude towards environmental protection and the great potential of good design. From a holistic point of view, the Integrated Efficiency (Ei) of a system is the combined effect of these four Efficiencies, which can be expressed conceptually as follows: f (Ei) =Ep×Et×Ew×Es This conceptual equation means the four stages in material and energy flows should be considered holistically, without focusing too much on one stage or another, because the overall efficiency of a system may be low in spite of high efficiency in a certain stage. More problematically, the four Efficiencies often contradict each other, so focusing too much on one stage could even harm the other stages. Therefore, the Integrated Efficiency controls the whole process of material and energy flows within a certain spatial boundary. The concept of Integrated Efficiency is explained in detail in the following section using two examples: Material Flow Analysis (MFA) of household wastewater treatment; and Energy Flow Analysis (EFA) of energy for heating and cooling buildings.

3.2 Case study 3.2.1 Material Flow Analysis of the household wastewater treatment process The Material Flows in household wastewater treatment comprise a four-stage process of wastewater being generated in houses, running through pipes, being treated and finally being recycled or returned to the natural environment (Figure 2). 1) Wastewater generation Wastewater is generated by daily activities such as cooking, flushing toilets, bathing and laundry. Wastewater consumption can be decreased by reducing WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Wastewater Generation

Wastewater Transportation

Emissions reducing

Simple life Efficient equipment

Wastewater Treatment

Wastewater Recycling

High efficiency

High efficiency

Amount maximising

Distance reducing

Local treatment

Water price

Efficient system

Fraction treatment

Water policy

Wastewater separation Figure 2:

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Effective management

Conceptual model of MFA of household wastewater.

unnecessary use and by using water-efficient equipment. Applying MFA with a holistic view, wastewater separation at source is important in ecological design to avoid different kinds of wastewater being mixed and then having to be separated again in the wastewater treatment plant. 2) Wastewater transportation The modern sewage system based on the flushing toilet was invented in Europe in the 19th century. It has played a major role in preventing the spread of diseases and in reducing pollution, but the obvious drawback is that it needs huge amounts of tap water. Furthermore, all kinds of wastewater are mixed and transported to the municipal wastewater treatment plant via the sewer system. Wastewater crosses different physical levels, including building, building cluster, neighbourhood and urban district. With the expansion of urban boundary, it costs more to build all the necessary plants and install sewage infrastructure. Wastewater separation at source and local treatment could reduce all costs substantially. 3) Wastewater treatment The nutrients in the conventional wastewater treatment system are difficult to remove or recycle to farmland and cause eutrophication problems in receiving waters. On the other hand, agricultural land is lacking in these same nutrients and has to rely heavily on chemical fertilisers, the manufacture of which is highly energy-intensive.

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10 The Sustainable World 4) Wastewater recycling It is often forgotten that urban wastewater is an important and reliable water resource. After simple treatment, the majority of source-separated wastewater could be reused for industrial purposes, watering vegetation, washing urban streets, etc. Discussion The qualitative MFA of household wastewater and possible ecological design methods during different stages to reduce environmental impacts are shown in Figure 2. Reducing wastewater at source is key to the whole system. Wastewater separation at source is essential to decrease the total cost of wastewater treatment, because the initial cost of building source-separation facilities will be easily repaid by the huge savings made. Most of the wastewater generated from cooking, bathing and laundry could be treated locally to reduce the cost of transportation, although the efficiency of local, small-scale treatment plants is lower than that of urban, large-scale plants. Therefore, holistic thinking should be employed and the Integrated Efficiency should be considered as the deciding factor. 3.2.2 Energy Flow Analysis (EFA) of energy for heating and cooling buildings The Energy Flow of energy for heating and cooling buildings comprises the four-stage process of energy being produced and supplied from the exterior of a certain physical boundary or produced locally, being transported through several spatial levels, being distributed to buildings and working by being transformed into heating and cooling to provide an expected indoor thermal comfort demanded by modern life. 1) Energy production Essentially, all energy on earth derives from the sun. Fossil fuels such as oil and coal originate from the solar energy accumulated millions of years ago. They are non-renewable in terms of the short human lifespan. To minimise the impacts of a building, renewable energy types such as solar, wind, geothermal, hydraulic, etc. should be used to replace fossil fuels as much as possible. 2) Energy transportation Energy transportation indicates how the primary energy obtained from nature is transformed and transported to buildings. Fossil fuels normally cannot be used directly for heating and cooling, but the energy embodied in them is easy to transform into electricity or thermal energy and to transmit through different spatial boundaries. Renewable energy types such as solar energy and geothermal energy are low value exergy that needs special technology in order to be utilised for heating and cooling and are difficult to transport over long distances.

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3) Energy distribution and work Energy supplied to the outside of buildings needs specialist equipment to work as heating and cooling. There are two ways to distribute heating and cooling: convection or radiation via steam or water. The efficiency of ceiling (or floor) cooling and heating by radiation is generally higher than that of radiators operating mainly by convection. Furthermore, it is easy to utilise low value exergy in ceiling (or floor) cooling and heating. 4) Energy demand Total energy demand includes direct energy demand for consumption and indirect energy losses from buildings. Therefore, there are two approaches to decrease energy demand: Direct energy demand can be decreased by good designs, such as exterior sun screens in hot regions to decrease the cooling load, bio-climatic designs to set the orientation and openings of buildings, etc. Another measure is to tolerate a more reasonable indoor temperature, such as a higher temperature in summer and a lower temperature in winter. However, this measurement is related to life style and people’s expectations of comfort. Indirect energy loss can be decreased by improving building envelopes through better thermal insulation, air-tight windows, reducing the area of glass in cold regions, etc. Discussion From raw fossil fuels to the final heating and cooling utilised in buildings, there can be different stages that pass through different spatial levels (Figure 3). For the objective of ecological design to save energy and materials holistically, all stages have to be considered equally. Any approach that focuses on the efficiency in one stage while neglecting others may result in harm to the whole system. For example, some ‘hi-tech’ buildings use a range of complicated and delicate equipment to reduce direct energy consumption and are declared energyefficient. However if the energy and resources consumed by the production of this equipment and its maintenance are taken into account using a life cycle perspective, the ‘hi-tech’ buildings may turn out to be more energy-consuming than their ‘low-tech’ counterparts. An example from this area confirms the importance of Integrated Efficiency. Heating and cooling produced by geothermal heat pumps (GHP) comes from renewable energy. Moreover, GHP are more efficient than conventional boilers. However, the low temperature heating by GHP cannot be transported over a long distance, so it applies to levels lower than the urban neighbourhood level. In contrast, high temperature heating by boilers can be transported over long distances by water or steam but uses large amounts of pipe work and thermal insulation, while there are also losses during the process.

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Energy Production

Energy Transportation

Renewable energy

High efficiency

Fossil fuels

Distance reducing

Solar energy Wind Geothermal Biomass …… Figure 3:

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Local energy production: Heat pump, solar panel…

Energy Working

Energy Demand

High efficiency

Demand minimising

Smart system

Good design: Shading, natural ventilation

Floor heating & cooling Ceiling heating & cooling ……

Good management

Conceptual model of EFA of energy for heating and cooling buildings

Conclusion

Due to the complexity and uncertainty of the built environment, conventional design methods with subjective and empirical analysis cannot effectively deal with environmental issues. Rational analysis becomes an indispensable step for ecological design, since otherwise the environmental objectives cannot be fully achieved through designing. Systems thinking is crucial to ecological urban design. Different spatial levels in the built environment are interconnected and interactive. Different stages of material and energy flows are interwoven with spatial levels into an integral system that should be treated holistically without neglecting any stages or any levels. Material/Energy Flow Analysis and Life Cycle Assessment are two widely used environmental systems analysis methods. They allow the impacts of certain design proposals to be evaluated from both a spatial and temporal perspective. Although it may be difficult for architects and urban designers to use the two methods quantitatively, they can be extremely helpful when used qualitatively to establish systems thinking that renders ecological urban design proposals realistic and effective.

Acknowledgement This research was funded by National Natural Science Foundation of China. Project name: Transition and Redevelopment of Old Urban Industrial Areas in the Post-Industrial Period. Project number: 50878045. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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References [1] Van der Ryn, S & Cowan, S. 1996. Ecological Design. Washington D.C.: Island. 17-32. [2] Nicoline Wrisberg, etc. editor. 2002 Analytical Tools for Environmental Design and Management in a Systems Perspective. Kluwer Academic Publishers. 45-46.

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Determining the vitality of urban centres J. E. Drewes & M. van Aswegen North West University, Potchefstroom Campus, South Africa

Abstract This paper will attempt to provide an encompassing Index of Vitality for urban centres. The Vitality Index’s© goal is to enable measurement of the general economic, social, physical, environmental, institutional and spatial performance of towns within a regional framework, ultimately reflecting the spatial importance of the urban centre. Towns have been measured in terms of numerous indicators, mostly in connection with social and economic conditions, over an extended period of time. The lack of suitable spatial indicators is identified as a significant shortcoming in the measurement of urban centres. This paper proposes the utilisation of a comprehensive index to measure the importance of an urban centre within a specific region. The Vitality Index© is consequently tested in a study area situated in the Northern Cape Province, South Africa. This study contributes in a number of ways to the measurement of urban centres, i.e. the shortcomings that are identified for the urban centres can be addressed by goal-specific policy initiatives, comprising a set of objectives and strategies to correct imbalances. The Vitality Index© also provides a basis for guiding national and regional growth policies, in the identification of urban centres with sustainable growth potential and vitality. Keywords: sustainability indicators, measuring urban centres, importance of urban centres, sustainable housing, spatial planning; policy, South Africa.

1 Introduction Various indicators have been designed and are recognised to provide a quantitative evaluation of an urban centre. Included are indicators describing economic growth, accessibility, sustainability, quality of life and environmental quality. In Developing Countries, basic indicators like access to engineering services, employment levels and availability of public transport form the main WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100021

16 The Sustainable World urban evaluation indicators (DBSA [1]). In Developed Countries, on the other hand, indicators used to evaluate and describe cities focus more on standards of living, environmental quality and accessibility (Schneider [2]). In the course of time these indicators have also progressed in terms of focus. In recent times, the focus has shifted towards qualitative issues like quality of living, although the main focus is still on economic growth and production. In the post-modern era, cities are generally analysed and evaluated by means of indicators reflecting sustainability, competitiveness, global impact and environmental quality. These are qualitative indicators. Numerous technical and / or spatial planning indicators have also been compiled to aid in the spatial planning process (i.e. central place index, locality index, and income and labour indexes). These spatial planning indicators have not, however, been included in assessing the spatial importance and vitality of urban centres within a particular region. This disregard of spatial measures is emphasised by this study as a shortcoming in the measurement and assessment of urban centres within regions. Most of the foregoing indicators refer to quantitative measurements. Arguably, several qualitative issues also need to be taken into consideration, e.g. the sense of community and sense of place linked to a certain urban structure. The quantitative indicators do not necessarily reflect the total of the unique social characteristics of a city (Liu [3]). The main problem statement amounts to a lack of integrated and encompassing indicators that reflect on the urban structure as an organic entity, i.e. the inclusion of all the preceding indicators into an encompassing index. The proposed index will then reflect on a city’s vitality. Vitality describes the ability of an organism to stay alive or work effectively. The Vitality Index© will encompass indicators that represent the ability of an urban centre to stay alive, be viable, and function satisfactorily in order to provide for the basic needs of the community and improve the lives of all residents in the long term.

2 Urban indicators: an integrated perspective In the mid 1960s a growing dissatisfaction with the availability of quality social information prompted the “social indicators movement” (Carley [4]). This was due to the growing concern of too much attention being directed to economic performance and indicators. The term social indicators encompassed a wide variety of indicators of socio-economic well-being and quality of life. Social indicators can be divided into a number of broad classifications (Carley [4]), of which the distinction between objective and subjective indicators is probably the most widely used. According to Land [5] social indicators can be further divided into normative welfare indicators, satisfaction indicators, and descriptive social indicators. Normative welfare indicators closely correlate to objective indicators since they refer to direct measures of welfare, i.e. income. Descriptive indicators are an encompassing index of a number of indicators which measure social conditions within an urban centre or urban centres.

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SOCIAL INDICATORS

Objective Normative Welfare Indicators Figure 1:

Subjective Descriptive Social Indicators

Satisfaction Indicators

Types of social indicators (own representation). VITALITY INDICATORS

Normative welfare indicators

Descriptive social indicators Figure 2:

Satisfaction indicators

Spatial indicators

Subgroups of Vitality Indicators.

3 Subgroups of indicators The aforementioned groupings of indicators will form part of the four subgroups in the Vitality Index©. The remaining indicators that do not fall in the scope of one of these subgroups are mainly measures of spatial importance, and will hence be categorised under a fourth subgroup, i.e. spatial indicators (Land [5]). This study will attempt to identify and create a comprehensive index. Only the indicators of highest value and importance will be highlighted and included in the index. A number of indicators were identified to be part of the final Vitality Index©, taking into account the availability of data and relative importance of the indicator. 3.1 Normative welfare indicators Normative welfare indicators are objective indicators which act as direct measures of welfare within a community or region (Land [5]). The first indicator of normative welfare refers to the basic-nonbasic relationship, which describes the relationship between services and products provided for the local community (nonbasic), and services and products exported to the surrounding region (basic) (Alexander [6]). The presence of a large export base (basic sector) may indicate future economic growth and development (Alexander [6]). The larger the export WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

18 The Sustainable World base, the more revenue is collected from outside the urban centre. Money is consequently not only circulated within the community, as with non-basic services, but money is added to the local economy. The second indicator that may be categorised as a normative welfare indicator is the GDP. In the past, public policy-makers generally relied on the GDP as a primary measure of a nation’s well-being (Van der Merwe et al. [7]). Although numerous criticisms were levelled at the GDP, it can still play a role in measuring economic activity within a region or urban centre and data are fairly readily available for the whole of South Africa (RSA [8]). In the third place, the income of a community may be categorised as a normative welfare indicator. The income of a community is representative of its ability to satisfy its basic needs (DBSA [1]). This indicator correlates to the employment level and GDP of a community. 3.2 Satisfaction indicators In this subgroup two indicators are most prominent as representative of life satisfaction. First, a person’s perception of the environment may be said to be indicative of his satisfaction in general. Secondly, the concept of Quality of Life (QOL) attempts to quantify a number of general indicators to reflect a community’s general feeling of well-being and satisfaction. This index comprises numerous variables such as material well-being, health, political stability and security, family life; community life; climate and geography, job security, political freedom and education. These indicators are not so much indicators of growth and development, as they are measures of the impact of growth and development (Venetoulis and Talberth [9]). 3.3 Descriptive social indicators The subgroup of descriptive social indicators takes into account a large number of indicators, including physical, demographic, institutional and labour indicators. Land [5] described this subgroup as an encompassing index of indicators of social conditions and changes therein over a period of time for various sectors of the population. These indicators are all based on objective quantitative data and are, therefore, fairly readily available and easy to interpret. The physical indicators are infrastructure and transport. Infrastructure is measured according to the availability of engineering and basic services. The second group of descriptive social indicators is the demography of a region or town. Demography includes indicators such as population, population growth rate, age and gender distribution, level of education and life expectancy. In the third instance, labour and employment can also be classified as a descriptive social indicator. The final descriptive social indicator that is proposed to be included in this subgroup is that of institutional capacity. This indicator refers to the capacity of local government to provide basic services to the community as well as the capacity to manage the urban centre in question as efficiently as possible. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3.4 Spatial indicators This study is focussed on the field of regional planning, and the spatial aspects of performance and growth should therefore play a central role in the Vitality Index©. Spatial indicators have not been proposed by any of the authors or researchers on indicators or social indicators. Most of the indicators researched during this study provide for a comparison of urban centres, but not for the classification of centres in terms of regional importance. It is proposed that the following spatial concepts be included as spatial indicators, i.e. (i) the reason for the town’s continued existence; (ii) the position of the town within the urban system; (iii) the hierarchical position of the town in the region; (iv) the presence of development corridors in the region; and (v) existing policy initiatives as proposed by national, provincial and district governments. The first measure of spatial importance to be included is the central place system and town’s relative importance in the region based on the centrality of the town and the services it provides to the surrounding region. Boudeville [10] described a regional growth pole as a number of growing industries situated in an urban area and stimulating further development of economic activity throughout its sphere of influence. The growth-pole concept is thus regarded as an important indicator of future spatial growth and performance in a regional context. The position of an urban centre in the hierarchical distribution of is also indicative of the relative importance of the specific centre in the region. A town’s hierarchy can be linked to its urban field, whereas the size of the urban field of a town will be directly proportional to its hierarchical order. The levels of relations in the urban system will differ in scale and composition at different levels of urban hierarchy (Berry and Horton [11]; Bourne [12]). Another spatial indicator is the existence and relative location of development corridors since development corridors stimulate growth and development in nodes (Richardson [13]). It is proposed that existing policy initiatives also be included as a Spatial Indicator. Urban centres mentioned in spatial policy documents on National, Provincial and District level are regarded as centres of potential growth, and therefore receive additional incentives to encourage growth.

4 Empirical study The proposed study area used to test the Vitality Index© is situated in the Northern Cape Province, South Africa. The Northern Cape Province is sparsely populated and has very few large urban centres occurring at irregular intervals and has a fairly homogeneous geography. The homogeneous plain (Dicken and Lloyd [14]) is also highlighted by theorists of simplified settlement theories as a way of simplifying the complexity of space economy. Research in South Africa is mostly focused on the metropolitan areas and larger urban centres in the country (SACN [15]). Unlike many other provinces, the Northern Cape has not been the subject of many research studies. This study WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

20 The Sustainable World will therefore attempt to make a contribution to undertake research in an area of the country which has not been researched extensively. The study will concentrate on urban centres within the two District Municipalities, in question, which include the following Local Municipalities and centres: a) Frances Baard DM (Sol Plaatjie LM: Kimberley; Dikgatlong LM: Barkley West, Delportshoop, Windsorton; Magareng LM: Warrenton; Phokwane LM: Jan Kempdorp, Pampierstat, Hartswater), and b) Kgalagadi DM (Moshaweng LM: Heuningvlei, Tsineng, Bothithong; GaSegonyana LM: Kuruman, Mothibistad; Gamagara LM: Deben, Kathu, Dingleton, Olifantshoek) These two district municipalities are adjacent to each other and have specifically been selected since they include a large number of urban centres of different hierarchical levels in the national, regional, and daily urban systems. The study area furthermore fits into the core-periphery model, with certain centres forming part of the core, while other centres and development corridors are included in the transition zone, and the periphery (Friedmann [16]). Due to the extent of the Northern Cape it is sparsely populated, with few national roads (i.e. N8 and N12) passing through. The latter is important due to the importance of a development corridor and the influence it has on the urban centres close by. Since the Northern Cape is such a large province with numerous smaller settlements, the infrastructure is mostly insufficient in smaller towns. This will enable the study to determine the importance of infrastructure as an indicator of vitality. This study will relate all data back to the largest town within each local municipality, as identified according to the size of population. This is as a result

Figure 3:

Study area – Northern Cape Province, South Africa.

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of the Local Municipality’s political importance, and spatial initiatives which are mainly focused on main urban centres in terms of SDF`s (Spatial Development Framework) and IDP`s (Integrated Development Plan). The NSDP [17] proposes to focus upon localities that demonstrate some economic potential and high levels of social need, since greater benefits will be achieved by focussing resources and effort on these localities.

5 Vitality indicators The Vitality Index© comprises each of the aforementioned subcategories, i.e. normative welfare, satisfaction, descriptive social and spatial indicators. The Vitality Index© will be determined for each municipality by adding all the scores for each subcategory, i.e. Vitality Index = (¼) Normative welfare indicator score

(1)

+ (¼) Satisfaction indicator score + (¼) Descriptive social indicator score + (¼) Spatial indicator score The Vitality Index© is consequently determined by making use of the scores obtained in each of the four subcategories. Each subcategory consists of n indicators, each of which is individually scored in terms of the proposed quartile system. The scores for the indicators are added up to constitute a total score out of a possible total of (n*4) – a maximum score of four per indicator can be obtained. A percentage value for the subcategory is calculated. The subcategory could obtain a score (from one to four) based on the quartile system or the percentage values could be used. The Vitality Index© is calculated as the total of the percentage value of each of the subcategories (thus resulting in a total out of four hundred). The Vitality Index© can be presented in three ways, as illustrated in the subsequent table. Firstly, the percentage values for each subcategory could be added up and converted to a percentage, namely the Vitality Percentage. On the basis of this vitality percentage, each of the urban centres can be scored in terms of the proposed quartile system, obtaining a Vitality Score of between one and four. The vitality percentage could also be used to rank the urban centres in the specific region; viz. the centre with the highest percentage will receive the highest ranking (subject to the number of urban centres in the study area) resulting in the Vitality Ranking. To determine a broad classification of urban centres one will make use of the vitality score, whereas a more in-depth study of urban centres will call for the vitality percentage to be utilised. The Vitality Ranking could be used in order to give a brief overview of the vitality position of each urban centre within the broader region. The table below illustrates the final Vitality Index© Score, as proposed by this study, for each municipality. This table suggests that Kimberley (Sol Plaatjie Municipality) is the urban centre with the highest vitality. Kathu (Gamagara Municipality) surprisingly WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Satisfaction indicators

Normative welfare indicators NWI = total indicator score/n

SI = total indicator score/n

Score indicators X1, X2………….Xn

Score indicators X1, X2………….Xn

Score

Score

1= 0-24%

1= 0-24%

2= 25-49%

Percentage

2= 25-49% 3= 50-74%

3= 50-74%

4=

4=

75-

VITALITY INDEX

75-

Score

1= 0-24%

1= 0-24%

2= 25-49%

2= 25-49%

3= 50-74% 4=

3= 50-74%

Rank

4=

75-

75-

Score

Score

Score indicators X1, X2………….Xn

Score indicators X1, X2………….Xn

DSI = total indicator score/n

SPI = total indicator score/n

Descriptive social indicators

Figure 4:

Spatial indicators

Methodology of Vitality Index©.

illustrates the second highest vitality percentage with 66, 39%, which could be ascribed to the mining activities and rapid economic growth within the mining sector. Kathu (Gamagara Municipality) is followed by Kuruman (Ga-Segonyana Municipality), Jan Kempdorp (Phokwane Municipality), and Barkley West (Dikgatlong Municipality), each of which obtained a vitality score of three.

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Table 1: Indicator Ga-Segonyana Normative 2 welfare indicator score Satisfaction 3 indicator score Descriptive 3 social indicator score Spatial 4 indicator score Vitality Index %

©

Vitality Index Score

©

Vitality Index rank

©

Gamagara

23

Vitality Index© scores. Moshaweng

Phokwane

Sol Plaatjie Dikgatlong

Magareng

4

3

3

3

3

1

3

3

3

3

3

3

3

2

3

4

3

3

4

2

2

4

2

2

63.89

66.39

48.54

56.60

77.71

53.75

41.60

3

3

2

3

4

3

2

5

6

2

4

7

3

1

These towns thus show the ability to perform their tasks effectively and to provide for the needs of their residents. Bothithong (Moshaweng Municipality) and Warrenton (Magareng Municipality) on the other hand have low levels of vitality with a score of two each and are thus ranked low with regard to spatial importance within the study area as a whole. The table also allows for a more detailed interurban evaluation of the subcategories. It should be noted that the gap between the highest and second highest rank is more than ten percent – Kimberley thus excels as a definite core centre within the study area. It is therefore possible to use the Vitality Index© on two different levels, whether for a broad categorisation or for a detailed ranking, in accordance with the needs of a study.

6 Synthesis and recommendations This study is focused on the spatial importance of urban centres within a larger study area or region. It is important that each of the indicators discussed be related back to what it measures. The indicators are related back to the immeasurable concept, i.e. spatial importance, for which it is a substitute. The purpose of the Vitality Index© was to serve as a comprehensive index measuring the importance of an urban centre within a larger region. It is also possible to apply the Vitality Index© to different study areas throughout the world. The Vitality Index© also allows for additional indicators to be included in the subcategories identified. Indicators could subsequently also be discarded if deemed unnecessary for the specific goal or region in mind. This study identified a limitation with regard to existing indicators and therefore the spatial aspects of urban centres should also be considered when a region is measured. Furthermore, this study confirmed the fact that qualitative WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

24 The Sustainable World indicators were ignored in existing methods of urban centre measurement. As urban centres exist and function within a larger region all urban centres are interrelated, this study proposed the utilisation of a comprehensive index to measure the importance of an urban centre within a specific region. This study contributed in a number of ways to the measurement of urban centres, including the classification of urban indicators into four broad categories, i.e. normative welfare, satisfaction, descriptive social and spatial indicators. Different methods were proposed for calculating the Vitality Index©, including the ranking and scoring of urban centres. This made it possible to determine the ability of an urban centre to function satisfactorily over time and to stay vibrant and viable. It was proposed that shortcomings that were identified for the urban centre be addressed by policy initiatives, comprising a set of objectives and strategies to correct imbalances. The Vitality Index© also provides a basis for informing national and provincial growth policies, in the identification of urban centres with sustainable growth potential and vitality.

References [1] DBSA. Guidelines to regional socio-economic analysis. DBSA: Johannesburg. 54p. 2001. [2] Schneider, M. 1976. The quality of life and social indicators. Public Administration Review, 1: 297-395. 1976. [3] Liu, B. Quality of life: concept, measure and results. The American Journal of Economics and Sociology (34)1: 1-12. 1975. [4] Carley, M. Social measurement and social indicators. George Allen & Unwin: London. 195p. 1981. [5] Land, K.C. Social Indicators. Annual review of Sociology, 9: 1-26. 1983. [6] Alexander, J.W. The basic-nonbasic concept of urban economic functions. Economic geography, 30: 246-261. 1954. [7] Van der Merwe, C., Mohr, P.J., Botha, Z.C. & Inggs, E.J. The practical guide to South African economic indicators. Lexicon Publishers: Johannesburg. 146p. 1988. [8] RSA Regional Market Indicators. [Web:] http://regions.easydata.co.za [Date of use: 23 Oct. 2006]. 2001. [9] Venetoulis, J. & Talberth, J. Ecological footprint of nations – 2005 update. Redefining Progress, 1-16. 2005. [10] Boudeville, J.R. Problems of regional economic planning. University press: Edinburgh. 192p. 1966. [11] Berry, B.J.L & Horton, F.E. Geographic perspectives on urban systems with integrated readings. Prentice-Hall: New Jersey. 564p. 1970. [12] Bourne, L.S. Urban systems: strategies for regulation. Clarendon Press: Oxford. 264p. 1975. [13] Richardson, H.W. Spatial strategies, the settlement pattern and shelter and services policies. (In Rodwin, L. ed. Shelter, settlement and development. Boston: Allen. P.207-235.) 1987.

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[14] Dicken, P. & Lloyd, P.E. Location in space: Theoretical perspectives in economic geography (3rd ed.). HarperCollins: New York. 431p. 1990. [15] South African Cities Network. [Web:] http://sacities.net [Date of use: 10 Nov. 2006]. 2006. [16] Friedmann, J. Regional Development Policy: A case study of Venezuela. M.I.T. Press: Massachusetts. 273p. 1966. [17] South Africa. National Spatial Development Perspective. Government Printer: Pretoria. 43p. 2003.

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Relocating MIU to the cityscape: gentrifying Wynwood’s art district from industrial to institutional Y. A. Perez Miami International University of Arts & Design, USA

Abstract This study explores the use of gentrification as a catalyst to regenerate a decaying urban environment. The study will propose relocating a university (Miami International University of Art & Design, MIU) the catalyst, to a decaying urban art district (Wynwood). Although gentrification generally carries a negative connotation, the type of gentrification projected in this study promotes the best interest for the community without displacing individuals. After all, gentrification’s main objective is neighborhood improvement. MIU will be transformed into an urban university that will make a significant contribution to the Wynwood Art District and will play a vital role in enhancing the community. The new urban location will mutually benefit MIU, and the community by contributing to the gentrification of the Wynwood Art District, and enhancing the university’s and the community’s image. This study will reveal the benefits of relocating the university, and redirecting its growth from place to placemaking. Based on Edward M. Spicer’s research document “What is an Urban University?” the research will analyze similar urban institutions and develop best practices for implementation to MIU. Among the case studies will be: (1) Columbia University in the USA, (2) Portland State University in the USA, and (3) the University of Pennsylvania in the USA. These case studies differ in educational philosophies but agree in the importance of an urban institution for the community and students. The fusion of MIU and the Wynwood Art District will result as an integrative link of the place, and a symbol of cultural function. The objective is the showcase MIU, but also as an integral art centerpiece that binds together institution and community. Keywords: gentrification, neoliberals, urban university, neighborhood change.

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1

Introduction

The British sociologist Ruth Glass first coined the term gentrification in 1964 to describe a process of urban change that was beginning to affect inner London. Since that time, according to Lee et al. [1], gentrification has worked its way into the planning manifestos or urban policy agendas to improve the economic, physical, and social outlooks of disinvested central-city locations around the world [1]. In this study, as we shall see, gentrification is the beneficial consequence of changes to the industrial Wynwood Art District in Miami, Florida USA. In addition, rather than demolishing the District’s available existing structures, these buildings can be readapted and refurbished for neighborhood improvement. Jacobs [2], urbanist, writer, and activist once said, new ideas require old buildings [2]. To achieve this positive gentrification, Wynwood Art District will partner with Miami International University of Art & Design (MIU), a University who will relocate into the District, MIU will become the catalyst for bringing gentrification to Wynwood Art District. For this to occur, the relocation must be beneficial to both entities. This is particularly true for MIU for, as Glover (Glover and Maurrasse [3]), founder and president of PolicyLink, has observed, the university needs to reconnect to the community.

2 Gentrification Gentrification, of course, existed before Ruth Glass coined the term. Glass [4] complained that once this process of gentrification starts in a district it goes on rapidly until all or most of the original working class occupiers are displaced and the social character of the district is changed [4]. The earliest systematic appearance of gentrification was in the 1950s and occurred in post-war advanced capitalist cities like Boston, Washington, D.C, London, and New York. Glass described gentrification as an invasion of the middle class to displace the working class. However, over time gentrification evolved into a more dynamic process, losing much of its negative connotation. Today, gentrification is synonymous with ‘regeneration’, ‘renaissance’, and ‘revitalization’. 2.1 Spontaneous gentrification Urban evolution has encountered obstacles along its way to try to revitalize decaying sectors of cities; one major obstacle is the tendency to generalize the term ‘gentrification’ without understanding its various models. There are, for example, differences between classical and spontaneous models of gentrification. Those differences can lead researchers to wildly different interpretations of the process. Clay [5], one of the earliest analysts of gentrification, argued that all of these general tendencies are worked out differently in particular national, regional and urban settings. At the urban scale, the expansion of gentrification worldwide is tied to the rise of service-based economies and the shifting functions of central cities, as well as the enforced diffusion of neoliberal models of urban governance and redevelopment [5]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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In 2001, Andres Duany, an architect and urban theorist, in the essay ‘Three Cheers for Gentrification’ discussed two approaches to inducing gentrification: artificially and spontaneously. Duany [6] notes that opposition to gentrification often starts from the assumption that it is artificially induced, and controllable [6]. This is different from the improvement that occurs without municipal involvement, which is known as ‘spontaneous gentrification’. As Duany [6] observes, spontaneous gentrification happens furtively when a first wave of poor but savvy pioneers discovers the urban allure of a hitherto decrepit area. These are usually students, artists, gays, and other self-marginalized social groups [6]. Duany’s ‘savvy pioneers,’ referred to by sociologists as the risk-oblivious, are creative individuals who transform rough and edgy environments to habitable and charming. Utilizing Glass’s definition of classical gentrification, Clay [5] developed in 1979 one of the first models of gentrification; he outlined a schema from stage 1 (pioneer gentrification) to stage 4 (maturing gentrification). In Clay’s stage 1: A small group of risk-oblivious people move in and renovate properties for their own use. Little public attention is given to renovation at this stage, and little displacement occurs because the newcomers often take housing that is vacant or part of the normal market turnover in what is often an extremely soft market. This pioneer group accepts the risk of such a move [5]. Both Clay’s stage model and Duany’s spontaneous gentrification recognize the role of avant-garde artists in the early revitalization process. The riskoblivious, or neoliberals, seemed to value mixed-use and multicultural neighborhoods, bringing in diverse architectural qualities, as shown in table 1. Table 1:

Positives and opportunities of gentrification.

Positives Neighborhood transformed into an Urban University. Resource allocations. Revive commercial activity. Enhance local services.

Economic growth.

Opportunities Improves neighborhoods and university’s image, safety, services, and capacities. Provide high-quality diverse housing choices. Formulate activities with an overall strategy for community integration. Neighborhood revitalization that would require a partnership between community and the supportive urban institution. Increasing property value, and land use improvement. Supports a business district that can provide employment opportunities.

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30 The Sustainable World 2.1.1 Art and gentrification Historically, an unwanted consequence of gentrification has been the displacement of the neighborhood’s previous residents. The gentrification approach in this study has been defined as spontaneous, and will regenerate a decaying urban environment by using existing edifices and respecting the nature of the neighborhood. This will be accomplished through the relocation of higher learning institutions dedicated to the arts, in short MIU.

3 Case studies Urban universities are connected to their host communities. Each develops unique characteristics that reflect and respond to the nature and composition of their communities. The relationship between the state systems of higher education and the community, form an urban university. They have considerable differences but also much in common. In his research document, ‘What is an Urban University’, Spicer [7] suggests how urban universities answer some of the community’s basic needs. Based on the clientele it serves, which is the student body, Spicer’s defines urban university with the specific criteria [7]: 1. It enrolls 20% or more of its students on a part-time basis 2. It is located in a city with a population of 250,000 or more 3. It has graduate and professional schools 4. It grants the PhD degree In addition, Spicer [7] cites, the comprehensive urban university, with its flexibility and its resources, is the one vehicle, with local and regional cooperation, which could have a tremendous impact in finding solutions to some of the social and environmental problems that now confronts us [7]. Under the definition used by Spicer and the positive impact of urban universities in neighborhood improvement, this research will analyze similar urban institutions to develop best practices for implementation further in this study to Miami International University of Art & Design. These case studies follow Spicer’s criteria. The case studies include (1) Columbia University, (2) Portland State University, and (3) University of Pennsylvania, all in USA. 3.1 Columbia University Located in Upper Manhattan, in New York City, Columbia University is making a difference through community partnership. Columbia embraces the opportunity to give back to the neighborhood the university calls home, contributing in ways to improve the quality of life in Upper Manhattan. Columbia University [8] is involved with the community, constantly searching for ways to improve the quality of its residents. It offers from one on one tutoring to health screening; by joining with community and partnering with other organizations and agencies, the university continues to expand the programs and services available to its neighbors. Community residents, business

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owners, organizations, and activists have long led the way in providing a wide array of community services that enrich all of our lives. Columbia seizes the opportunity to work with its neighbors and strengthen university relationships and working partnerships [8]. Columbia is an internationally respected academic establishment; it is also a vital local New York institution committed not only to the economic and social growth of the city, but also to the cultural vitality of the neighborhood. Constantly, Columbia is involved in neighborhood improvement with various projects. Recently Columbia has developed a comprehensive plan together with West Harlem to develop a mixed-use academic center. In May 2009, New York State’s Public Authorities Control Board granted Columbia the final public approval for the plan. This chains an expansion of educational and cultural programs involving Columbia University [8] with the local community: The 17-acre site primarily consists of a four large blocks in the old Manhattanville manufacturing zone that over the time will create “A new kind of urban academic environment that will be woven into the fabric of the surrounding community. The plan includes more than 6.8 million square feet of space for teaching, research, underground parking, and support services. It features new facilities for civic, cultural, recreational, and commercial activity. In addition, its improved, pedestrian-friendly streets and new publicly accessible open spaces will reconnect West Harlem to the new Hudson River waterfront park [8]. As a result, Columbia with its new approach is contributing to the positive gentrification of a decaying old industrial zone. In addition, it is generating new local jobs opportunities for the local residents.

Figure 1:

Existing view from West 130th Street and Twelve Avenue looking East. Source: http://neighbors.columbia.edu/pages/manplanning/.

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32 The Sustainable World

Figure 2:

Proposed view for West 130th Street and Twelve Avenue. Source: http://neighbors.columbia.edu/pages/manplanning/.

3.1.1.1 Portland State University In response to neighborhood improvement, universities are reviewing their missions and adopting missions-specific goals. According to Ramaley [9], a biologist and administrator, these types of institutions are characterized by the nature and extent of its responsive to the research and educational needs of complex metropolitan regions [9]. The emerging distinctive institution is the urban university. Located in Oregon, national environment is a concern for Portland State University (PSU), and its academic and administrative setting has engaged resources to the support its distinctive urban mission. In 1990, PSU entered into a period of change generated from economic crisis. PSU became an urban university and the first step was to rethink its mission statement. In Ramaley [9] 1991, the mission statement of PSU reads as: The mission of Portland State University is to enhance the intellectual, social, cultural and economic qualities of urban life by providing access throughout the life span to a quality liberal education for undergraduates and an appropriate array of professional and graduate programs especially relevant to the metropolitan area. The university will actively promote development of a network of educational institutions that will serve the community and support a high quality educational environment and reflect issues important to the metropolitan area [9]. The distinctive characteristics of the change process of PSU were addressed simultaneously. First, the transformation was in the hands of faculty and staff whom along brought in community participation. Second, the mission statement of PSU framed the work with clear and specific institutional goals. Third, the expansion of change, with partnerships of faculty and administrators with other local institutions, attempted neighborhood improvement. Fourth, PSU created a habit of presenting results at national meetings as critical reviews.

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3.1.1.1 University of Pennsylvania Located in West Philadelphia, University of Pennsylvania (Penn) has become partners with the community to improve the neighborhood and the economic growth of the city. It has contributed with the continuing process of revitalization improving three areas of constant interventions: 1. Neighborhood safety, capacity and services improvement. 2. Significant renewal of retail activity, economic development directed toward local residents. 3. Surrounding public school showing improvement. Penn’s economic development effort has generated activity in the center of the campus thriving into the night in a good-illuminated setting. Previously the area was dark and desolate at night, situation that was a good setting for criminal activity. With this economic boost, Penn is also undertaking a special effort to hire local manufacture, and employ a majority of locals of the new businesses. Given that, the hospitality industry is becoming the main focal point of the city’s development, Penn is running an effective job-training program to prepare residents to work in a variety of local hotels. Maurrase [10], an author, speaker, and researcher, observes Penn’s development strategy built upon the history of other joint ventures between large nationwide suppliers and local minorityowned business [10]. Penn has also partnered with Philadelphia’s School District establishing a university-assisted pre-K-to-eight public school. With this approach, Penn is providing better public education models for advancement in teaching and learning, involving the partnering of private and public, and of community and institution to participate with a common goal of neighborhood improvement. After all, one needs the other one to succeed.

Figure 3:

Bird’s eye view of the University of Pennsylvania campus. Source: http://www.aashe.org/files/resources/campus_awards/aerial%20ca mpus.png.

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4 The community, the vehicle and the transition In a way to achieve social and economic equity communities and urban universities become partners. This partnering involves the community and the university working jointly to take common action intended to solve problems. Moreover, the approach relies on strengthening the existing community by creating new partnerships to bring change. The results of these efforts include improving quality of life, creating better communal equity, and setting new standards for changing communities. 4.1 The community: Wynwood Art District The recent and rapid cultural developments have launched the Wynwood Art District. The section extends from Miami Avenue five blocks west, between Interstate 395 and NW 36th Street containing more than 60 galleries, studios, workshops, museums, and collections that have emerged from the remnants of a past industrial zone. Wynwood Art District is the link between Miami’s Design District to the north, and Downtown’s Performing Arts Center to the south, allowing neoliberals (artists) and production industry members to flourish and develop. Referred as the ‘art district’ due to its prevalence of artist studios, it is also home to Miami’s Fashion District, an area that stretches along NW 5th Avenue from 23rd to 29th Streets.

Figure 4:

Wynwood Art District renewal area. Source: http://www.miamiartspace.com/images/wynwood_map.jpg.

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Every second Saturday of each month the Design District and Wynwood Art District holds a community art walk from 7 to 11p.m.; this is the only time when the Wynwood area becomes a safe place to walk in the evenings, drawing a wide range of neoliberals. A little more than a decade ago, the area was more an apparel and warehouse district next to a massive train yard. As the rail shipping business disappeared, the area became blighted. Just a few years ago, walking through Wynwood at night would have been inviting danger at worst, and taking an extremely monotonous stroll, at best. The Wynwood Art District location allows three fundamental premises: 1. The development of the cityscape. 2. The connection between the urban density (population) and the available spaces (warehouses), which makes rehabilitation-readaptation the most notable characteristic for the available spaces. 3. The confluence between art and architecture by means of segregated interventions, occupying some of the available warehouses will enable a new identity, enhancing the neighborhood as a whole to the city. 4.1.1 The vehicle: Miami International University of Art & Design, MIU When in 2005, Miami International University of Art & Design (MIU) opened its doors in OMNI, its full intention was to build a solid tradition of excellence in design-focused education for Miami’s residents. MIU is one of more than 40 Art Institutes located throughout North America, providing an important source of design, media arts, visual arts, fashion, and culinary arts for professionals. Five years later, the university continues to show growth. According to Dean Paul Cox, “MIU has begun to grow and become educationally vibrant and today has evolved into a University offering a broad spectrum of associate, undergraduate and graduate programs in art and design.” When the university opened, the surrounding area at the time was experiencing an influx of high-rise mix-use condos. Decisions were made to locate the university within what used to be an indoor shopping center (OMNI). Currently the university is not the focal point within the OMNI, as it competes with hotels, government agencies, and offices. MIU in its five-year history has undergone remarkable growth; the university has more than 2,000 students in its educational programs and more than 150 professional on its faculty. MIU leases directly from the OMNI, utilizing about 100,000 square feet of space. In redefining MIU’s role, the first important step taken will be the relocation of the university to the Wynwood Art District. With the new location, the university will be helping substantially in the gentrification of Wynwood Art District. In addition, MIU will be intervening directly through employment generation, housing and economic development initiatives, to flourish the decaying neighborhood. 4.1.1.1 The transition: Urban University Events such as developing sense of identity, increasing student activities, and correcting urban decay, solidify the idea of embedding an urban university in gentrified cities.

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36 The Sustainable World Klotsche [11], a former chancellor of the University of Wisconsin Milwaukee, provides a proper suggestion: Our society is irretrievably urban. Since our cities are here to stay, the time is at hand to take a new look at them. It is urgent that a major effort be made to reshape them. This will require serious reflection, and positive action. In all of these matters the urban university can play a central role. It can, in fact, become the single most important force in the re-creation of our cities [11]. The most urgent problems of a city can be solved with the university participation in a community’s development. Urban revitalization is an enormous mission and it is past the scope of any single institution to resolve. Partnerships can provide a possible approach to solving these problems. As for the university, the participation promotes positive identity, positive impact on student recruitments, faculty and staff, enlarging the potential of ethnic and racial diversity as shown in table 2. For this, Klotsche [11] also states: The urban university is on the threshold of unparalleled expansion; a phenomenon of this century, the growth of the urban university will be far more dramatic than that of other institutions of higher education. For this new kind of institution located in the city is at the very center of the most dynamic and volatile force in America today – the emerging metropolis [11]. These positives are channels to better opportunities for the community that concludes in neighborhood improvement, as shown in figure 5. Table 2:

Benefits of a partnership.

Positives Location within the city. The scale, the diversity, and the density of the cities. Universities are among the top ten private employers in the largest cities in the United States. Create university and community relationships.

University engages in change.

Opportunities Economic growth. The city attracts consumers of education, having a tremendous economic impact on the cities that contains them. City management. Job generations that contribute to a more experienced and educated workforce. Marketing tool for the city. Appreciate the valuable and diverse roles that university’s can play in the immediate area, by contributing to neighborhood improvement. Promotes citizenship. Supports artistic and cultural diversity while strengthening community identity.

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Figure 5:

37

Diagram of the process of gentrification. Source: Yadira Perez.

Gentrification is a process that can positively affect a neighborhood. By creating a partnership with the community and an educational institution, a decaying neighborhood can overcome the negative aspects and redefine itself anew. This partnership is the vehicle to achieve neighborhood improvement. In analyzing the case studies, there is a clear correlation between the education institution’s mission statement and the community. Education institutions must be the catalyst to create the change in community. Mission statements must be redeveloped to include the community. This commitment creates the initial concept toward a gentrification that will empower the community and the university.

References [1] Lees, L., Slater, T. & Wyly, E. Gentrification. Routledge Taylor & Francis Group: New York, p 5, 34, 2008. [2] Jacobs, J, Mains Arts Commissions (2004) Proceedings from the Blaine House Conference on Main’s Creative Economy, August. www.mainearts.maine.gov/mainescreativeeconomy/conference/preceedings [3] Glover, A. Maurrasse, D. Beyond the Campus. Routledge: New York, pp viii, 2001. [4] Glass, R. Introduction: Aspects of change In Centre for Urban Studies. Mackibbon and Kee: London, 1964. [5] Clay, P, Neighborhood Renewal: Middle-Class Resettlement and Incumbent Upgrading in American Neighborhoods, Lexington, MA: D.C. Heath, 1979. [6] Duany, A, Three Cheers for “Gentrification”, The American Enterprise, April-May, 2001. www.vnweb.hwilsonweb.com [7] Spicer, E.M, “What is an Urban University?” Education Resources Information Center. www.eric.ed.gov:80/ERICDocs/data/ericdocs2sql/ content_storage_01/0000019b/80/31/66/87.pdf WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

38 The Sustainable World [8] Columbia University, www.columbia.edu [9] Ramaley, J. A, Large Scale Institutional Change to Implement an Urban University Mission: Portland State University, Journal of Urban Affairs, 1996. [10] Maurrasse, D. Beyond the Campus. Routledge: New York, pp viii, 2001. [11] Klotsche, J.M, The Urban University and the Future of our Cities, New York: Harper and Row, 1966.

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Sustainable cities: do political factors determine the quality of life? J. M. Prado, I. M. García & B. Cuadrado Departamento de Administración y Economía de la Empresa, Universidad de Salamanca, Spain

Abstract The implementation of urban sustainability practices is affected by political obstacles, in that the policy or the objectives sought either involve the deflection of resources initially allocated to other groups or are contrary to the concerns pursued by interest groups who have the power to veto them by exerting pressure on the party in power. In this sense, the aim of this paper is to evidence the impact that political factors have on cities’ sustainability, and the effect of the latter on cities’ business development. The results obtained showed that political competition has a positive effect on cities’ sustainability, while a leftist ideology has an inverse impact. On the other hand, a significant direct relationship has been observed between urban sustainability and municipal economic activity. Keywords: urban sustainability, city's quality of life level (QOL), economic development, sustainable development, social sustainability, sustainability practices, political factors.

1 Introduction In the 1980s and 1990s, cities contributed to the growth and development of the global economy but, paradoxically, did little to provide a basis for long-term sustainable urban growth (Konvitz [1]). Their behaviours are quite contradictory since cities’ sustainability widely impacts business recruitment and investment (Glaser [2]; Insch and Florek [3]), parameters that could have a positive feedback effect on QOL. Political factors are one of the obstacles to the implementation of urban sustainability practices. In this sense, Hogwood and Gunn [4] argue that the policy or the objectives sought could involve a deflection of resources initially WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100041

40 The Sustainable World allocated to other groups or could be contrary to the concerns of these interest groups (such as party activists, trade unions, etc.) who have the power to veto them by exerting pressure on the party in power. This opposition is more important in cases of weak or fragmented governments, that is, those that lack an absolute majority and therefore cannot impose their decisions with only the votes of their own party. Moreover, certain political ideologies are more favourable to sustainable policies than others (García-Sánchez and Prado-Lorenzo [5]). In this sense, the aim of this paper is dual: on one hand, it is to evidence the impact that political factors have on cities’ sustainability and on the other hand, it is focused on observing the effect of sustainable development on cities’ business development. The methodology is based on linear regression models, controlling, in line with previous papers, for population density. Since cities´ sustainability is rather diffuse concept that is difficult to reach consensus on, some authors, such as Rotmans and Van Asselt [6], include economic as well as socio-cultural and environmental aspects in an effort to delimit the meaning of the term and be able to work with it. In this sense, one of the approaches most employed to determine the degree of sustainability is the city’s quality of life level (QOL). In this study, cities´ QOL has been measured using the score obtained by each Spanish city in the mercoCiudad (Spanish Corporate Reputation Monitor for Cities) analysis carried out in 2008 and 2009 for 78 Spanish municipalities. The results obtained show a strong relationship between political factors and urban sustainability. More concretely, we have found that political competition has a positive effect on cities’ sustainability, improving urban sustainability, while a leftist ideology has an inverse impact that negatively affects the citizens’ quality of life. In relation to the subsequent effect that urban sustainability has on municipal economic development, a significant direct relationship was observed between urban sustainability and all municipal economic activity (industry, commerce and services).

2 Sustainable cities and their economic development Sustainable development has become one of most important issues that society has had to face in recent years (Wang and Lihua [7]). Sustainable development is defined as that which “meets the needs of the present without compromising the ability of future generations to meet their own needs” (World Commission on Environment and Development, WCED, [8]) and presents a pathway to all that is good and desirable in a society (Zeijl-Rozema et al. [9]). A sustainable city is broadly defined by The Regional Environment Center for Central and Eastern Europe as "one that has put in place action plans and policies that aim to ensure adequate resource availability and (re-) utilisation, social comfort and equity and economic development and prosperity for future generations". The concepts integrated in sustainable development are quite broad and although there is no consensus on these related points, all research studies think that all of them are desirable social goods (Dempsey et al. [10]) and have a triple bottom line perspective: economic, social and environmental. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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One of the approaches most employed to determine the level of municipal sustainability is the measurement of city quality of life, image or reputation as an integrated approach to addressing key social, environmental and economic determinants of health (Glaser [2]; Williams et al. [11]). The residents’ level of satisfaction with a place is considered a ‘soft factor’ during the business investment decision-making process (Biel [12]) because in the competitive arena of business investment attraction (outsiders), local politicians need to demonstrate convincingly that their city’s residents enjoy a higher level of well-being and satisfaction than those of rival locations so that company executives, management and their families will decide to relocate and invest there (Insch and Florek [3]). There are also impacts on the investment by current members of the business community (insiders) (Glaser [2]). Furthermore, quality of life is directly related to other factors that are considered during this process such us local labour markets, infrastructure, transportation, education and training opportunities (Kotler et al. [13]). In this sense, we proposed the first hypothesis of our paper: H1: There is a positive relationship between the sustainability of a city and its economic development. As economic factors that can be affected by a city’s sustainability, we decided to include the following indicators in the analysis: INDUSTRY INDEX, WHOLESALE TRADE INDEX, RETAIL TRADE INDEX, and SERVICES INDEX, which represent the level of municipal development for these activities with respect to the national total.

3 Political factors and sustainability Campbell [14] and Blowers [15] argue that the procedural path to sustainable development is fraught with conflicts as a reflection of the complex decisionmaking environment necessary to pursue and balance the three main goals of environmental protection, social equity, and economic development. Political support given to planning process activities has also been addressed in the literature and it is considered essential for translating initial community interest into specific plan policies which become part of an adopted plan (Berke and French [16]; Berke et al. [17]). The Public Choice theory provides an analysis of the complex political environment in which voters, interest groups and politicians play an important role in government decisions to adopt particular policies, globally (Mueller [18]), and sustainable plans, specifically. Politicians are the main actors in the decisionmaking about the future development of a city. They play the role of agents appointed through an electoral process and always act in order to maximize the number of votes they expect to receive in the next election. To do so, they select a given amount of effort (resources, agent’s time, expertise, financial means) to provide policies to voters, in exchange for votes, and to interest groups, in exchange for resources, insofar as these can be reinvested to affect electoral outcomes (Bavetta and Padovano [19]).

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42 The Sustainable World 3.1 Political ideology and stability The dominant party affiliation of a legislative body can affect sustainable urban development because contrary ideologies may defend different styles of cities; it is therefore necessary to analyse whether the political trend of the ruling party can have any impact – either positive or negative – on it. The scarce previous studies which have analysed this issue have found a negative influence of rightwing parties on the implementation of Local Agenda 21 (García-Sánchez and Prado-Lorenzo [5]). Nonetheless, there is not enough previous evidence that can predict which political tendency may be more prone to favouring local sustainability. Thus, we have formulated the following hypothesis: H2: There is a positive relationship between a leftist political ideology of the governing party and the sustainability of a city. To test the hypothesis proposed we use a dummy variable as an independent variable, LEFT IDEOLOGY. This variable takes the value 1 if the governing party is of a leftist ideology and 0, otherwise. This information was obtained from the website of the Spanish Interior Ministry (www.mir.es). At the same time, a greater or lesser level of political stability may lead to the advancement of or a halt in the activities related to sustainability, because the implementation of these measures tends to require having the proper support to choose to assign resources, with effects detectable only in the medium to long term. In this sense, and although García-Sánchez and Prado-Lorenzo [5] observed that the overall degree of development of Local Agenda 21 is not affected by political stability, Prado-Lorenzo and García-Sánchez [20] evidenced that political stability is extremely important for executing the sustainability action plan designed. In accordance with the theoretical arguments, we proposed the following hypothesis: H3: There is a positive relationship between the political stability of the governing party and the sustainability of a city. We developed the variable STABILITY with the purpose of testing this hypothesis. It is measured from the percentage of votes achieved by the governing political party in the latest presidential elections. This information was obtained from the website of the Spanish Interior Ministry (www.mir.es). 3.2 Political competition Party composition alone may not be able to capture the complex political environment of sustainability policy decision-making. As the political competition increases, the checks and balances of political control will prevent overreliance on political decisions (Ni and Bretschneider [21]) and a favourable environment for reforms could be created. On the other hand, Smith and Fridkin [22] argue that interparty competition plays a key role in the decision of politicians to devolve institutional power to citizens so that they have to pay attention to the demands of their constituents. In this sense, public programs are more representative of the desires of the whole population of a state, rather than just those of the ruling elites. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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According to theoretical arguments, the following hypothesis has been formulated: H4: The level of political competition positively influences the sustainability of a city. In order to test this hypothesis we use the variable PARTIES measured by the number of political parties taking part in the latest general elections. This information was obtained from the website of the Spanish Interior Ministry (www.mir.es). 3.3 Voter and interest groups Voters and interest groups, respectively, channel votes and resources to the centre of power that best satisfies their objectives, so they can influence the policy implementation decisions of the political leadership (Bavetta and Padovano [19]), including sustainability policy decisions. Thus, these actors are expected to be particularly interested in participating in public decision-making in order to obtain more benefits. Traditionally, socioeconomic variables are used as surrogates for these actors, given that a higher economic and educational status usually leads to a higher participation and voting rates; in addition, as society increases in population and urbanization, diverse organizations develop to represent their interests (Cheng [23]). We thus have hypothesis H5: H5: Voters and interest groups positively influence the sustainability of a city. Previous papers have generally used the variables representing the municipal population and GDP to identify these groups. With respect to the first variable, it must be pointed out that a control variable of population density has to be entered subsequently, and that there is a high correlation with the population variable, so it cannot be used. As regards GDP, it was not available for the fiscal years analysed. Thus, in order to test hypothesis H5, we use the level of municipal unemployment, variable UNEMPLOYMENT, as a proxy of citizens’ economic level.

4 Methodology 4.1 Population The population selected consists of the 78 Spanish cities with a population over 100,000 for which MERCO carried out a study of their levels of sustainability for the fiscal years 2008 and 2009. The rest of the statistical data needed for the analysis were obtained from the Economic Directory (Anuario Económico) of La Caixa and the Spanish Interior Ministry. 4.2 Variables 4.2.1 Dependent variables As dependent variables, we used the economic development of the municipality and the sustainability of the city. The economic development of the municipality WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

44 The Sustainable World was measured by different indicators devised as a function of the economic activity tax: Industry index (a comparative index of the importance of the city’s industry, including construction, with respect to the whole of Spain), Wholesale trade index (a comparative index of the importance of the city’s wholesale trade, with respect to the whole of Spain), Retail trade index (a comparative index of the importance of the city’s retail trade, including construction, with respect to the whole of Spain ) and Services index ( comparative index of the importance of the city’s restaurant and bar industry, with respect to the whole of Spain ).The city’s sustainability (CSUS), as indicated above, was measured using the score obtained by each of the Spanish cities in the mercoCiudad analysis. 4.2.2 Independent and control variables Table 1 provides a synthesis of the independent variables needed to test the proposed hypotheses, as well as the control variables used to avoid bias in the analysis. In relation to control variables there is a general assumption that cities of differing sizes and types to achieve consistently high levels of collective welfare illuminates both the strength and potential vulnerability of large metropolitan agglomerations, which are more powerful attractors of enterprises, symbols of economic power and modernity, but also extremely expensive machines, engendering enormous social and environmental strains (Camagni [24]). However, several aspects of sustainability, such as the environment, urbanization, social and quality of life are more highly related to population density (Camagni [24]). The consideration of population density and its strong correlation with the factors that form it, population and surface, make it impossible to use the three variables together in the analysis models. 4.3 Research models Based on the variables selected to check the hypotheses proposed, we have defined the following models (1) and (2). In model 1, the economic development Table 1: Variable

Independent and control variables.

Hypothesis

Relation

Definition

CSUS

H1

+

Numerical variable that reflects the sustainability of the municipality.

LEFT IDEOLOGY

H2

+

Dummy variable that takes the value 1 if the governing party has a leftist ideology and 0, otherwise.

STABILITY

H3

+

Numerical variable measured from the percentage of votes achieved by the governing party in the latest elections.

PARTIES

H4

+

Numerical variable measured by the number of political parties taking part in the latest general elections.

-

Numerical variable measured by the percentage of unemployed citizens.

UNEMPLOYMENT DENSITY

Numerical variable measured by the ratio municipality population to the surface area in Km2.

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will depend on the sustainability of the city and on political factors. In model 2, the level of sustainable urban development will depend on a set of political factors. Economic development = f (Density, Political Factors, Sustainability) (1) Sustainability of the city = f (Density, Political Factors) (2) Model (1) can be estimated empirically from model (3): EDi = β0 + β1DENSITYi + β2LEFT IDEOLOGYi + β3STABILITY + (3) β4PARTIES + β5UNEMPLOYMENT + β6SoC + ε Model (2) can be estimated empirically from model (4): SoCi = β0 + β1DENSITYi + β2LEFT IDEOLOGYi + β3STABILITY + (4) β4PARTIES + β5UNEMPLOYMENT + ε where ED is the dependent variable proposed to identify the economic development of each city, CSUS is the dependent and independent variable proposed to reflect the level of sustainability of the municipality, DENSITY is the control variable proposed to identify the population density of each city, LEFT IDEOLOGY is the independent variable which reflects the ideology of the political parties in the municipal government, STABILITY is the independent variable which identifies the electoral support of the political parties in the municipal government, PARTIES is the independent variable which reflects the political competition in the municipality, UNEMPLOYMENT is the independent proxy variable for pressure from voters and interest groups. Models (3) and (4) have been tested empirically through a linear regression, owing to the numerical nature of the dependent variable. The results of the analysis are given in the following section.

5 Empirical results 5.1 Empirical results: the relationship between sustainability and economic development Table 2 depicts the results relating to the effect that a city’s level of sustainability has on its economic development. Model 1, proposed to test the effect of city sustainability on the economic development index, has an explanatory capacity of 71.30% for a confidence level of 99% (p-value < 0.01). Of the six variables proposed, DENSITY, PARTIES and CSUS have a statistically significant positive effect, for a confidence level of 90% (0.05 < p-value < 0.1) in the first case, and 99%, in the last two cases. The variables STABILITY and LEFT have a positive effect on the municipal industrial index, although it lacks econometric relevance. For its part, UNEMPLOYMENT has a non-significant negative effect. Model 2, designed to test the effect that city sustainability has on the municipal wholesale trade index, has an explanatory capacity of 74.50% for a confidence level of 99% (p-value < 0.01). Again, three of the six variables proposed, DENSITY, PARTIES and CSUS, have a direct and relevant WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

46 The Sustainable World Table 2:

Impact of city sustainability on economic development. Model 1

Model 2

Model 3

Model 4

Industry Index

Trade Index

Trade Index

Services Index

Beta (Constant)

t

Beta

-6.5400

t

Beta

-7.2651

t

Beta

-8.0892

t -5.9885

DENSITY

0.0810

1.6736*

0.0802

1.7584*

0.0756

1.8434*

0.0147

0.2512

UNEMPLOYMENT

-0.0394

-0.8011

0.0582

1.2555

0.0172

0.4122

0.0844

1.3786

STABILITY

0.0773

1.5361

0.0342

0.7215

0.0653

1.5297

0.0293

0.4957

PARTIES

0.3417

6.1910***

0.3557

6.8333***

0.3731

7.9691***

0.3436

5.0518***

LEFT

0.0796

1.6141

0.0629

1.3537

0.0347

0.8297

0.0176

0.2938

CSUS

0.5907

9.6359***

10.6869***

0.6136

11.7738**

0.6250

13.3325***

0.6556

2

R =

0.713

2

R =

0.745

2

R =

0.794

2

R =

0.794

F=

52.557***

F=

61.739***

F=

81.292***

F=

45.702***

*** p-value < 0.01 ** p-value < 0.05 * p-value < 0.1

econometric impact on the wholesale trade index of each city. The effect of each variable is significant for a confidence level of 90, 95 (0.01 < p-value < 0.05) and 99%, respectively. The remaining variables - UNEMPLOYMENT, STABILITY and LEFT – have a positive effect on the economic index analysed, although it lacks explanatory importance from a statistical point of view. Model 3, proposed to test the impact of city sustainability on the municipal retail trade index, has an explanatory capacity of 79.40% for a confidence level of 99% (p-value < 0.01). Of the six variables proposed, three of them, DENSITY, PARTIES and CSUS, have a statistically significant positive effect for a confidence level of 90% (0.05 < p-value < 0.1), for the first variable and 99%, for the last two. The variables UNEMPLOYMENT, STABILITY and LEFT have a positive impact on the municipal industry index, although they lack econometric relevance. Model 4, proposed to evidence the effect that city sustainability has on the municipal services index, has an explanatory capacity of 79.40% for a confidence level of 99% (p-value < 0.01). In this model, only two of the six variables proposed are statistically significant for a confidence level of 99%: PARTIES and CSUS, both with a positive effect. The rest of the variablesDENSITY, UNEMPLOYMENT, STABILITY and LEFT – have a positive effect on the economic index analysed, although they lack explanatory relevance from a statistical point of view. Given the results obtained for these four models, it can be concluded that municipal economic development is determined mainly by political competition and the city’s level of sustainability. These results confirm our hypothesis H1.

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Table 3:

47

Impact of political factors on city sustainability.

Model 5 City Sustainability Beta B (Constant) 5.4487 DENSITY 0.0127 0.1770 UNEMPLOYMENT -0.2046 -2.8862*** STABILITY -0.0491 -0.6594 PARTIES 0.5144 7.3360*** LEFT -0.2083 -2.9323*** 0.365 R2 = F= 14.303*** *** p-value < 0.01 ** p-value < 0.05 * p-value < 0.1

5.2 Empirical results: the relationship between political factors and sustainability Table 3 offers a synthesis of the results for model 5, proposed to observe the effect that political factors have on the level of city sustainability. This model has an explanatory capacity of 36.50%, for a level of confidence of 99%. Three of the five variables proposed, UNEMPLOYMENT, LEFT and PARTIES, have a statistically significant effect for a confidence level of 99%. However, whereas PARTIES positively affects city sustainability, the first two variables do so negatively. The negative impact of the variable LEFT on city sustainability contradicts the relationship expected for these two factors in one of our hypotheses, and therefore hypothesis H2 should be accepted with the opposite sign to the one expected. The direct relationship between the political competition existing in each city, identified through the PARTIES variable, and the level of quality of life that characterized them allows us to accept hypothesis H4. The negative influence of the UNEMPLOYMENT variable, an inverse proxy for the pressure that voters and interest groups can exert on the government, leads us to accept hypothesis H5. The DENSITY and STABILITY variables have a positive and negative effect, respectively, which lack econometric relevance. This absence of significance of political stability leads us to reject hypothesis H3.

6 Discussion of results In relation to our main research hypothesis, we have found that, considered overall, political systems have a significant effect on cities’ sustainable development. More specifically, the existence of a high number of interest groups and political competition foster the evolution of the city. On the contrary, a leftist ideology of the ruling party negatively influences its evolution, whereas political stability – in relation to the percentage of votes obtained in the last general elections – does not have any impact on it. These findings confirm the framework proposed by the Public Choice theory concerning the fact that political decisions about sustainable cities’ strategies WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

48 The Sustainable World involve a trade-off between the real desires of politicians and the requirements of interest groups. This pressure may be even more effective in those cities where there is higher political competition and can involve a greater need for satisfying the interests of individuals who may support that political party in future elections, in order to ensure its re-election over its rivals. The negative role played by ideology in urban sustainable development should be emphasised. This negative impact can be explained in two ways. The first of these is the positive impact that the quality of life of the city has on its economic development. The second may be linked to the fact that right-wing parties need to make a greater effort as regards sustainability than more progressive parties in order to attract a larger number of votes.

7 Conclusions The economic development that took place in the last two decades of the 20th century was stimulated to a large extent by urban growth. However, this development lacked a solid base that would permit sustainability in the long term. The greatest obstacles to the implementation of sustainable practices have most likely been related to political factors. Some authors consider that these obstacles appeared because pursuing sustainability objectives would deflect resources towards groups other than those originally foreseen or could go against the interest of groups with sufficient strength to put pressure on the governing party. Based on the dual objective of this study, to test the impact of political factors on cities’ sustainability and to observe what effect sustainability has on cities’ business development, empirical evidence has been found that in some cases confirms and in other cases refutes the results of previous research. In contrast to the conclusions of Jepson [25], we have verified the existence of a significant positive impact of certain political factors such as competition among political parties and the non-significance of others such as the stability of local government on the economic progress of cities and a lesser effect on their sustainability. The empirical evidence shows the existence of a non-significant positive relationship between a party in power with a progressive ideology and economic development, whereas, in contrast to what was expected, there is a significant negative relationship between a left-wing governing party and sustainable development in cities. This may be because right-wing parties make an extra effort in matters of sustainability in order to attract voters with a progressive tendency. In this line, a significant positive relationship was observed between the degree of a city’s sustainability and the economic activity taking place in it, be it related to industry, trade or services. This allows us to conclude that a city’s economic development can be explained to a certain extent by the degree of competition among parties and the level of that city’s sustainability. It was also found that pressure from interest groups induces parties to promote policies related to sustainability in spite of their initial reticence, with WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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the clear objective of their future re-election. Logically, this pressure is more effective in cities with a large degree of political competition.

References [1] Konvitz, J.W., Cities and the global economy, The OECD Observer, 197, pp. 6-8, 1996. [2] Glaser, M., The business psyche: Exploring relationships between local quality of life and city image. Public Administration Quarterly, 15(3), pp 287-303, 1991. [3] Insch, A., & Florek, M., A great place to live, work and play. Journal of Place Management and Development, 1(2), pp. 138-149, 2008. [4] Hogwood, B.W., & Gunn, L.A., Policy Analysis for the Real World, Oxford University Press, Oxford, 1984. [5] García-Sánchez, I.M., & Prado-Lorenzo, J.M., Determinant factors in the degree of implementation of Local Agenda 21 in the European Union. Sustainable Development, 16, pp. 17-34, 2008. [6] Rotmans, J., & Van Asselt, M., Towards an integrated approach for sustainable city planning. Journal of Multi-Criteria Decision Analysis, 9, pp. 110-124, 2000. [7] Wang, X. & Lihua, R., Examining knowledge management factors in the creation of new city. Journal of Technology Management in China, 1(3), pp. 243-261, 2006. [8] World Commission Environment and Development, Our Common Future, Oxford, U.K.: Oxford University Press, 1987. [9] Zeijl-Rozema, A., Cövers, R., Kemp, R., & Martens, P., Governance for sustainable development: A framework. Sustainable Development, 16, pp. 410-421, 2008. [10] Dempsey, N., Bramley, G., Power, S., & Brown, C., The social dimension of sustainable development: Defining urban social sustainability. Sustainable Development, DOI: 10.1002/sd.417. [11] Williams, A., Kitchen, P., Randall, J., & Muhajarine, N., Changes in quality of life perceptions in Saskatoon, Saskatchewan: comparing survey results from 2001 and 2004. Social Indicators Research, 85, pp. 5-21, 2008. [12] Biel, A., Converting image into equity in Brand Equity and Advertising: Advertising´s role in building strong brands, Lawrence Erlbaum, Hillsdale, Nh., 1993. [13] Kotler, P., Haider, d., & Rein., I., Marketing places: attracting investment, industry and tourism to cities, states and nations. The Free Press, New York, 1993. [14] Campbell, S., Green cities, growing cities, just cities? Urban planning and the contradictions of sustainable development. Journal of the American Planning Association, 62, pp. 296-313, 1996. [15] Blowers, A. “The time for change”, in Planning for a sustainable environments, ed. A. Blowers, Earthscan, London, 1993.

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50 The Sustainable World [16] Berke, P.R. & French, S.P., The influence of state planning on local plan quality. Journal of Planning Education and Research 13, pp. 237-250, 1994. [17] Berke, P.R., Roegnik, D.J., Kaiser, E.J. & Burby, R., Enhancing plan quality: evaluating the role of state planning mandates for natural hazard mitigation. Journal of Environmental Planning and Management 39, pp. 79-96, 1996. [18] Mueller, D.C., Public Choice, University Press, Cambridge, 1979. [19] Bavetta, S. & Padovano, F., A model of the representation of interest in a compound democracy. Constitutional Political Economy, 11(1), pp. 5-25, 2000. [20] Prado-Lorenzo, J.M. & García-Sánchez, I.M., Decisive factors in the creation and execution of municipal action plans in the field of sustainable development in the European Union. Journal of Cleaner Production, 17, pp. 1039-1051, 2009. [21] Ni, A.Y., & Bretschneider, S., The decision to contract out: A study of contracting for e-government services in state governments. Public Administration Review, 67(3), pp. 531-544, 2007. [22] Smith, D.A., & Fridkin, D., Delegating direct democracy: Interparty legislative competition and the adoption of the initiative in the American States. American Political Science Review, 102(3), pp. 333-350, 2008. [23] Cheng, R.H., An empirical analysis of theories on factors influencing state government accounting disclosure. Journal of Accounting and Public Policy, 11, pp. 1-42, 1992. [24] Camagni, R., Cities and the Quality of life: Problems and Prospects. Review of Economic Conditions in Italy, 1, pp. 61, 2000. [25] Jepson, E.J., The adoption of sustainable development policies and techniques in U.S. cities. Journal of Planning Education and Research, 23(3), pp. 229-241, 2004.

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Forecasting low-cost housing demand in an urban area in Malaysia using artificial neural networks: Batu Pahat, Johor N. Y. Zainun1, I. A. Rahman1 & M. Eftekhari2 1 2

Universiti Tun Hussein Onn Malaysia, Johor, Malaysia Loughborough University, Leicestershire, UK

Abstract Over the past decade, the rate of growth of housing construction in Malaysia has been dramatic. The level of the urbanization process in the various states in Peninsular Malaysia is considered to be important in planning for low-cost housing needs. The aim of this study is to develop a Neural Networks model to forecast low-cost housing demand in Batu Pahat, Johor, one of the states in Peninsular Malaysia. The time series data was analyzed using Principal Component Analysis to determine the significant indicators which will be the input in Neural Networks model. The feed forward network with the most commonly used training algorithm, back propagation networks is used to develop the model. The results show that the best Neural Network model is 2-251 with 0.7 learning rate and 0.4 momentum rate. Neural Networks can forecast low-cost housing demand in Batu Pahat very well with 0% of MAPE value. Keywords: forecasting, low-cost housing, artificial neural networks.

1 Introduction In each five year National Plan, Malaysia’s government has focused on various housing programmes to ensure that all Malaysians, particularly the low income groups, have access to adequate and affordable shelter and related facilities [1]. During the Ninth Plan period, the development of the housing sector continues to focus on the provision of adequate, affordable and quality houses for all Malaysians [2]. The housing is divided into four main categories; low cost, low medium cost, medium cost and high cost housing. In Malaysia low cost WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100051

52 The Sustainable World housing is defined at a ceiling price RM25,000 per unit or less. Low cost housing can be sold to households with a monthly income between RM500 to RM750 while low medium is defined at a ceiling price of RM25,001 to RM60,000 and can be sold to households with monthly incomes between RM750 to RM1,500 [3]. On the other hand, the construction cost alone ranges from a low of RM12,000 per unit to a high of RM43,000, with average cost RM23,000 per unit for terrace house [1]. Therefore, To ensure an adequate supply of low cost houses for the low income group, any mixed-development projects undertaken by private developers, continued to be guided by the 30% low cost housing policy requirement [2]. Construction each category of housing should build fairly especially in such area which located level of people with the different incomes. By develop low cost and low medium cost housing it can reduce housing growth illegally on the government’s land and also prevent the public creating other new squatters. In the year 2003, Selangor, Johor, Perak, Federal Territory Kuala Lumpur and Penang dominated housing existing stock and together contributed 68.9% (2,133,128 units) of total existing housing stock in Malaysia [4]. All these states experience a high migration of people because of many vacancies offered in industry also well maintain economy flow. Residential Property Stock Report in that year reported that housing stock in the fourth quarter was increased by 1.3% to 3,237,599 units over third quarter. Due to the increment of the demand for low cost houses it is very significant and vital; the selection of the best method on forecasting of demand is also becoming an important factor. All this while, the number of unit of low cost houses have been built by practice the requirement imposed by the government which is 30% of the total development. Obviously, by following this requirement, the numbers of low cost houses to be built do not reflect the actual demand of low cost housing. Henceforth, developing a model as an alternative way to forecast the number of units of low cost houses is therefore timely and imperative for a developing nation.

2 Objective The aim of this paper is to develop a model to forecast low-cost housing demand in the district of Batu Pahat, Johor, using Artificial Neural Networks. The actual and forecasted data will be compared and validated using Mean Absolute Percentage Error (MAPE).

3 Methodology The methodologies of this study are including finding out the significant indicator using Principal Component Analysis (PCA) adapted from SPSS and a Neural Network (NN) model development adopted from NeuroShell2. PCA is used to derive new indicators; that is the significant indicators from the nine selected indicators. The indicators are: (1) population growth; (2) birth rate; (3) mortality baby rate; (4) inflation rate; (5) income rate; (6) housing stock; WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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(7) GDP rate; (8) unemployment rate; and (9) poverty rate. The new indicators in terms of Principal Component (PC) will be the inputs in the NN model development. The dependent indicator is the monthly time series data on low cost housing demand starting from January 2000 to December 2002. In NN model development, a series of trial and error process are done to find the suitable number of neurons in the hidden layer, learning rate, momentum rate and screening the result using the best NN model.

4 Significant indicators The determinant correlation matrix for Batu Pahat is |R| = 7.47× 10-17, that is very close to zero. The hypothesis assumes the population matrix is equal to the identify matrix, that is all indicators are uncorrelated when the data are multivariate normal. For Batu Pahat, there are 9 indicators, p = 9 and 36 data, N =36 will be analyzed. The value for test statistic is 1157.313 with the critical point for chi-square p(p-1)/2 = 9(9 – 1)/2 = 36. Degree of freedom, α = 0.001 with the critical point from chi-square table is 67.923. As a result, the hypothesis will be rejected at 0.001 significant level because 1157.313 > 67.923. Therefore, PCA can be performed. PC1 gave the largest eigenvalue with 6.748 consist 74.97% of total variation while PC2 showed 1.332 eigenvalue with 14.8% of total variation. PC3 is 0.904 eigenvalue covered 10.04% of variation. For PC4 to PC9, the eigenvalues is 0.017 with only 0.07% of variation. From the scree plot in Figure 1, eigenvalues for PC4 to PC9 are close to zero. While the eigenvalues for principle component three is less than one. Since the eigenvalues for principle component four to nine is close to zero and PC3 less than one, they can be ignored. Therefore, there is two PC that will be as the input to develop the neural network model. Eigenvalues

Component Number

Figure 1:

Scree plot for Batu Pahat.

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54 The Sustainable World Table 1:

Component score coefficient matrix for Batu Pahat.

Indicators

Component

Population growth Birth rate Mortality baby rate Unemployment rate Inflation rate Gross Domestic Product Poverty rate Income rate Housing stock

1 0.683 -0.975 0.567 0.730 0.990 -0.914 0.989 -0.975 0.855

2 0.381 0.025 -0.806 0.553 -8.271x10-2 0.393 3.989x10-2 3.905x10-3 0.261

Table 1 shows the component score coefficient matrix in Batu Pahat for the nine indicators. The number of component is to be equal to the number of eigenvalue of R which is equal to 1 [5]. The most significant indicators are evaluated using component score coefficient matrix nearest to 1. For PC 1, the most significant indicator is inflation rate and for PC 2 the most significant indicator is unemployment rate.

5 Model development The learning and momentum rate is determined by means trial and error. From the previous researchers [6] and [7], the value of learning and momentum rate can be use as shows in Table 2. Table 2: Learning rate Momentum rate

Determination of learning and momentum rate. Phase 1 0.9 0.1

Phase 2 0.7 0.4

Phase 3 0.5 0.5

Phase 4 0.4 0.6

From thirty six data, thirty three data had been set as a training data while three data as a testing data. The evaluation for testing data is using linear correlation coefficient, r. The highest r from the training and testing will be selected. During training and testing, a series of trial and error process by varying the number of neurons in hidden layer. The range of neurons is between 2 to 40 and the network can approximate a target function of complexity if it has an enough numbers of hidden nods. The learning process is continues either the error reach 0.001 or 40,000 cycles is achieve. The successful trained networks would be trained again with different number of epoch. The final set of weights and biases would be obtained when one of the two criteria is met. In this study, two PC as the input layer and 1 output that is the actual housing demand. The graphs below show the network performance of testing for each phase.

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The best linear correlation shows in phase two with r =0.8255 at neuron number twenty five. So the best NN model for Batu Pahat is 2 -25 -1 with learning and momentum rate 0.7 and 0.4 respectively. Linear Correlation,r

Number of neurons

Figure 2:

Network performance of testing with different number of neurons for phase 1.

Linear Correlation,r

Number of neurons

Figure 3:

Network performance of testing with different number of neurons for phase 2.

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56 The Sustainable World Linear Correlation,r

Number of neurons

Figure 4:

Network performance of testing with different number of neurons for phase 3.

Linear Correlation,r

Number of neurons

Figure 5:

Network performance of testing with different number of neurons for phase 4.

The forecasted demand for low cost housing demand for Batu Pahat in October, November and December 2002 are 9, 10 and 11. MAPE is calculated to evaluate the forecasting performance. According to Sobri Harun [8], the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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forecasting result is very good if MAPE value is less than 10% while it is good if MAPE value is less 20%. The MAPE value of 19.7% shows that NN can forecast low cost housing demand in Batu Pahat quite good. Table 3: Time series October 2002 November 2002 December 2002

Actual and forecasted data for 3 month ahead. Actual data 12 15 11 MAPE

Forecasted data 9 10 11

PE (%) 25.0 33.3 0.0 19.7

6 Conclusion The results shows that NN capable to forecast low cost housing demand in Batu Pahat. By developing this model, it is hoped that there will be no more under or over construction of low-cost houses in Malaysia. It is also hoped that it can be helpful to the related agencies such as developer or any other relevant government agencies in making their development planning for low cost housing demand in urban area in Malaysia towards the future as there is no model have been created yet. Furthermore, there are a lot of advantages through the better planning of low cost housing construction, such as savings in expenditure, in time, manpower and also less paper.

References [1] Ministry of Housing and Local Government Malaysia (1999). “Housing in the New Millennium – Malaysian Perspective.” http: www.kpkt.gov.my/jpn/artikel3.htm. [2] Government of Malaysia (2006). The Ninth Malaysia Plan, 2006-2010. Kuala Lumpur: Percetakan Nasional Malaysia Berhad. [3] Ong, Han Ching and Lenard, D (2002). “Partnership Between Stakeholders in the Provision of an Access to Affordable Housing in Malaysia.” FIG XXII International Congress. USA, Washington D.C. [4] Government of Malaysia (2001). The Eight Malaysia Plan, 2001-2005. Kuala Lumpur: Percetakan Nasional Malaysia Berhad. [5] Johnson, D.E (1998). “Applied Multivariate Methods for Data Analyst”. United States of America: Brooks/Cole Publishing Company. [6] Sobri Harun, Nor Irwan Ahmat Nor, and Amir Hashim Mohd. Kassim (2001). “Rainfall-Runoff Modeling Using Artificial Neural Network”. Malaysian Journal of Civil Engineering, 13 (1). pp. 37-50. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

58 The Sustainable World [7] Khairulzan Yahya and Muhd Zaimi Abd. Majid (2002). “Comparative Study on Forecasting Demand on Low-cost House in Urban Areas Using Artificial Neural Networks and ARIMA Model.” First International Conference on Construction in the 21st Century (CITC2002), USA, p. 687-694. [8] Sobri Harun (1999) “Forecasting and Simulation of Net Inflows for Reservoir Operation and Management”, PhD thesis., Universiti Teknologi Malaysia, Skudai, Malaysia.

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Networks of public open spaces in the urban fabric E. Aga School of Rural and Surveying Engineering, National Technical University of Athens, Greece

Abstract Today, much emphasis is placed on the ecological dimension of architectural and town planning, focusing on the relationship between humans and the environment. Outdoor public spaces are a prominent element in physical planning structures, firstly because it is within them that the public life of their users may develop – they in fact serve to maintain an equilibrium between the private and public spheres in the cities – and secondly because with suitable planning they can provide environmentally-friendly natural inputs. A central open public area can function as the heart of a city. A whole network of open spaces, suitably interlinked and extending throughout the urban fabric, goes further, imparting vigour to all parts of it. Such open spaces comprise a totality that is something more than the sum of its components. Networks of open spaces in the historic cities of Venice (Italy), Venice Canals (L.A.), Savannah (Georgia), and Folegandros (Greece) are outstanding individual examples tending to confirm the above thesis. It has been verified that the balanced proliferation of open public spaces can create a comprehensible network and constitute an important element in their identity. The purpose of the following article is to document the importance of suitably planned polycentric structures, the crucial element being their relations of mutuality and their linkage with the cities not only of the present but also of the future. Keywords: network, urban fabric, open public spaces, legibility, livability, identity.

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1 Introduction Τhe element that determines the sustainability of a city and shapes its orientation towards conservation is not its economic vigour, the degree to which its economy is being developed and extended, but its livability. “…What is sustained is the web of life on which our long-term survival depends, in other words, a sustainable community is designed in such a way, that its ways of life, its technologies and its social institutions honor and support and co-operate with nature’s inherent ability to sustain life” (Capra 2007). The open spaces for expression of the public life of the inhabitants of a residential ensemble are a significant indicator for sustainability. The diffusion of public open spaces through the urban fabric, and the interaction between them, should serve to maintain a balanced relationship between the private and the public. Scale, identity, variety, in functions, greenery, materials, livability: these are vital characteristics of healthy and durable cities. The demand for urban sustainability has become particularly pertinent in recent decades. Disruption of the balance between public and private life to the disadvantage of the former, changes of scale in cities as a result of their rapid expansion within the space of a few years, lack of coherence between the private and public realms, the multicultural character of societies that has resulted from continual population movement, inequalities between residents in their ability to use public space: these are questions to which the answers must be of planetary resonance and to which indeed answers must be given. Interventions that are piecemeal, failing to take into account the dynamics of the city as a whole, are inevitably ineffectual. A crucial subject for architects and town-planners is upgrading of the public sphere in cities and in residential ensembles, the creation of autonomous but also mutually complementary public spaces extending in a balanced manner into the urban fabric and linking up in such a way as, ultimately, to constitute a whole, an accessible network of vital enclaves, free from social exclusion, not merely supporting public life but offering the prerequisites for action, creativity and further development. One promising method for approaching the multifarious problems of today’s cities, inhospitable as they are in so many ways, is to undertake a rethinking of a past that endures into the present, illuminating the future. I shall endeavour in this article to give a reading and an interpretation of the public sphere in four living historical cities, by common consent particularly attractive and vital places, namely Venice (Italy), Savannah (Georgia, U.S.A.), Folegandros (Greece) and Venice Canals (Los Angeles, California, U.S.A.). All of them models of perennial durability, continuity and adaptability to the changing needs and demands of the times. Our goal is to coax out the elements serving to highlight the virtues of endurance and vitality, arrange them in groupings and finally put them forward, not as rules but as a framework for intervention, whether in existing cities or in the new cities to be created.

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2 Natural growth and systematic plan Town planning has been practiced since ancient times 1. Cities that have “planned themselves” and cities that have been planned have coexisted throughout history. In Alexander’s formulation, those cities that have arisen spontaneously over many, many years are “natural cities”, whereas those cities or parts of cities that have been deliberately created by planners are “artificial cities”. In the creation of “natural cities” the absence of rules, the free elaboration of the urban fabric, are the product of spontaneity. By contrast, in the case of “artificial cities”, the logic of planning – a systematized and quite specific way of organizing thought – entails formal representation of a particular kind of functional demand. The four cities to be examined in this article belong to both categories. Venice (Italy), and Folegandros (Greece) are natural cities, Savannah (Georgia) and Venice (California) are “artificial cities”. This in itself suggests that natural cities are at no advantage over planned cities when it comes to sustainability. “Whereas any city can be analyzed and understood as an ecosystem, ‘ecological city’ is a term intended to identify a particular type of city…. The most important aspect of the city form in this respect may in fact be density, as a sprawling city of any type is harder to service efficiently. Pedestrian accessibility, complexity and internal interconnectivity all strongly correlate with density. They are characteristics that could be elaborated out of virtually any typology.” [2]. 2.1 The structure of the urban fabric, historical data 2.1.1 The natural formation Cities that have originated as natural formations are typically organized around a centre, either in a longitudinal arrangement or in clusters. The topography and the organization of open spaces, the cohesive character of the built-up areas, are basic structural elements of the urban fabric. The clarity of its structure, the accessibility of the public areas, are intrinsically vitalizing in their effect on the cities. Examining the two European examples of natural cities, we note the following: Venice (Italy): The morphology of the city of Venice, with its centuries-old uninterrupted history (from the 9th century to the present), its magnificent, universally-known and much-frequented St. Mark’s square and the Grand Canal with its countless palazzi, is in a category of its own, constructed upon the lagoon of the same name, with the result that pedestrians and small craft (vaporetti, gondolas) are the only traffic. The opaque character of the urbanabric is evidenced by the following: densely populated small islands (more than 100), labyrinthine thoroughfares with bridges, canals (over 150), scattered open spaces in the different neighbourhoods (more than 30 campi and campielli) (figs. 1, 2). Folegandros (Greece): Historically the first residential district is Kastro, which preserves its plan unchanged from 1577 (fig.3). It was built at the edge of a 200-metre-high cliff to afford it security in the face of attacks from the sea. It belongs in the category of fortified settlement, with its open public spaces also WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 1:

Figure 2:

Map of Venice.

Indicative campi.

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serving as thoroughfares for vehicular traffic. The extension of the built-up area of Chora outside Kastro and contiguous to it was constructed at the beginning of the 18th century (1720), in phases and without any systematic plan. The first new structures to appear around Kastro were mostly churches, built not far from it, as the fear of attackers had not yet entirely receded. Non-religious buildings were grouped around the religious buildings, resulting in the creation of large open but enclosed public spaces for gathering together the inhabitants and providing relief from their daily routine. Six open squares, one after the other, six consecutive settings for display of the local heritage in traditional architecture, form the backbone of central Chora. They are the terrain for the social activity of residents and visitors alike (fig. 4).

Kastro

Figure 3:

Figure 4:

Chora, Folegandros.

Squares of Chora.

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64 The Sustainable World 2.1.2 Systematic plan In systematically planned cities (as indeed in cities that spring up spontaneously) the structural elements of the urban fabric are: the topography of the residential environment, the layout and arrangement of the open architectural shells. Geometric regularity in outlining of the urban fabric simplifies interpretation of the picture from the outset. Specifically, in the two examples from the U.S.A. the following are noted: Savannah (Georgia, U.S.A.): The urban fabric possesses homogeneity and regularity in its layout, in keeping with the Hippodameian system from which it derives (fig. 5). The city was founded by James Edward Oglethorpe on flat land beside the Savannah River from which it takes its name, subsequently undergoing a succession of growth phases, to which the ages of the public squares correspond. Twenty-two public squares were included within the level expanse, three square kilometres in area, of Savannah’s historic centre. In accordance with the town plan these occupied the centres of characteristically recurring units known as “wards” [3]. A mesh of roads marked out along N/S, E/W perpendicular axes traverses the grid of wards, encircling the squares but not passing through them (fig. 6).

Figure 5:

Map of Savannah.

Figure 6:

‘Ward'.

Venice (California, U.S.A.): The city was conceived and established in 1905 by the tobacco magnate Abbot Kinney, influenced by his impressions from travel in Europe. On the model of Venice in Italy he conceived of a seaside resort and pleasure ground criss-crossed by canals 28 kilometres in length. Today, after many decades of decline, Venice is a centre for bohemian personal expression in Southern California. From the original plan of 1905 there is preserved only the small historic residential neighbourhood of Venice Canals, with canals around two kilometers in length. The first houses to be built on the canals were downmarket summer holiday cottages (bungalows) (figs. 7, 8). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 7:

Venice, aerial photo.

Figure 8:

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Canal in Venice.

2.2 Network of public open spaces, Interconnection – visual communication Τhe predominant element in the planning scheme of the four specimen cities, irrespective of the regularity or non-regularity of their layout, is the equal distribution of a variety of vital public open spaces linked together by access routes for pedestrians and constituting networks. The unbroken chain of access routes to be traversed on foot or by boat unites all the scattered public areas into an ensemble, in effect comprising the public space of these cities. The four cities share the following distinctive characteristics: Venice (Italy): Dispersion and decentralization of over thirty open public spaces (campi) within the densely built-up urban fabric is the sole existing mode of organization of the public realm. Embedded as they are in the midst of the city’s labyrinthine fabric, the campi are not in visual contact with each other. It would nevertheless not be appropriate to call them isole (islands) in the sense of being isolated, because they do communicate with each other, linked via a network of winding passageways exclusively for pedestrians. The complex layout of the flat, densely-built-up island of Venice that rises out of the lagoon is exceptionally opaque, by no means easy for anyone to commit to memory. But penetration into the fabric of the “city of pedestrians” is rewarded by the experience of the numerous campi, enclaves where the rhythms of day-to-day life continue as before, injecting vitality into all the city’s neighbourhoods. An exploratory stroll in them evokes sensations of intense contrast at the transition from narrow dimly lit alleyways to the open spaces of the camp (darkness – light, narrowness – space), agreeable revelations (limitation – freedom) and above all a unique wealth of impressions. Folegandros (Greece): One distinctive feature of Chora, the traditional settlement with its level, accessible, pedestrian-friendly physiognomy, is the proportionately large open public spaces. The straight-line perspectives of the successive public squares contribute to forming an unbroken continuum of easily comprehended and aesthetically memorable public open spaces. Like a succession of landscapes engraved in miniature the squares unfold one after another along a pedestrian axis that is like the backbone of the settlement and from which wheeled vehicles have been excluded. Movement in the environs of the squares takes place before the eyes of the public and the traffic flow is WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

66 The Sustainable World continuous. The sequential encounter with the squares evokes in pedestrians a sense of pleasurable anticipation, giving way to surprise at the squares’ unusual diversity. The impressions created by each square are influenced by those preceding it and in turn influence those succeeding it. Savannah (Georgia, U.S.A.): The basic features in the architectural layout of the city’s historic centre are its regular geometrical formation, the equal distribution of public space throughout the entire expanse of the old city, the abundant greenery, the visual transparency and openness of communication between the 22 public squares, the spatial and temporal orientation and the priority afforded to pedestrians over automobiles. Τhe uniform character of the network of public squares, each of them like a small oasis, is a significant privilege for a city in the warm and humid South of the United States, constituting a challenge and an invitation to linger in them. The pedestrian circulation, the channeling of movement towards low-traffic-density roads, the visual communication between the squares, all these factors generate a pleasing sense of anticipation and a variety of impressions from the different individual aspects of the form and content of each square. Venice canals (California, USA.): Τhe final example has to do with a historic and exclusively residential neighbourhood. Its predominating feature is one of absolute equality and absolute egalitarianism in designation of public and private space. The rectangular layout of the network of linear and open public locations in the canal neighbourhood is an all-pervasive element, making it possible for movement to be entirely on foot or entirely by boat, for visual communication to exist between the enclaves, and for there to be utilization and full highlighting of the built-up areas. The network of canals bordering the property of the residents, extending the private open space, projects, the image of a uniform ensemble of open spaces around flowing water. The enclosed layout, the austere geometry of the canals and the parallel movements of their users, from this direction, from that direction, beside the waters, provide escape-routes that captivate the attention, orient movement, facilitate comprehension, utilization and enjoyment of the public space in a unique historic residential neighbourhbood. Differences in the physiognomy of the squares had to do essentially with geographical features, topography, political, economic and historical context, with their developmental trajectory, architectural physiognomy and identity. Here we propose to underline the elements that are linked to elaboration of the town plan, the squares and their most prominent characteristics.

3 Final comments – the whole and the part Public open spaces: streets, squares, greens – these are the commons of the city. In present-day cities the desideratum is that there should be a network of living open spaces able to reveal the public realm to the roving observer. Lord Rogers says “… to achieve urban integration means thinking of urban open space not as an isolated unit—be it a street, park or square—but as a vital part of urban landscape with its own specific set of functions. Public space should be conceived of as an outdoor room within a neighbourhood, somewhere to relax, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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and enjoy the urban experience, a venue for a range of different activities, from outdoor eating to street entertainment; from sport and play areas to a venue for civic or political functions; and most importantly of all a place for walking or sitting-out. Public spaces work best when they establish a direct relationship between the space and the people who live and work around it”. [4]. The diffusion and the linking together of places in a “Legato” (linkage, from the musical term meaning connected) movement are among the virtues of the public sphere as manifested in the cities under discussion, which belong in both the “natural” and the “systematically planned” categories. Their networks of public space generate organic wholes, in the framework of which public spaces function as centres – poles of attraction and points of intersection for a variety of paths, constituting a whole that is more than the sum of its parts. The diffusion of living public open space over all the expanse of a city for a start demonstrates a democratic outlook and a disposition to make use of all possible areas as enclaves of public life with the ability also to function as the city’s “lungs”. Τhe “Legato” of the individual building complexes is a prerequisite for the sustainability of the specimen cities. The mode of effecting the linkage differs in all four cases, but there are the common factors not only of decentralization but also of linkage for pedestrian traffic in a continuous band. Open public spaces generate continuities and discontinuities. The degree of proximity to each other of the open architectural shells, the way in which their style of interaction also determines their mode of composition as a unified ensemble. “The natural and anthropogenic elements of impermeable matter shape space, but this space cannot be regarded as conceptually neutral, nor absolutely empty. There are visible forces of attraction and repulsion running through it, with their origins in the size and the shape of structural elements, and all together constituting a kind of field. The space between the two constructs appears denser or sparser depending on the size and shape of the intervening space they define” [5]. In existing urban fabrics, the networking-cum-unification of open spaces can act as an effective medium for reinvigorating them. The visual conception of a coherent image of spaces, monuments or building clusters facilitates spatial and temporary orientation and the highlighting of distinctive elements in the physiognomy of a city. The linking up of the archaeological sites inside the urban fabric of present-day Athens, in view of Greece’s hosting the Olympic Games in 2004, aimed at projecting the elements of the city’s identity in Classical and Hellenistic times. A daily walk in these districts is evidently not only enjoyable and enlightening for visitors but also refreshing for the resident of the city, presenting as it does another picture of Athens. The unfailing vitality of open public spaces over time testifies to the evolutionary course of a past which has a present and a future. A culture of public life is required if the city’s public face is to be recaptured. What is required is a systematic endeavour anchored in an upgrading and a highlighting of the intervening spaces, planning, not the piecemeal and fragmentary, not isolated buildings but the spaces that they create. “The wheel has thirty something spokes but it becomes useful on account of the hole in its centre. Fashion the pitcher with clay: it is its interior that is useful. Houses are not the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

68 The Sustainable World walls but the empty space inside, which they enclose. Thus, the obvious is necessary and the undeclared is useful.” (Lao Tzu [6]).

References [1] http://en.wikipedia.org/wiki/Urban_planning. (As early as 2600 B.C. in India large cities were being constructed with build-up areas criss-crossed by grids of streets running parallel and perpendicular to each other, from north to south and east to west. Similar cities were also being built in Egypt, Babylon, China and Greece with its oldest city , Miletus -5th century B.C.having been planned by Hippodamus). [2] P. Downton, Ecopolis: Architecture and cities for a changing climate, Springer, p 369, 2009. [3] R. Toledano, Savannah, Architectural & Cultural Treasures, Preservation Press, John Wiley& Sons, INC, p 59, 1997. [4] Rogers, R., et al., Urban Task Force, Towards an Urban Renaissance: Final Report of the Urban Task Force Chaired by Lord Rogers of Riverside. Department of the Environment, Transport and the Regions, London p 57, 1999. [5] R. Arnheim, The dynamics of architectural form, University Studio Press, Thessaloniki pp 37-39, 2003. [6] Lao Tzu ‘Tao Te Ching’, Τhe book of Reason and of Nature, Smili Editions, Athens, p.35, 1996.

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Linkages between responses to the available amenities and expressed environment-related health needs in international refugee camp, Oru-Ijebu, Nigeria A. O. Afon1, M. A. Asani2, S. A. Adeyinka1, A. Z. Hasan3, M. S. Jimah3, T. U. Ilogho3, T. G. Faborode1, G. B. Faniran1 & K. O. Popoola1 1

Obafemi Awolowo University, Ile-Ife, Nigeria Ladoke Akintola University of Techn ology, Ogbomoso, Nigeria 3 Auchi Polytechnic, Auchi, Nigeria 2

Abstract This study investigated the relationship between the refugees’ responses to the available amenities and the expressed health needs that are environment-related. Subjecting the data obtained from the refugees in Oru-Ijebu international refugee camp, Nigeria to analysis, a link between the adequacy level of existing environmental amenities and environment-unfriendly behaviour exhibited by the refugees, producing conditions that favour diseases was established. Similarly, a very high degree of relationship was found between the environment produced by refugees’ responses and the expressed health needs of the refugees as revealed by the records of the diseases treated in the camp’s health centre over a five year period. The study concluded that the need to provide adequate amenities and enforce environmental sanitation rules and regulations cannot be overemphasized. Furthermore, environmental education and enlightenment programs should be introduced in all the different phases of a camp’s development. Keywords: expressed health needs, refugee camp, environment-related health needs, environmental education, responses to available amenities.

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1 Introduction The office of the United Nations High Commissioner for Refugees (UNHCR) was established in December 14, 1950 [1]. It was to protect and support refugees at the request of a government or the United Nations itself. It was also expected that UNHCR should assist in refugees’ return or resettlement. Under International Law, refugees are individuals who are: outside their country of nationality or habitual residence; have a well founded fear of persecution of their race, religion, membership in a particular social group or political opinion, and are unable or unwilling to avail themselves of the protection of that country, or to return there, for fear of persecution [1]. In the 1950s, many nations in Africa suffered series of civil wars and ethnic strife. This generated a massive number of refugees at that time. It is on record that refugees in Africa increased from 560,000 in 1968 to 6,775,000 in 1992 [2]; although the number dropped to 2,748,400 by the end of 2004 [2]. By the end of 2004, about 5000 or more refugees were found across such African countries as Sudan (930,612), Burundi (485,764) Democratic Republic of Congo (462,203), Somalia (389,272), Liberia (335,467) and Angola (228,838) [3]. Of importance to us in this study is the environmental health effects of the Liberian refugees in Nigeria. In order to receive the refugees from the Liberian civil war, the Federal Government of Nigeria established an agency – the National Commission for Refugees (NCFR) through Decree No. 52 of 1989 [4]. The agency was to work in collaboration with the UNHCR whose headquarters was in Geneva, the Switzerland. The NCFR was to provide a site for the stranded Liberian refugees in Apapa, Lagos- the former national capital city of Nigeria. This development gave birth to a refugee camp in Oru-Ijebu, Ogun State; the only state in Nigeria that shares boundary with Lagos. The camp was formally opened on November 17, 1990. At the inception, the site was named Liberian Refugee Camp. This was because the camp only hosted refugees from Liberia. In 1997, due to internal strife in Sierra Leone, refugees were brought from the country. Thus, the camp was re-named Oru Refugee camp. Since this development, any person granted the status of a refugee by both the Federal Government of Nigeria and UNHCR was sent to the camp for habitation. As at the time of data collection for this study, there were 4917 refugees in the camp [5]. Table 1 below shows the distribution of the refugees according to their countries of origin. The highest proportion of the refugees in the camp (85.4%) were Liberians. The camp site was the former Muslim Teacher Training College, established in 1953 but eventually closed down along with others in 1982. This was when the minimum qualification of teachers in primary school was raised to National Certificate of Education. Therefore, until 1990 when the school site was turned to a refugee camp, it was an abandoned site. The camp inherited from the Muslim Teachers College six blocks of hostels, an administrative block, a block of twelve classrooms, three blocks of residential WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Refugees and countries of origin.

Nationality Liberian Sierra Leone Democratic republic of Congo Sudan Rwanda Ivory coast Cameroon Burundi Chad Ghana Total Source: [5].

Number of refugees 4198 640 38 20 10 6 2 1 1 1 4917

% 85.4 13.02 0.77 0.41 0.20 0.12 0.04 0.02 0.02 0.02 100

staff quarters and a mosque. Upon becoming a refugee camp, the administrative block remained as the offices of the camp management staff while the three blocks of staff quarters became their residences. All the classrooms in addition to the six blocks of students’ hostels became the residential accommodation for the refugees. The refugee camp occupied a land area of 4.2 hectares [5]. It is widely acknowledged that an estimated 80% of refugees are women and children [2, 6]. These women often carry the heaviest burden of survival for themselves and their families. It is also noted that children and youth constituted approximately 50% of all refugees world wide [2]. They are usually the deliberate targets of abuse, military recruitment and abduction [2]. It is reported that more than 43 million children living in conflict-affected areas do not have a chance to go to school [2]. Women and adolescent girls in refugee settings are especially vulnerable to exploitation, rape, abuse and other forms of gender-based violence [2]. These are in addition to the general condition of risks for diseases and lack of accessibility to adequate health care, poor level of environmental amenity provisions (like water and sanitation), decent housing and general poor environmental conditions. Meeting the above and other needs in refugee camp becomes problematic for a number of factors. As observed by UNHCR [6] the complexity of problems to be managed vary from the different phases of assistance to refugees and from one physical and locational settings to another. The ‘emergency relief’ phase for example is the most critical period of meeting the needs of the refugees. This is because of the unpredictability of the number of people involved, the direction in which people might flee for safety or what the resulting impact on local settlements and the environment is likely to be [6]. The ‘care and maintenance’ also known as ‘monitoring’ phase according to Bjorgo [7] is when the refugee population in a camp becomes relatively stable. Main activities during this stage should be proactive, taking a long-term approach of managing both the natural and man-made resources on the camp for the benefit of the people. The third phase is the ‘durable solutions’ or rehabilitation [6]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

72 The Sustainable World Whatever the level of adequacy of environmental amenities provided in a camp would attract responses from the refugees. This is also true of all human settlements. Ezzati et al. [8] noted that behaviour producing hazards could be natural or responses to inadequate environmental amenities or both. For example, whether toilet facility is provided or not, it is inevitable, people must go to toilet. Similarly, whether waste disposal facility is available or not, it is inevitable to generate and dispose waste. Furthermore, waste water must be produced and disposed. For instance, Trevino and Farnandez [9] commented that the presence of raw sewage in the street of Nogales is traced to ‘responses to housing deficit and inadequate availability of sewage disposal system. Sadalla et al. [10] also arrived at similar conclusion in their study of Arizona – Sonora where they noted that residential behaviour including trash burning, the energy utilized in cooking, methods of bathing and construction of toilet facilities. Were all responses to adequacy level of amenities. Refugee camps can be likened to low income urban neighborhoods which suffers poorer basic municipal services. The responses to these inadequacies usually lead to human changes of environment that meet conditions that favour diseases, disturb and release-noxious levels of previously bound chemicals. Through the changes effected on the environment, all humans are exposed to environmental factors through the air breath, the water intake, contact with different substances and preparations [11]. Key health threats that are common where human responses to environmental amenity inadequacies favour diseases may include diarrhea, typhoid fever, cholera, acute respiratory infections such as pneumonia, tuberculosis, skin rashes among others. One major method of recognizing the health effects of residents’ responses to environmental amenities provided is through the records of diseases treated in the neigbourhood health centres. This is referred to as the expressed health needs.The yearly summary of the cases handled in health centre serving a refugee camp provides a good guide to determining the health needs that are related to environmental factors. This is because the patterns and prevalence of self-reported health problems reflect both underlying diseases and consequently health needs [12]. This observation is true for both the normal residential quarters of citizens and refugees. The purpose of this study is to examine in the first place the level of environmental amenities made available for refugees consumption in a camp located in Ogun State, Nigeria. Second, evaluation is made of refugees’ responses to the level of adequacy of the available amenities. Such responses will have environmental consequences which may develop into environmentrelated health problems. The complexity of environmental consequences and the associated health problems will be known through the analysis of the health records of the diseases treated in the refugees’ health centre. This represents the health needs of the refugees. This study is of significant importance for a number of reasons. In the first place, there is every evidence that man would continue to be displaced either through natural and man-made means. Hence, the need to plan and design refugee camp by professionals like architects, town planners and other social WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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workers will remain with us. Second, the international body (UNHCR) and the local ones will be able to recognize that inadequate provision of environmental amenities in a refugee camp may not be as dangerous as the responses that people will put up to cope with such inadequacies. And that, where responses to the lack of amenities promote environment that supports health risk, the health needs of the refugees will be environment-related. This study will therefore sensitize policy makers to take it as responsibility to provide minimum level of amenities that will promote good health condition of refugees.

2 Methodology The study utilized two sets of data. The first was the data collected from the refugees through questionnaire administration. To administer the questionnaire, the refugee camp was stratified into the existing 12 residential blocks. Twenty percent (one out of every five) of the rooms was systematically selected for survey. Presented in Table 2 are the names of blocks, the number of rooms in each block and the number of rooms sampled. A total of 71 refugees were sampled. Information obtained included socio-economic background, their knowledge of the available amenities and responses to the adequacy level of environmental amenities. Table 2:

Rooms selected for survey in each residential block on camp.

Block name Diplomatic Nairobi JFK IBB King villa Pastoral Block J Cabral Western Australia Nooh Ark Later day saints 60 housing units Total Source: Filed survey, 2006.

Total no of rooms 35 25 25 20 21 21 16 25 20 16 16 120 360

No of rooms sampled 7 5 5 4 4 4 3 5 4 3 3 24 71

The second set of data was collected from the health centre located on the camp. A range of information on the health statistics of all diseases treated were solicited and environment-related ones; that is, those related to sub-optional environment that could have resulted from responses to inadequate amenities were isolated. The information was obtained over a five year period of 2001 to 2005. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3 Research findings First to be examined in this section is the environmental amenities made available in the camp for refugees. Included in these amenities are housing and the associated facilities like toilets, water supply, solid and waste water management. All tables under this section are from the authors’ survey of 2006. Residential accommodation is one of the major problems in refugee camps all over the world. The refugee camp under investigation is not an exemption. With increased population from time to time, effectively housing the refugees became a serious problem. To supplement existing structures met on ground, the UNHCR in conjunction with the Ijebu North Local Government constructed sixty housing units. Each housing unit is made of two rooms. Investigation confirmed that the refugees contributed manual labour in the construction process. Despite the existing hostels used by students of the defunct Muslim Teachers’ College and the sixty housing units constructed, some refugees were housed in classrooms and tarpaulin cover. The research further revealed that most rooms were over crowded. Refugees residing in classrooms and tents had no access to toilet facilities. Refugees responded to the absence of adequate housing and associated facilities, in many different ways. For example, inadequate housing space has led to overcrowding. It was established that 48.8% of the refugees had occupancy ration of between 4 and 7 people sleeping in a room and the 29.6% of the refugees had over 7 persons per room. Recall that overcrowding can lead to the outbreak and spread of diseases like asthma, cough and catarrh. Accessibility to potable water by the refugees was poor. It was evident that the site had long ago been connected to public water mains. However, this source of water was no more functional. Similarly, there were eight spots where boreholes were sunk. As of August, 2006, only 50% of these were functioning and indeed 78% of the camp dwellers claimed that water from the boreholes was not potable. Over a quarter (26.6%) of the refugees made use of water from streams located within and in close proximity to the camp. Rain harvest accounted for 7.5% of water sources in the camp. Similarly, one of the most popular means of responding to lack of toilet and /or poor conditions of toilet facility is the use of nearby bush. Over a third of the refugees sampled (41.3%) were in the habit of using the bushes around as toilet. This method of using bushes to serve as toilet is very risky. This is because rain water run-off would wash human excreta into rivers and streams that are used for domestic purposes which may include drinking. It was therefore noted that a major source of pollution is through poor human fecal disposal practice. Refugees’ waste disposal practices in the absence of environment-friendly and sustainable means also varied. It is established that refugees used a combination of these methods. Three important methods of waste disposal were identified in the camp. The most important method of waste disposal was dumping on a designated spot. It accounted for 58.1% of the responses. Next in importance was burning. This is an act that was commonly in practice during the dry season. It accounted for 29.7% of the methods. Disposing waste WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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indiscriminately (on any available space) accounted for 12.2% of the methods. The environmental consequences of these methods are many. Open dumping makes it possible for diseases carrying vectors (flies, cockroaches, rodents, birds) to have access to waste. Through these vectors, foods both at home and on farms are contaminated. Burning waste generates noxious gasses that are emitted into the air and inhaled not only by those who practiced this method. Disposing waste indiscriminately has the possibility of causing wounds on residents through sharp objects disposed. This is in addition to the problem associated with dumping of waste on designated open space. Other general problems identified that are related to refugees’ responses to inadequate environmental amenities include those from poor management of waste water from kitchens, bathrooms and toilets. Pits and septic tanks to receive waste water were absent. In essence, such waste water are good breeding points for mosquitoes and also generates unsightly condition and bad odour. From the above analyses, conclusion can be drawn that the level of environmental amenities provided for the refugees were not adequate in OruIjebu camp. The consequences of the inadequacies resulted into refugees’ responses that were not environment-friendly. Before the examination of the relationship between the environmental consequences of refugees’ responses to inadequacies of facilities and the expressed health needs, refugees were instructed to identify the different environmental problems perceived to be present on camp. Summarized in Table 3 are the different environmental problems identified. The most prominent problem was the prevalence of disease vectors. These vectors include rodents, cockroaches, mosquitoes and flies. The problem accounted for 16.5% of all; and 88.7% of the refugees identified it. Others with significant dimensions include poor housing conditions (16.0%), poor sanitation conditions (13.9%), poor water supply (12.9%) and over crowding (9.7%). To establish the relationship between the environmental problems emanating from the consequences of refugees response to inadequate facilities and their expressed health needs, records of diseases treated in the health centre on the camp were obtained over a five year period of 2001 to 2005. Presented in Table 4 are the findings of environment-related ailments treated arranged in the descending order of magnitude. Malaria, an ailment mainly caused and transmitted by the bite received by human from a type of mosquitoes accounted for 71.2% of all diseases treated in the camp’s health centre. Next in magnitude of occurrence was dysentery and diarrhea (11.9%); an ailment that is mainly caused by the intake of untreated water. Other diseases traceable to intake of untreated water include typhoid fever (0.7%) and cholera (0.1%). These three diseases combined represented 12.8% of all the diseases treated. Cough, which accounted for 5.3% can be traced to pollution from burning of waste and can be spread through overcrowding in housing condition. Running nose, representing 2.8% of the ailments treated can be traced to pollution from using firewood as cooking fuel. From this simple analysis, it is evident that relationship exised between the health needs expressed by refugees and the environmental problems identified WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Environmental problems identified by refugees on the camp.

Environmental problems Poor sanitation Poor housing condition Poor water supply Overcrowding Pollution from fire wood used as cooking fuel Prevalence of disease vectors Pollution from burnt solid waste Pollution from human fecal Pollution from bad management of waste water Pollution from open waste dump N Table 4:

% of the 71 refugee sampled 74.6 85.9 69.0 52.1 36.6

% of the problem 13.9 16.0 12.9 9.7 6.8

88.7

16.5

29.6

5.5

47.9

8.9

26.8

5.0

25.4

4.7 381

Records of environment-related diseases treated in the health centre on the camp.

Disease treated Malaria Diarrhea & Dysentery Cough Abdominal Pain Running nose Chicken pox Skin (rashes) Common cold Typhoid fever Sore Throat Cholera Asthma Total %

2001

2002

Year 2003

2004

2005 1906 273

Total per disease 10157 1704

% to grand total 71.2 11.9

2143 352

2213 439

2194 330

1701 310

93 80

152 123

170 114

183 130

160 77

758 524

5.3 3.7

63 38 16 13 13 03 03 2817 19.7%

77 63 41 22 16 09 3155 22.1

91 55 51 20 24 12 16 02 3079 21.6

87 51 48 22 21 04 02 03 2562 18.0

79 40 45 38 19 06 01 08 2652 18.6

397 247 201 115 93 34 19 16 14265

2.8 1.7 1.4 0.9 0.7 0.2 0.1 0.1 100.0

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which are the consequences of the different responses of the refugees to inadequate supply of amenities on the camp.

4 Conclusion This study has significant implications for the refuge camps to be developed in the future and monitoring of existing ones. Although the planning and development of new refugee camps, is usually an emergency activity, it behoves both the UNHCR and the government of the country hosting the camp to be aware of the responsibilities on their shoulders. These include the provision of amenities and services. Indeed, the different professionals taken part in the planning and design of refugee camps are not left out in the fulfillment of these great responsibilities. Services like water and housing, and the associated facilities (toilet, waste water and solid waste management services) should be provided to prevent responses from the refugees that will produce negative environmental consequences. It is suggested that the location of refugee camp should not be completely segregated from an existing urban centre. This is to reduce initial costs of providing amenities that are usually very high. Services could be extended from existing cities to the camp. For example, if the distance between a refugee camp and an existing city is reasonable, solid waste collection service available in the city could be extended to the refugee camp. It is also imperative that the camp management should embark on environmental education and enlightenment campaign to the refugees. Educating refugees on the basic rule of hygiene will go a long way to producing environment-friendly attitude among them. Part of the enlightenment campaign can be on how to avoid the outbreak of communicable diseases especially through water intake, when the sources of water available are in suspect to be dangerous to human healthy living. In another dimension, the camp management may have to make and enforce environmental sanitation laws. This will prevent refugees from embarking on attitudes producing negative environmental consequences. This is important as it may be that not all responses are due to inadequate provision of environmental amenities; but due to ignorance and negligence. As it is difficult if not impossible to prevent the development of refugee camps, it is essential that those involved in the design, planning and management to be ready to improve the environmental quality of the camp. This will prevent the spending of higher portion of the camp’s budget on the curing the refugees of environment-related diseases and by extension the host community.

References [1] Wikipedia, the free encyclopedia, Refugee. http://en.wikipedia.org/ wiki/refugee assessed 17th April, 2009. [2] Encyclopedia Britannica, Refugees. http://www.britanica.com/eb/ article?tocld=9063088 assessed 14th April, 2009.

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78 The Sustainable World [3] United Nations High Commissioner for Refugees (UNHCR), Global Refugee Trends. http:///www.unhcr.ch/cgi-bin/texis/vtx/statistics/opendox assessed 17th April, 2009. [4] Federal Republic of Nigeria, Establishment of the National Commission for Refugees (NCFR). Decree No. 52; Government Press, Lagos, 1989. [5] National Commission for Refugee (NCFR), Handbook on Refugee Camp Oru-Ijebu, Nigeria. Federal Government Press, Lagos, 2002. [6] United Nation High Commissioner for Refugees (UNHCR), Help us give them shelter: we can’t do it alone. http://www.unhcr.org/protect/ PROTECTION/360366F44.htm assessed 20th April, 2009. [7] Bjorgo, E., Refugee Camp mapping using very high spatial resolution satellite sensor images. Geocarto International, 15(2), pp 8-15, June, 2000. [8] Ezzati, M., Utzinger, J., Caincross, S., Cohen, A. J. and Sugar, B. H., Environmental risks in the developing world: exposure indicators for evaluating intervention programs and policies. Journal of Epidemiology, and Community Health, 59, pp 5-22, 2005. [9] Travino, M., and Fernandez, A., The Maquiladora industry: adverse environmental impact and proposed solutions. Journal of Borderland Studies, 7, pp 53-72, 1992. [10] Sadala, E., Swanson, T. and Velasco, J., Residential behaviour and environmental hazards in Arizona – Zonora Colonia. Project Report Number EH 98 – 2, Department of Environmental Quality Boarder Team, Arizona State University, 1999. [11] Danish Environmental Protection Agency (DEPA), Environmental factor and health: the Danish experience. http://www.mst.dk/ assessed 11th June, 2006. [12] Reigneveld, S. A. and Stronks, K., The validity of self-reported use of health care across socio-economic strata: a comparison of survey and registration data. International Journal of Epidemiology, 30, pp. 1407 – 1414, 2001.

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Public participation in public private partnership projects – the way forward S. T. Ng, J. M. W. Wong & K. K. W. Wong Department of Civil Engineering, The University of Hong Kong, Hong Kong

Abstract Delivering public facilities and services through the public private partnerships approach has become increasingly popular. Unlike those public schemes where the government is responsible for the planning tasks, the private investors should formulate innovative solutions to satisfy the requirements and expectations of the society. Therefore, meeting the triple bottom line of people, planet and profit becomes a major challenge of the private investors, especially when the scheme could last for years and the impacts to the society, if any, may be very deep-rooted. Until now, little attention has been attributed to uplift the process of public participation in public private partnership projects, and there is a need to examine what should be done to ensure the interests of the community are catered for without compromising on the financial return. In this paper, the current practice of public participation in public private partnership projects is unveiled. Based on the findings of interviews conducted with relevant experts in Hong Kong, recommendations are made to rationalise the public participation process for public private partnerships. The findings of this paper would serve as a basis for the government of different countries to formulate policies to balance the interests of the private investors and the community in public private partnership projects. Keywords: public private partnerships, public engagement, social concerns, construction projects.

1 Introduction Public private partnerships (PPP) offer a promising project delivery alternative by capitalising on the financial, creative, managerial and commercial strengths of the private sector for facilities or services provision that would otherwise be WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100081

80 The Sustainable World ineffective or even impossible under a diminishing public capital expenditure regime [1–3]. Getting the private sector involved in the provision of public facilities and services could not only increase market competition and reduce reliance on the government [4], but it would also help stimulate the economy and create jobs [5]. The consequence is an improvement in productivity, service quality, work efficiency and cost effectiveness. Therefore, PPP has been widely used for the delivery of social facilities and services. PPP would only be justified if such an approach could provide greater valuefor-money to the public sector and is financially viable to the private investors. However, the best value may not necessarily be realised in every PPP project, as divergence in interests exists among the government, private investors and the general public [6, 7]. The public sector is subject to a higher risk in a PPP project [8], as there is a chance of losing public control over the private sector on service quality [9, 10]. Yet, the genuine concern of any PPP projects is the problem of accountability [11–13], including the problem of corruption and possible accusation of the transfer of business benefits [9]. Conflict of interests also arises when the pursuit for social benefits does not concur with the commercial returns and public savings [6, 14]. Pearson [15] believed that a PPP scheme would appeal to the community if it could result in an earlier availability of services, lower cost and better services quality. Other concerns of the general public include the reliability of service, level of charge, job opportunities, service failure, and so on [7, 8, 16, 17]. A successful PPP scheme is one that can satisfy the interests of all the three key parties. Currently, a mechanism known as the public sector comparator (PSC) is adopted by many countries including the United Kingdom, Australia and Hong Kong to establish whether PPP is a more attractive project delivery option than being procured in traditional ways by the government. Nonetheless, the evaluation in PSC is hinged on the financial merits of PPP schemes [11, 13]. This makes the outcomes at times rather ‘artificial’ and ‘biased’ [18]. Whitefield [9] argued that PSC and other pure quantitative evaluation approaches may be opened to manipulation should the costs and benefits of a PPP option be distorted. To increase the chance of success, it is necessary to appreciate the concerns of the society being affected by or interested in the PPP scheme. In this paper, the current practice of how social concerns are incorporated in the PPP process is first examined through a literature review. The concerns of PPP stakeholders are then identified. Finally, recommendations are put forward to improve the PPP process by considering the social aspects during each stage of the PPP process.

2 PPP guidelines Various PPP guidelines in advanced countries have been examined to unveil the current practice of evaluating a PPP project. In the UK, the London Government has issued a guidance note to assist decision-makers on how to assess the valuefor-money of PPP projects [3]. The guidance note emphasises that the option of PPP is only recommended after a robust assessment of all available options in WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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each set of circumstances [19]. It also suggests decision-makers to carry out value-for-money assessment at various stages of the project including at the early investment programme level, project level and procurement level. Evaluation procedures mainly involve market sounding which aims to determine the level of market interest; affordability test to ensure that the project is affordable by the government; qualitative assessment which involves the construction of public sector comparator; and qualitative assessment which addresses the different aspects of the PPP option in terms of viability, desirability and achievability. A detailed guideline on how to construct a public sector comparator has also been issued by the government [20]. The Ireland Government published a guidance note for PPP assessment in April 2000. This guidance note aims to assist decision-makers of the public sector to assess the potential of PPP to deliver improved value-for-money compared with traditional procurement at the ‘option appraisal stage’ [21]. The key elements in the PPP assessment process include: (i) initial output specification which includes definition of the required level of services; (ii) value-for-money assessment which involves identification of qualitative evaluation factors; (iii) preliminary risk assessment which includes the identification, quantification and allocation of risks; (iv) bankability assessment which includes the establishment of financing issues; (v) legal viability assessment which includes assessment of the legal ability of the contracting authority to enter into a PPP contract as well as other legal implications related to existing employees and assets; (vi) PPP option selection which involves the selection of the form and scope of PPP that offers best value-for-money; (vii) final value-for-money assessment which involves the identification of evaluation parameters and preparation of a financial comparator; and (viii) indicative implementation plan which involves planning of the organisational management structure and timetable for the activities in project procurement. In Canada, the Ministry of Municipal Affairs issued a PPP guide in May 1999 to assist local governments to evaluate various forms of service delivery and to establish the PPP arrangements [10]. This guide provides a list of factors that should be considered by decision makers when deciding whether to partner with the private sector. The various factors include: (i) the experience of local government; (ii) opportunity for innovation; (iii) support from users; (iv) existence of regulatory or legislative constraints; (v) quality of service output; and (vi) opportunities to foster economic development. The Industry Canada also published a PPP Canadian guide for practitioners which provides a more detailed discussion on the evaluation criteria that should be considered before pursing the PPP approach [22]. Six major criteria were identified, and they include (i) financial criteria – which refers to cost effectiveness calculation which can be done by CBA or PSC; (ii) technical criteria – which includes considerations about appropriate technical specification and mechanism for monitoring private sector performance; (iii) operational criteria – which includes the identification and articulation of operation and maintenance standards; (iv) acceptability – which is about the acceptance, support and commitment from the political parties, community and existing staff; (v) implementation – which is about the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

82 The Sustainable World opportunity for competition among perspective private partners, the legislative, regulatory and policy constraints, as well as the existence of in-house strong project team; and (vi) timing – which is about the adequacy of timelines to develop the operating specifications. Industry Canada has also issued a comprehensive guide for the use and construction of PSC [23]. In Australia, according to APCC [24], the feasibility of a potential PPP project is determined from the cost comparison between public sector comparator and PPP bids together with some non-financial considerations which are however not specified. The guidelines issued by the South Australian Government also emphasise on the application of public sector comparator for PPP feasibility evaluation while again no qualitative factors are mentioned [25]. However, the New South Wales Government and Victorian Government specifically include a ‘public interest test’ in the feasibility evaluation to assess PPP projects against public interest criteria before the project is put to market [26]. Those public interest criteria include project effectiveness, accountability and transparency, public access and equity, consumer rights, security, and privacy. In South Africa, a guide known as “Guidelines for undertaking a feasibility study for PPP projects” was issued by the National Treasury in 2001. It suggests that the feasibility study of a PPP project should contain the following sections: (i) needs-assessment; (ii) output specification; (iii) options analysis; (iv) PSC construction; (v) demonstration of affordability; and (vi) preparation of a benchmark for value-for-money [27]. While the above steps mainly involve the financial considerations of PPP, the feasibility guide also reminds decisionmakers the importance of the identification of qualitative factors, which were however not discussed in detail. In the PPP manual issued by the National Treasury in 2004, the authority has revised the recommended stages of PPP feasibility study to include the consideration of project due diligence before the construction of PSC and other economic valuations so as to address other qualitative factors like legal and socio-economic issues at early stage [28]. In Hong Kong, the Efficiency Unit of the HKSAR Government has issued an “Introductory Guide to Public Private Partnerships” in June 2003 discussing the various issues of PPP, including its advantages over conventional approaches, the construction of public sector comparator, selection of right private partner, financial and staffing issues, etc. A guideline published by the Efficiency Unit [29] in 2008 recommends engaging the public as soon as possible with on-going dialogues throughout the preparatory and implementation phases. However, the details in which public engagement should be carried out in each strategic stage of a PPP project are still lacking in this guide. The government departments are, therefore, free to conduct feasibility studies for their potential projects according to the department’s objectives.

3 Perception of stakeholders With a desire to improve the practice of PPP evaluation and to increase the success of PPP projects, semi-structured interviews were conducted with experts WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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with significant knowledge and experience in PPP schemes and/or public engagement. Finally, 15 interviews were completed with representatives of the government, private firms, district council and professional institutions. The majority of interviewees believed that it is necessary to improve the public engagement process in a PPP scheme. Nearly all of the interviewees expressed that public engagement shall be conducted at an early stage of a PPP scheme. They believed the government needed to do a better job in communicating with the public and improve on the packaging and presentation of the development plans so that the benefits of the project can be fully conveyed to the public, making it easier to gain social acceptance. There were opposing views amongst the interviewees on the topic of how public opinions should be incorporated into projects. One perspective was that public opinions should only be used for references and it is up to decision makers to decide after taking into account other aspects such as technical, economic, environmental, social and political constraints. The other perspective was that the public should have the ultimate decision since they are the ones who will be directly affected by the project. Yet, interviewees generally agreed that it is difficult to analyse the intangible benefits. It was widely agreed upon that the best way to safeguard stakeholders’ (and in particular public) interest is to have contracts and tendering selection processes structured in such a way that criteria for meeting social objectives are clearly stated. To retain interest from the private sector, incentives should also be incorporated into contracts when social benefits goals are met or exceeded. It was also suggested that a wide range of channels should be offered to the public for communicating their feedback throughout the entire process.

4 The way forward Based on the interview findings, it seems imperative to improve the public engagement process. While the process of PPP has been widely publicised and adopted, it is sensible to follow the steps of PPP as stipulated in the guideline instead. The “Introductory Guide to Public Private Partnerships” prepared by the Efficiency Unit of the HKSAR Government provides a clear definition about each stage of the PPP process, and it would be useful to try to incorporate the public engagement activities in each stage of the PPP process. According to the guideline, a PPP scheme shall be divided into eight stages: (i) mobilisation and development of a business case; (ii) funding; (iii) technical assessment, consultation and land requirements; (iv) expression of interest exercise; (v) policy and funding approvals; (vi) procurement and selection; (vii) service commencement; and (viii) payment and contract management. Table 1 highlights the public engagement activities at each of the eight stages of a PPP project. The concerns of the society should be identified as early as possible, and this can be achieved through various channels, e.g. pre-consultation meetings with major stakeholders and professional institutions, public forums with the entire

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84 The Sustainable World Table 1: Stage 1

Possible engagement activities in a PPP project.

PPP Activity Mobilisation and development of business case

2

Funding

3

Technical assessment, consultation and land requirements

4

Expression of interest

5

Policy and funding approval

6

Procurement and selection

7

Service commencement

8

Payment and contract arrangement

Engagement Activity Pre-consult major stakeholders and professional institutions Public consultation on possible options Gather opinions about the social concerns and their potential impacts Seek consensus with the general public on the overall vision Engage the general public in developing the conceptual scheme / plan Collect feedback about the possible accusation of transfer of interest Continue to monitor the perception of the general public Professional groups and watchdogs to monitor the negotiate process General public to monitor the services being provided Collect complaints and feedback from the users

Purpose To predict the public concerns and estimate the technical and financial feasibility To generate innovative ideas To include the identified social impacts in the public sector comparators To agree on the most feasible and beneficial option To work out some preliminary details of the scheme To ensure there is a balance between social and commercial interests To establish appropriate policies to ensure social interests are duly taken care of To ensure the concession items are to the best interest of the society To guarantee the services provided are up to the expectation of the society To impose sanctions and penalties to nonperforming service providers

society, focus group meetings with the affected groups, and interactive discussions with various sectors. These would help the government generating innovative ideas and establishing a checklist of social concerns or even a wish list for the scheme before inviting any private investors to express their interests and submitting a proposal. As PPP scheme would normally take time to plan and negotiate, the concerns of the citizens could have changed over time. It is therefore necessary to continue monitoring the perception of the community at the funding approval and procurement stages. The government should strive to balance the interests of the society and private investor if necessary and consider whether it is still worth pursuing PPP any more. Professional institutions and watchdogs should be invited to monitor the development of the proposals and the negotiation process

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to ensure the interests of the public by and large as identified at the preceding stages are duly considered before the scheme is awarded. There are examples where the facility and service providers failed to fulfil their service pledge. It is, therefore, important to involve the general public at the operation stage. Channels should be provided to the end-users, affected residents and pressure groups to make complaints or provide feedbacks to the government such that appropriate sanctions and penalties can be imposed to those nonperforming service providers.

5 Conclusions While PPP is an effective mechanism to ensure essential social facilities and services are provided under a tight public budget, the success of these projects depends not only on the financial viability of the scheme, but also more importantly on whether the scheme meets the expectations of the society. Unfortunately, the current practice of PPP evaluation focuses excessively on the value-for-money from a financial perspective. To improve the chance of success, the value of a PPP scheme should be built on social value and satisfaction instead. Currently, there is no systematic mechanism governing how social concerns should be captured from the society at different stages of a PPP project. It is imperative to devise a framework to guide the public engagement process so that different levels of the society can take part in a project which is meant to serve their needs. In this paper, a list of public engagement activities has been put forwarded for each of the PPP stages. Further research should be conducted to establish whether those activities are appropriate and adequate. Moreover, the perceptions of the society could be rather subjective, and it is necessary to develop a more transparent method to evaluate the social impacts in future.

Acknowledgement The authors would like to thank the Research Grants Council of the Government of Hong Kong Special Administrative Region for financially supporting this study through the Public Policy Research Scheme (Grant No.: 7010-PPR-4).

References [1] City of Seattle, Effective Public Private Partnership, Performance Perspective, Report #8, City of Seattle: Seattle, 1999. [2] Grimsey, D. & Lewis, M.K., Evaluating the risks of public private partnerships for infrastructure projects, International Journal of Project Management, 20(2), pp. 107-118, 2002. [3] HM Treasury, Value for Money Assessment Guidance, HMSO: London, 2004.

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86 The Sustainable World [4] Zhang X., Financial viability analysis and capital structure optimization in privatised public infrastructure projects, Journal of Construction Engineering and Management, ASCE, 131(6), pp. 656-668, 2005. [5] Bertig, E. O’Connor, J., Stambor, P., Steers, L. & Wall, I., Public-Private Partnerships in Seattle, League of Women Voters of Seattle: Seattle, 2000. [6] Reijniers, J.J.A.M., Organisation of public-private partnership projects, the timely prevention of pitfalls, International Journal of Project Management, 12(3), pp. 137-142, 1994. [7] Akintoye, A., Hardcastle, C., Beck, M., Chinyio, E. & Asenova, D., Achieving best value in private finance initiative project procurement, Construction Management and Economics, 21(5), pp. 461-470, 2003. [8] Li, B. Akintoyle, A., Edwards, P.J. & Hardcastle, C., Perceptions of positive and negative factors influencing the attractiveness of PPP/PFI procurement for construction projects in the UK, Engineering, Construction and Architectural Management, 12(2), pp. 125-148, 2005. [9] Whitefield. D, Public Services or Corporate Welfare: Rethinking the Nation State in the Global Economy, Pluto Press: London, 2001. [10] MOMA, Public Private Partnership – A Guide for Local Government, Ministry of Municipal Affairs: British Columbia, Canada, 1999. [11] Berg, S.V., Pollitt, M.G. & Tsuji, M., Private Initiatives in Infrastructure: Priorities, Incentives and Performance, Edward Elgar: Cheltenham, Northampton, UK, 2002. [12] Freeman, M., Critical Choices: The Debate over Public-Private Partnerships and What is Means for American’s Future, The National Council for Public-Private Partnerships: Washington D.C., 2003. [13] Efficiency Unit, Serving the Community by Using the Private Sector – An Introductory Guide to Public Private Partnerships (PPPs), The Government of HKSAR: Hong Kong, 2003. [14] Broadbent, J. & Laughlin, R., Public private partnership: an introduction, Accounting, Auditing & Accountability Journal, 16(3), pp. 332-341, 2003. [15] Pearson, M., Opportunities and obstacles for wider adoption of PPP models in Hong Kong, Proceedings: Public Private Partnerships – Opportunities and Challenges, Creative Consulting Group Inc. Ltd., Hong Kong, 2005. [16] Flanagan, J.L., Private/public partnership: a balancing act, Public Works, ProQuest Science Journals, 128(10), pp. 49-52, 1997. [17] Sahooly, A., Public-private partnership in the water supply and sanitation sector: the experience of the Republic of Yemen, Water Resources Development, 19(2), pp. 139-152, 2003. [18] Sussex, J., The Economics of the Private Finance Initiative in the NHS, Office for Health Economics: London, 2001. [19] HMSO, Local Government Act, HMSO: London, 1998. [20] Treasury Taskforce, How to Appoint and Work with a Preferred Bidder, Technical Note No. 4, Treasury Taskforce – Private Finance, HMSO: London, 1999.

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[21] DOE, Public Private Partnership Assessment, Public Private Partnership Guidance Note 4, Department of the Environment and Local Government: Ireland, 2000. [22] Industry Canada, Public-Private Partnerships: A Canadian Guide, A Guide for Practitioners of Public-Private Partnerships (P3s) which Represents the Best Experiences and Practices of those Currently Engaged in P3 Activity, Industry Canada: Canada, 2001. [23] Industry Canada, The Public Sector Comparator – A Canadian Best Practices Guide, Services Industries Branch, Industry Canada: Canada, 2003. [24] APCC, Discussion Paper: Key Issues in Procurement through PPPs, Australian Procurement and Construction Council: Australia, 2002. [25] South Australian Government, Private Sector Participation in the Provision of Public Services – Guidelines for the Public Sector, Department of Treasury and Finance, South Australian Government: Adelaide, 2002. [26] Webb, R. & Pulle, B., Public Private Partnerships: An Introduction, Research Paper No. 1, 2002-2003, Economics, Commerce and Industrial Relations Groups, available at http://www.aph.gov.au/library/pubs/rp/200203/03RP01.htm, 2002. [27] National Treasury, Feasibility Guidelines, Guidelines for Undertaking a Feasibility Study for PPP Projects, National Treasury PPP Manual, version I, National Treasury: South Africa, 2001. [28] National Treasury, PPP Manual – Module 4: PPP Feasibility Study, National Treasury PPP Practice Note No. 5, PPP Unit, National Treasury: South Africa, 2004. [29] Efficiency Unit, An Introductory Guide to Public Private Partnerships, Efficiency Unit, Hong Kong SAR Government: Hong Kong, 2008.

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BREEAM Communities in Spain A. L. Cabrita & J. R. Alvarez BREEAM España, Instituto Tecnológico de Galicia, Spain

Abstract Environmental assessment methods are widely recognised as one of the most efficient strategies to encourage environmental responsibility in the building sector. This recognition is based on more than 20 years of implementation, during which these methods have been adopted by the industry and stakeholders and have stimulated a demand for sustainable construction. BREEAM is the world’s leading environmental certificate with over 201,000 certified buildings. The methodology on which it is based has benefited from the broad experience of the Building Research Establishment and its many years of research. A new BREEAM scheme has been recently launched to address the impact of development projects within the built environment. BREEAM Communities identifies a holistic set of indicators and performance targets that will eventually determine the robustness of the urban project. The selection of targets and benchmarks and the definition of the assessment framework are key issues that are strongly determined by the geographic and social context. The ITG (Instituto Tecnológico de Galicia) is now responsible for the adaptation and future implementation of BREEAM Communities into the Spanish context. The adaptation process will involve extensive consultation with a broad range of experts and stakeholders that will provide feedback in some 40 areas of expertise, thus generating a comprehensive knowledge base about sustainable urbanization. This paper will point out the main issues that are to be considered during this process and how the assessing criteria will interact with the Spanish legal and environmental framework. Keywords: environmental assessment, labelling, certificate, sustainable communities, BREEAM, ITG.

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1

Introduction

Modern society has reached maturity and is now aware that a different dialogue with the environment is needed. The turning point at the Industrial Revolution gave rise to the first measures to mitigate the impact of human activities and to improve health conditions. That was the origin of the modern planning, which intended to control the way the city should grow. However, soon after, environmental concern in town planning fell into abeyance to give ground to other social or economic considerations. Once that wellbeing had been achieved, in the last quarter of the century the view went back again to examining the use of natural resources and the impact of development on Earth. As a result, contemporary society demands more information and objective quantification of the impact of their activities. Environmental impact assessment has become a key environmental mechanism in the last 30 years. The National Environmental Protection Act (NEPA, 1969) in the United States and Directive 85/377, amended by Council Directive 97/11/EC in Europe, required proper assessment when planning decisions were likely to have an impact on the environment [1]. The information about this potential impact is gathered by developers and supplied to decision makers. EIAs are being currently applied in different ways and to different levels depending on the regional context; this diversity makes comparison and extrapolation difficult and consequently, it limits the purposive potential of these tools. The Building Research Establishment Environmental Assessment Method (BREEAM) has narrowed the gap among developers, professionals and decision makers by setting a transparent framework that enhances synergies of the planning application process with specific sustainable targets. It does not replace any existing legislation and it is not compulsory, but both planning authorities and developers can directly benefit from it; the former by the assistance for decision making and the latter by improving the efficiency of the application process while demonstrating the sustainability of the project. The potential of this approach is verified by more than 200,000 evaluated and 700,000 registered buildings around the globe. It is expected that BREEAM Communities will help to identify and promote good practise at the urban scale in Spain too. In recent years, the Institute of Technology of Galicia, which has a strong connection to professional practise and the building industry, had detected a gap in the environmental appraisal of buildings and development projects in Spain. Current legislation does normally address a very late stage in the design process, which makes innovation very difficult. On the other hand, the town planning system varies for each region and so does environmental legislation. As a result, comparison and extrapolation becomes fruitless as the outcomes are strongly determined by the legal framework. In this context, the need for a tool which truly addresses sustainable design from the very early stage, facilitating clear and objective performance targets became crucial. The solid background of

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BREEAM Communities and its flexibility to adapt to the heterogeneous Spanish context made it a suitable candidate.

2 Sustainable communities When the Brundtland Commission first defined the concept of Sustainable Development as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs” [2] it was suggesting a double compromise; firstly, the idea of meeting the needs of the present implies a concept of satisfaction thus stability of the recently achieved social welfare. On the other hand, it suggests that an account of available resources and depletion rates are needed; in other words, an objective evaluation to ensure that the cyclic process can be sustained over time. More recently, the Communities and Local Government had defined a Sustainable Community as places where “people want to live and work, now and in the future, meeting the diverse needs of existing and future resident” [3]. Securing wellbeing over time is a key aspect, which necessarily leads to a holistic approach where social, economic and environmental issues are to be considered. This global definition could be applicable to any developed region and it is therefore a common ground from which each local community could define a specific response. To be effective, the local response should be: - Aware about the local context; strengths, weaknesses, opportunities and threats from social, economic and environmental perspectives - Clear and consistent; to establish priorities, sustainable objectives which are feasible and measurable - Scientific rather than speculative, i.e. well informed about the state of the art in sustainable development research - Constructive; focusing on synergies rather than on obstacles - Compatible with the social and legal context - Far-sighted, to foresee how to monitor the achievement of sustainable targets - Flexible and adaptable; as priorities may evolve with time This sequential approach starts with a global objective, sustained wellbeing, which is tested by the achievement of specific targets. In a good logic, these targets are strongly influenced by the context. The importance of different parameters depends on location, background, nature and character of the site. However, the methods to establish, monitor and assess those indicators, can greatly benefit from certain levels of standardization, so that the robustness of the method can be verified under different realities. These methods should also observe and be observed by national legislation so as to avoid digressions or contradictions. The UK government, for instance, had launched a global agenda for sustainable communities whose main objectives have been included in the different BREEAM categories, whereas in Spain, national urban regulations are

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92 The Sustainable World rather sectoral. In the Spanish case, the sustainable character of a development is based on its impact upon nature and landscape conservation, social or economic issues are rather neglected or diverted to other sectoral laws. The elaboration of a sustainable framework by BREEAM Communities will facilitate the work of designers and their communication with decision makers.

3 BREEAM Communities and environmental impact assessment Although BREEAM Communities is not an environmental impact assessment method, these were immediate and close precedents. There are certain similarities as well as notable differences in the objectives and procedural techniques from both. After EIA directive, provision of information about the effect on the environment of certain activities has to be compiled before any final decision is taken. The specific definition of those activities was left for each state member. In UK, planning applications are divided in Schedule 1, for which EIA is compulsory (e.g. chemical plants, thermal and nuclear power stations…) and schedule 2, in which case the relevant planning authority decides whether it is necessary or not according to an screening process [4]. In Spain, the national law [5] listed a series of activities (agricultural, industrial, infrastructures…) for which EIA is statutory; planning is not explicitly mentioned at this level as it is a privilege of regional assemblies to establish the specific conditions for town and country planning on their territory. Normally, council development plans need to undertake an EIA and this evaluation satisfies every inferior development within the municipality that is not included in the national list of activities. It means that a masterplan for a new neighbourhood might not require an EIA. BREEAM Communities does not replace any existing legislation, and therefore it is not a substitute for EIA. However, it is a tool that can assist decision makers by providing objective information and support in a number of areas concerning urban sustainability. It is a third party voluntary assessment certification standard that enables to demonstrate and verify the environmental performance of urban developments. BREEAM implements national, regional and local planning policy requirements to create a common framework, facilitating the application process. Moreover, developers can benefit from an improved image and added value in the marketplace. This will encourage the adoption of standards beyond regulations to achieve a higher level and consequently a higher score in the certificate. The contents of an EIA can vary depending of its nature, for this reason there is a scoping process, to determine the coverage of the environmental impact assessment and the specific issues to be addressed. The scoping is requested from developers to the planning authorities and although is not mandatory it is strongly recommended [4]. Developers can identify the issues to be analyzed by using a systematic method (checklist, flowcharts…) before scoping is undertaken by planning authorities. Some common categories are typically addressed by EIA: WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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- Socio economic impact. The key indicator is usually the increase of population, direct or indirect - Noise impact prediction, during and after the work - Transport, prediction of trip attraction of the site, trip distribution and modes of transport - Air quality and climate impact, predicted emission rates, comparison with air quality standards - Soils, geology and geomorphology. Information of contaminated land and remediation, impact prediction on soil (erosion, pollution...) A sustainable development framework combines statutory planning requirements with specific environmental, social and economic sustainability objectives. Compliant assessment methodologies assist in the elaboration of specific targets to be met on a future development (for instance Regional Sustainability Checklists). BREEAM Communities has defined, structured and weighted the issues and categories which are recurrent in sustainable developments to create a comprehensive assessment framework. It covers the following categories: - Climate and energy - Community - Place shaping - Transport - Resources - Ecology - Business - Buildings. Finally, the EIA intends to illustrate or predict the effects on an activity that, by definition, is likely to have an important impact. As a result, they are often used as defensive tools to demonstrate that the benefits (normally economic) from that activity can justify the expected impact on the environment. It is information compiled by developer for decision makers to judge the balance between the benefits and drawbacks and based on that, they grant permission. For this reason, it is normally oriented to enhance the benefits of the project. On the other hand, the amount and complexity often goes beyond the possibilities of local planning authorities which do not have the level of expertise of specialized consulting bureaus. This can compromise the actual effectiveness or veracity of the assessment. BREEAM is an independent certification for residential, mixed-use and nondomestic developments. Since it is voluntary, developers have to set their sustainability targets from the outset. These targets can be agreed with the local authority and be based on the framework which is given by BREEAM Communities, which makes communication easier. Once these targets are clear, the design team can orientate the projects towards the achievement of those goals. This sequence will allow the integration between sustainability objectives and the design process, therefore making a real effect in the quality and impact of future developments.

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4 Methodology of BREEAM Communities in the UK The BREEAM Communities scheme has been specifically designed to assess the environmental impact of developments within the English Regions. It has been tailored to the specific planning policy requirements of England. Therefore, for any other region or state, an adaptation of the schemes will be needed. However, the essence of the essence, structure, process and methodology will remain invariable. 4.1 The process The process to get a BREEAM Communities certification has three main stages. It starts with the registration of a compliant assessment framework; this is a mandatory requirement if a development wants to achieve certification against the BREEAM Communities standard. The compliant assessment framework provides the foundation from which specific sustainability objectives and relevant planning requirements are established. It can be agreed between the development team and the planning authority. BREEAM Communities defines the core criteria which should be used to form the base of the compliant assessment framework that a BREEAM Communities assessor will finally compile and report on. The second stage is an optional Interim Certificate at the Outline Planning Stage. It measures the level of achievement of the targets outlined at the preliminary planning stage against the key sustainability objectives and planning policies. It does not contain a final assessment rating but indicates whether the submitted assessment report has passed or failed. Therefore, it cannot be used to replace the “final” certificate, as there is not enough detail at this stage. It is very effective to consider environmental, social and economic sustainability issues from the outset as this will assist in achieving higher level objectives optimizing resources and cost. At the third stage, the Detailed Planning Stage, a “Final” Certification measures the detailed commitments outlined within the final planning stage application against the key sustainability objectives and planning policy requirements. The final certificate can be achieved by either completing a review of the Outline Planning Stage or by proceeding directly to the detailed planning application assessment [6]. 4.2 Environmental indicators The BREEAM Communities scheme addresses social, economic and environmental sustainability by defining a performance targets and assessment criteria that must be met to confirm the target has been achieved. Credits are awarded based on the masterplan’s performance against those criteria. Table 1 explains the eight categories and the respective environmental issues that are covered:

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Table 1:

Summary of BREEAM Communities’ categories [7].

Category Description

Climate and Energy

Resources

Transport

Ecology

Business

Community

Place Shaping

Buildings

Issues Covered

Reducing the proposed project’s contribution to climate change whilst ensuring that developments are appropriately adapted to the impacts of present and future climate change.

    

Flood Management Energy and Water Efficiency Renewable Energy Infrastructure Passive Design Principles

Designing for the efficient use of resources including water, materials and waste in construction, operation and demolition, and minimising the life cycle impacts of materials chosen.

    

Land Use and Remediation Material Selection Waste Management Construction Management Modern Methods of Construction

Addressing how people can get to the facilities and locations that they need; giving people choices other than private cars and encouraging walking and cycling for healthier lifestyles.

    

Walkable Neighbourhoods Cycle Networks Provision of Public Transport Green Travel Plans Construction Transport

Conserving the ecology living on and visiting the site and taking full opportunity for ecological enhancement within and around the development as well as on buildings.

    

Maintaining / Enhancing Habitat Green Corridors Ground Pollution Contaminated Land Landscaping Schemes

Providing opportunities for businesses to locate and serve both the locality and provide jobs for people living in and around the development.

   

Inward Investment Local Employment Knowledge Sharing Sustainable Charters

Designing the development to support a vibrant new community which can integrate with surrounding areas, avoiding creating actual or perceived “gated” communities.

     

Social Impact Assessment Community Engagement Sustainable Lifestyles Facilities Management Mixed of Use Affordable Housing

Provide a framework for the design of a ‘real place’ with an identity that ensures that people can instinctively find their way around. Also ensuring that the new development draws from the local context and heritage.

     

Site Selection Defensible Space Active Frontages Green Space Secured by Design Housing Density

Ensuring that the design of individual buildings contribute to the sustainability of the overall development through high environmental standards.

 BREEAM Buildings  Code for Sustainable Homes  EcoHomes

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96 The Sustainable World 4.3 Rating and certification Certification of the compliant assessment framework against the BREEAM Communities standard is undertaken by an independent and qualified BREEAM assessor. He verifies that the commitments have been followed through by the development team by collecting the evidence. He compiles an assessment report which is submitted to BRE Global for quality assurance and certification. The final score is determined by a sequence of filters and weightings: - Rating benchmarks - Regional weightings - Mandatory or optional credit issues - Credits for innovation 4.3.1 Rating benchmarks The rating benchmarks are spread out in short intervals as an incentive to encourage improvements from development teams. They are expressed as a percentage of the available credits for each region and type: - Unclassified <25% - Pass ≥25% - Good ≥40% - Very Good ≥55% - Excellent ≥70% ≥85% *It requires additional requirements - Outstanding* 4.3.2 Regional weightings A regional weighting factor has been determined by expert groups to provide the necessary regional variation between specific issues according to their importance on that specific context. These weighting will be applied to the credits achieved for that issue. For instance, according to the factors illustrated in table 2, the water strategy of the masterplan (RES5) can award one, two or three credits (as usual) if it fulfils the requisites for each level. However, due to the regional weightings, if the development is located in the North West Region, these credits are reduced to 0.5,1 and 1.5 respectively, as result of applying the 0.5 factor. Table 2:

RES5

Water Resources Masterplanning Strategy

Water RES6 Resources Groundwater

Example of regional weightings.

London

South East

South North North East West East West Mids

West East Yorkshire Mids England

1,0

1,0

N/A

0,9

0,5

1,0

1,0

1,0

1,0

1,0

1,0

1,0

1,0

0,8

1,0

1,0

1,0

1,0

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4.3.3 Mandatory and optional credits Each BREEAM issue establishes performance targets that fulfil and go beyond the minimum standard to satisfy planning policy requirements or other legislation. The targets represent minimum, good or best practice in sustainable development. Some issues are deemed mandatory by national policies, when this is the case, it is named as a core issue and the minimum standard requirement has to be fulfilled to achieve a BREEAM certificate. There are, therefore, a number of core credits that have to be necessarily achieved to pass the assessment. The optional credits are credits which are available to improve the final scoring, There is a maximum of three credits for each issue; the first one represents the minimum, which can be compulsory or not, the second credit is awarded when good practice is demonstrated by some specific evidences, the third credit is awarded when the masterplan satisfies the equivalent to best practice. Some of the optional credits become compulsory when the development aspires to “Outstanding” rating. It means that “Outstanding” certification cannot be achieved without those credits. 4.3.4 Credits for innovation Innovation credits provide additional recognition of a development that innovates in the field of sustainable performance. An additional 1% score can be added to a community project’s final BREEAM score for each Innovation credit achieved up to a maximum of 10%. The achievement of an Innovation credit follows a specific process that includes written approval from the BREEAM Office. 4.3.5 Score rating and calculation The process of calculation a BREEAM Communities rating is done by a BREEAM assessor and it is as follows: - First, the assessor determines the number of credits awarded for each issue, according to the established requirements. - Secondly, those credits are multiplied by the regional weightings to provide the score available for each issue. - The section scores are added together to give the overall score which is then compared to the benchmarks. Provided that all core requirements have been met, the relevant rating is achieved. - Finally, innovation credits can be added.

5 BREEAM Communities adaptation to Spain The Institute of Technology of Galicia (ITG) is non-profitable private Foundation which was founded in 1991 by the Official Chambers of Architects, Civil Engineers and Industrial Engineers. The ITG is working in collaboration with BRE Global in the development and adaptation to the Spanish context of a number of BREEAM schemes. BREEAM Communities is now on an advance stage on that adaptation process and the Spanish version is expected to be released by early 2011. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

98 The Sustainable World 5.1 Benefits of BREEAM Communities in Spain The implementation of a sustainable development assessment tool is relevant and of absolute necessity in the Spanish context. For many decades, environmentally conscious architecture had been a marginal field. Professionals with a focus on sustainable design were scarce and underestimated. However, in recent years, bioclimatic attributes have started to be seen as an added value in the market place and consequently, claims about good environmental performance and the sustainable character of buildings sprung up everywhere. That led to the definition of “greenwashing” as those unsupported allegations about the low environmental impact of a product. In Spain, this lack of rigour has been partially solved with the compulsory display of energy certificates, although it only covers part of the building’s environmental performance (as it is regardless of water, impact on other buildings, etc…) In urban planning the situation is even more dramatic and the eco-ism has proliferated at every scale (eco-towns, eco-neighbourhoods, etc.) In many cases these claims are not supported by transparent and clear arguments and the actual performance cannot be compared or tested against benchmarks. A primarily benefit of BREEAM Communities will be to provide an objective tool to demonstrate the sustainability of urban developments. Therefore, a verifiable good environmental performance will be encouraged over mere cosmetics or superficial greenwashing. 5.1.1 Benefits for developers and project teams BREEAM Communities will allow to effectively demonstrate the sustainability of the masterplan to the local authority, market place and industry in general. It will also allow standardizing the approach to planning requirements so as to improve efficiency and predictability. Negotiations with planning authorities can start at an early stage as there is a common framework given by BREEAM Communities. Interregional workflow will also be facilitated by this common ground. A very important aspect is that certification is undertaken at the detailed planning application stage, so that it will not depend on the lengthy urban procedures and execution periods. Developers can benefit then at a very early stage, from the international projection of BREEAM, and in case of outstanding performance the project can become a case study in the BREEAM network. 5.1.2 Benefits for planning authorities BREEAM Communities will help Spanish local authorities to turn planning decisions around faster and more confidently as the information provided will be unbiased, thorough and clear. Developers that meet their sustainability commitments can be easily recognized and BREEAM criteria can be tailored to respond to the specific local agenda. It is a valid support to address specific fields where smaller local administrations can lack expertise, such as transport or employment. It is a base for comparison with other local authorities’ sustainability performance; this will help in communicating the result of policies to electorate, business and government.

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5.1.3 Benefits for end users and the community Although BREEAM does not certify a community but the planning application (masterplan and documents) it does encourage a series of issues to be thoroughly considered during the design process to improve the environmental quality of the final result. Consequently, the inhabitants of that community will benefit from a quality assurance; by knowing how the masterplan scored against BREEAM standards, they can have a certainty about their prospective living environment before taking a decision. 5.1.4 Synergies and indirect benefits BREEAM is a consolidated tool in the UK, it has more than twenty years of experience and more than 200,000 buildings have been certified worldwide. United Kingdom has traditionally pioneered scientific environmental research and the context was favourable for this type of tool to flourish. There is a high degree of specialization and the role of every professional field is clearly assumed. In Spain much of the work is yet to be done, and for that reason BREEAM Communities is an effective catalyser to activate the demand for specialized research and professional specialization. It opens new fields in the labour market; independent professionals can become BREEAM assessors and offer that new service to their customers. BREEAM Communities encourages a multidisciplinary approach to the urban project as some credit requirements include the involvement of qualified professionals in the fields of ecology, energy or landscape. The implementation of BREEAM Communities will also indirectly promote the development of environmental research and computer tools, as they will find a new outlet in this comprehensive approach. Overall, the global community will benefit from environmental awareness in urban planning and subsequently from better living environments. 5.2 The adaptation process The adaptation of BREEAM Communities has started on last July with the final agreement between BRE Global and the ITG. The first stage in the process is devoted to compile relevant legislation to elaborate an adapted compliant assessment methodology. This is a major task that includes a first approach to the specific framework of Spanish regions. A second stage will consist on extensive consultation with experts in different fields that will be organized in technical groups of discussion. These technical teams will agree and validate the every environmental issue that is included in the different categories. An advisory board will ensure the global coherency and the coverage of all the relevant issues and BRE Global will subscribe the final validation. Finally, the BREEAM Communities will be tested on pilot projects before it is released to the market.

6 Conclusions This essay has explained the relevancy and the scope of the implementation of BREEAM Communities to Spain. It started by defining what a Sustainable WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

100 The Sustainable World Community should be and how the current legislation is not enough to provide a favourable scenario. Encouragement of the private sector towards the improvement of the environmental quality of urban developments would greatly decrease the impact of urban growth. Unlike regular EIA, BREEAM Communities allows developers to attain an added value for their product which will spread a higher environmental concern. BREEAM Communities will allow demonstrating the sustainability of a masterplan to local authorities and marketplace; it will also activate environmental industry and specialized professional sectors. ITG is leading this adaptation process that is due to be released by 2011.

References [1] Morris, P. & Therivel, R. Methods of Environmental Impact Assessment. Spon Press, 2001. [2] Bell, S. & McGilliray, D. Environmental Law. Oxford Press University. p.31, 2006 [3] Communities and Local Government .Communities and neighbourhoods. Definition of a sustainable community. Archived online in www.communities.gov.uk/archived/generalcontent/communities/whatis [4] The Royal Town Planning Institute (RTPI) PPS 13 Environmental Impact Assessment. RTPI, 1995 [5] Ministerio de Medio Ambiente. Real Decreto Legislativo 1/2008 Ley de Evaluación de Impacto Ambiental de proyectos. BOE nº23 26th January 2008. pp4986-5000 [6] Cotter, E. Halewood, J. and Williams, C. Delivering Sustainable Development in the Built Environment. BRE IP 4/09, 2009 [7] Building Research Establishment (BRE) BREEAM Communities. Technical Guidance Manual. BRE Global, 2009

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Rural-urban gradient and sustainability in Spain: a municipal-scale approach O. de Cos, P. Reques & M. Marañón Research group: “Espacios y Territorio: Análisis y ordenación”, Departamento de Geografía, Urbanismo y Ordenación del Territorio, University of Cantabria, Spain

Abstract This article attempts to provide a methodological approach to the insufficiency of the statistical criteria used to determine that a municipal area is rural (less than 2,000 inhabitants), semi-urban (2,000 to 10,000 inhabitants) or urban (more than 10,000 inhabitants). In contrast to this system, a conceptual and methodological alternative is proposed, based on different territorial, demographic and economic indicators, which enables the traditional rural-urban duality or dichotomy to be overcome in order to empirically confirm the hypothesis of continuum or rural-urban gradient within the Spanish territory. With this aim, we analyse and map different indicators, related positively or negatively to the degree of urbanization, referred to as municipal areas in Spain. The territorial indicators were: number of nuclei per square kilometre to measure the population dispersal, the distance to urban nuclei, the occupation intensity of the territory, the percentage of population working outside the primary sector, the index of masculinity in adults related to the feminine over-emigration in rural environments, the degree of ageing, the demographic growth rates in different periods of recent history and the percentage of the working population with secondary and university study. All these indicators were standardized to enable them to be dealt with together and to make them comparable with the aim of creating a representative synthetic indicator. The end result has enabled the elaboration of a synthesis map in which the differing degrees of urbanization within the Spanish territory, and the importance that the urban system has in explaining it, are demonstrated. The article also alludes to the problems of sustainability that exist nowadays in the extreme poles of the

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102 The Sustainable World proposed model: namely, maximum rural level, derived from the high degree of depopulation and ageing, and the maximum degree of urbanization, derived from the high degree of concentration and of demographic growth. Keywords: rural-urban gradient, standardization, cartographic model, degree of urbanization.

1 Justification: aims and objectives The principal aim of this study is to provide a significant methodological solution for the determination of the rural-urban gradient in Spain, which overcomes the rigidity of the criterion based on demographic size. This is the most used statistical criterion; so, rural character is often associated with entities of fewer than 2,000 inhabitants, semi-urban character is attributed to places between 2,000 and 10,000 inhabitants and, finally, urban is identified with units of more than 10,000 inhabitants, as is done by the Spanish National Institute for Statistics. In the same way, as the OCDE (1994) proposed, the demographic size in relative terms is also used as a defining criterion for specifying the rural or urban character of a European municipal area, based on a population density threshold lower or higher than 150 inhabs/km2. In contrast to these methodological proposals (which are functional for the production of statistics but excessively simplifying for consideration of territorial patterns of population establishment and sustainability), a theoretical-conceptual alternative is proposed, based on different territorial, demographic and economical indicators. It enables the traditional rural-urban duality or dichotomy to be overcome and also the hypothesis of continuum or Spanish territorial ruralurban gradient to be empirically demonstrated, using the municipal area (and also, to a lesser extent, the population nucleus) as an analysis unit. The work aims to empirically demonstrate the existence of the rural-urban gradient in Spain, as a basis for later consideration of the sustainability problems suffered by the extremities of the model proposed. The problems of sustainability in the most rural spaces appear to be linked to their high degree of ageing and depopulation, which occur in numerous areas of the country, fundamentally in mountainous zones. These problems originate from the fact that human beings, below some critical thresholds (which some authors calculate to be 9 inhab/km2), no longer act as a factor for ecological equilibrium; within Spain there are paradigmatic examples. On the contrary, the spaces with the highest levels of urbanization, suffer problems of sustainability linked to their high level of demographic concentration and growth as well as to the daily transit of their inhabitants. Moreover, due to their progressive character, the current problems of sustainability show a trend, which far from levelling off, will tend to increase in the coming decades.

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2 The theoretical basis: rural-urban duality or rural-urban gradient? Nearly five decades after the publication of the work of Lewis Munford “The City in History” 1, there is still no substantial agreement about defining what is “urban” and what is “rural”. The challenges have increased in recent decades as a consequence of the changes undergone in one type of space and the other: new phenomena and new concepts are emerging, such as “urban crisis” (Ferrer 2) or the “rural renaissance” (Kayser 3). “Rural” and “Urban” are not now elements of a polarized and dual model, but elements of a system in which the idea of continuum or rural-urban gradient reflects the current reality (Marois 4). On the other hand, theories such as “demographic urbanization” (Davis 5), “urbanization of rural areas” (Baigorri 6; Newby 7), or “rururbanization” (Bauer and Roux 8), oblige the redefinition in the developed countries of the concept of “countryside” or rural area (Frouws 9) or, simply, to do without it as an absolute category (Hoggart 10; Hoggart et al. 11; Schmitt and GoffetteNagot 12). In developed countries, different methods have been proposed to empirically develop the hypothesis of continuum or rural-urban gradient. In France ambitious studies have enabled the elaboration of a rich and complex typology of rural spaces that contemplates the following groups: periurban municipalities, agricultural municipalities, residential tourism municipalities, extremely rural municipal areas. In this way, the rurality enables diverse approaches and, without doubt, economic-functional ones are the most important (Blanc 13). Rural spaces have an increasingly clear multi-functional character, but the extra-urban spaces are even more so: in addition to their basic agricultural function, they are also residential, recreational, environmental, landscape, economic (logistic centres, shopping malls, etc.), as well as scientific and educational, due to the presence of agricultural colleges, and research centres. In England and Wales, P. Cloke, one of the first authors to propose the term “counterurbanisation” 14, has been developing since the 80s different research works analyzing the degree of rurality of the English and Welsh counties and their recent evolution (Cloke and Edwards 15; Cloke and Little 16; Cloke and Thrift 17). In these works, the authors considered different parameters (about twenty of them) linked to socio-demographic census information (employment, growth of the population, degree of ageing, etc.) and to housing or land use. Clout 18 considered as rural those municipal areas that have a relatively low population density, a poor provision of infrastructures, a low proportion of secondary and tertiary sector assets, and a predominance of primary sector related land use (agricultural, forestry, etc.), in a model that was proposed for Europe. Other authors propose qualitative approaches and highlight the perceptions and meanings, stating that “rural” and “urban” are to a great extent “social constructions” although they appear to be segmented, not just for specific spaces,

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104 The Sustainable World but in relation to aspects of social reality (Halfacree 19; Paniagua and Hoggart 20; Paniagua 21). This succinct summary of the diversity of work that has been proposed on the concepts and methods adapted for analyzing the degree of urbanization of the territory demonstrates the interest that this field of study has had for the international scientific community. In fact, it is still an open research field that must respond to the emerging challenges of sustainability, differentiated in the dual “urban-rural” territorial patterns, in which environmental conflict is obvious: contaminated urban spaces and environmentally unsustainable ones are contrasted with environmentally sustainable rural spaces, but undergoing the pressure of the urban-metropolitan spaces, which see them simply as reserve spaces.

3 Methodology: cartographic modelling based on standardized variables The achievement of the principal aim of this study is based on exploration, analysis and cartographic representation of different indicators, positive or negatively related to the degree of urbanization, in the context of the 8,112 municipal areas in Spain. 3.1 Selection of representative variables The indicators incorporated into the final synthetic index used to determine the degree of urbanization of the territory are structured in five principal axes: geographic or territorial, structure-related demographic, evolutional or growthrelated demographic, economic and socio-educational. All these enable a cartographic model to be built up in which operators and variables synthesize initial standardized values in a continuous final index. The thematic structure described is taken as a reference for the methodological explanation; to do so, the different variables defining the ruralurban gradient will now be detailed in thematic axes from the territorial, demographic, economic and socio-educational viewpoints:  The geographic factor has grouped four variables, which are without doubt determinant when measuring the degree of urbanization or rurality of the Spanish municipal areas: the distance from the centre of the municipal area to a city of more than 30,000 inhabitants and more than 100,000 inhabitants, the number of population nuclei per square kilometre in each municipal area, which is a fundamental indicator to measure the degree of population dispersion within the territory and the gross population density (inhabitants per square kilometre) which permits an approximation to the degree of occupation of the territory and the demographic pressure on the geographical space. 

From the structural demography viewpoint two indicators are incorporated: the masculinity index in adults (15-65 year-olds) due to its

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relation with feminine over-emigration in rural zones and the degree of ageing, demonstrated as it is in the geographical analysis of the rural population both in greater ageing and in the feminine over-emigration in rural zones. 

The evolutional profile of the rural and urban zones is integrated from the rates of demographic growth in three key moments from the point of view of processes of extra-urbanization and metropolization (19811991, 1991-2001 and 2001-2007).



The economic axis was measured from a single but unequivocal indicator: the percentage of non-agricultural active population.



The socio-educational character de la population was approached from the percentage of the working population with secondary or higher qualifications.

3.2 Standardization of variables All these indicators have been standardized to transfer them to a common scale that enables them to be worked with together and to be compared, which is a necessary condition to create a representative synthetic indicator. The formula used for direct type variables is: Zi= value of x in the municipality i – average of x for the total of municipality/ x The application of this formula enables diagnostic maps to be generated with the lowest extreme values linked to the concept of “ruralisation” and a final synthesis map can be elaborated in which the differing degrees of urbanization of the Spanish territory are shown and the importance that the urban system has in explaining these differences is demonstrated. 3.3 Weighting and estimation of the synthetic indicator The cartographic model designed incorporates, after the previously described standardization, a weighting phase in which a differential weighting is established, expressed in decimals, that is applied to each of the previously described thematic axes, sharing this weighting fairly among the indicators that are integrated into the factor under consideration. Thus, the weighting given to each factor is: 0.5 to the geographical factor; 0.1 to the structural demographic factor; 0.2 to the evolutional demographic factor linked to the population dynamics over recent decades and, finally, 0.1 points to both the economic factor and to the socio-educational one. Zw = (F g*0.5) + (F de*0.2) + (F dd *0.2) + (F e *0.1) + (F se* 0.1) WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

106 The Sustainable World where:  Zw = Weighted average of the standardized values  Fg = Geographic factor * 0.5  Fde = Demographic factor (structure) * 0.1  Fdc = Demographic factor (growth) * 0.2  Fe = Economic factor * 0.1  F se = Socio-educational factor * 0.1

4 Discussion of results and conclusions The index obtained has an interpretation which could be termed degree of urbanization with positive and negative values which are directly proportional to the level of urbanization reached by each municipal area over the base of the previously described indicators. The cartographic representation of the final synthetic index (Figure 1) demonstrates the existence of dual rural-urban behaviour which is continuous in the territory starting from a series of intermediate degrees of urbanization in turn demonstrates the existence of a rural-urban gradient, from the principal urban and metropolitan systems (in bright red, with values over 1) to the zones with the most rural features at the opposite extremity (with levels below -1). In these spatial patterns, the accessibility and ease of travel factors have had a fundamental role. Therefore, the configuration of dynamic residential expansion

Figure 1:

Cartographic synthesis of rural–urban gradient in Spain (colour online only).

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into previously rural municipal areas generates a series of intermediate levels that fulfil the principles of diffuse logic in which the territory does not behave in a categorical way at all, but where the realities of urban and rural environments overlap and mix according to a model in which the dynamic part puts pressure on the regressive one and where the polarization of the realities gives rise to a rural-urban gradient that is not exempt from sustainability problems, especially at the extremities of the model proposed. Sustainability issues in the most rural spaces are linked to their high degree of ageing and depopulation, which are provoked in many areas of the country, fundamentally mountainous ones, by problems derived from the fact that humans, below a critical threshold, which some authors calculate to be 9 inhabitants per square kilometre, no longer act as a factor for ecological equilibrium. In contrast the spaces with the maximum level of urbanization have sustainability problems linked to their high degree of demographic concentration and growth and the daily mobility requirements.

References [1] Mumford, L., (1979): The City in History. New York. [2] Ferrer, M. (1988): “La naturaleza de la crisis urbana”. En: Espacios rurales y urbanos en áreas industrializadas. Pp. 101-115. [3] Kayser, B. (1990): La renaissance rurale. Ed. Armand Colín. París. [4] Marois, C. (1996): “Le couple ville-campagne: une cohabitation changeante” L 'action nationale, 2: 201-207. [5] Davis, K. (1979): “Urbanización de la población humana”, Scientific American (Nº monografico sobre la ciudad” [6] Baigorri, A. (1983), “La urbanización del mundo campesino”, Documentación Social, 51, pp. 143-148. [7] Newby, H. (1980): 'Urbanización y estructura de clases rurales', Agricultura y Sociedad, 14, pp. 9-48. NEWBY, H. (1986): “Locality and Rurality: The Restructuring of Rural Social Relations”. Regional Studies, volume 20-3, pp. 209-215. -NEWBY, H. (1980): 'Urbanización y estructura de clases rurales', Agricultura y Sociedad, 14, pp. 9-48. [8] Bauer, G. & Roux, J. M. (1976): La rurbanísation ou la ville éparpillée, Seuil, París. [9] Frouws, J. (1998): “The Contested Redefinitíon of the Countryside. An Analysis of Rural Discourses in The Netherlands”. Sociología Ruralis, volume 38-1, pp. 54-68. [10] Hoggart, K. (1988): “Not a Definition of Rural”. Área, 20.1, pp. 3540.Hoggart, K. (1990): “Let's Do Away with Rural”. Journal of Rural Studies, volume 6, pp. 245-257. [11] Hoggart, K.; Buller, H. and Black, R. (1995): Rural Europe. Identity and Change. Arnold, London.

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108 The Sustainable World [12] Schmitt, B. and Goffette-Nagot, F. (2000): “Definir l'espace rural? De la difficulté d'une définition conceptuelle á la nécessité d'une délimitation statistique”. Economie Rurale, 257, pp. 42-55. [13] Blanc, M. (1997): “La ruralité: diversité des approches”. Economie Rurale, 242, pp. 5-12. [14] Cloke, P. (1985): “Counterurbanisation: A Rural Perspective”. Geography, 70, pp. 13-23. [15] Cloke, P. and Edwards, G. (1986): “Rurality in England and Wales 1981: A Replication of the 1971 Index”. Regional Studies, 20, pp. 289-306. [16] Cloke, P. and Little, J. (1990): The Rural State? Limits to Planning in Rural Society. Clarendon Press, Oxford. [17] Cloke, P. and Thrift, N. (1994): “Refiguring the "Rural”. En Cloke et al. Writing the rural. Five Cultural Geographies. P. Chapman, pp. 1-6, Liverpool. [18] Clout, H. (1993): “What Is the Rural?”. In: Clout, H. European Experience of Rural Development. The Rural Development Commission, Mimeo, London. [19] Halfacree, K. H. (1995): “Talking about Rurality: Social Representations of the Rural as Expressed by Residents of Six English Parishes”. Journal of Rural Studies, volume 11, issue 1, pp. 1-20. [20] Paniagua, A., Hoggart, K. (2002): “Lo rural, ¿hechos, discursos o representaciones? Una perspectiva geográfica de un debate clásico”. Información Comercial Española - Monográfico Globalización y Mundo rural, nº 803, nov-dic, pp. 61-71. [21] Paniagua, A. (2001): “Agri-environmental Policy in Spain. The Agenda of Socio-political Developments at the National, Regional and Local Levels”. Journal of Rural Studies, volume 17-1, pp. 81-98.

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Evaluation of the Kadıköy Hasanpasa Gasworks in the context of sustainable urban design S. Yuksel Department of Architecture, Dogus University, Turkey

Abstract Changing and developing technology has influenced the field of industry just as it has in many sectors of the society. Many buildings that were built for industrial purposes have outlived their function. These out-dated buildings have become like broken scabs in our cities, as functional aging appears. These empty and outdated buildings must be refunctionalized so as not to become a security threat to our cities, by becoming hosts to crime scenes and criminals. Refunctionalizing these buildings is crucial to cultural sustainability. The Architects Council of Europe (ACE) policy suggests the following idea about architecture and sustainability: extensions of the life of a current building or adaptation of a building going through functional aging will enable resources to be used more efficiently. Hasanpasa Gasworks is located in the Kadıköy district of Istanbul. It was established via French, German and Italian technologies in order to meet the gas needs of the Anatolian side of Istanbul in 1891. The Gasworks subsequently operated until it was closed down in 1993. The site and the buildings of the Gasworks were taken under protection and announced as a protected area in 1996. It is among a few important archeological industrial buildings that have survived until today. However, damage was done as some components of the building were detached when the building was being closed down. No steps for implementing cultural sustainability could be taken for Hasanpasa Gasworks as the area it covers is so large, approximately 33,000 square meters. In the present day, isolated gasometer buildings have started to be hosts to crime scenes in our cities. Some parts of Hasanpasa Gasworks were settled by Romanian gypsies. Every passing day is witnessing more and more destruction to the building. In this sense, it becomes compulsory to evaluate Hasanpasa Gasworks together with WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100111

110 The Sustainable World its environment within the concept of sustainability and to bring it into use again, to put more functions on it and in this way to turn it into a habitable place for the city and society. In this study, historical and cultural accumulation of Hasanpasa Gasworks will be considered, and it will be analyzed together with the district of Kadıköy Hasanpasa. Refunctionalization solutions will be presented in accordance with the environmental requirements. Keywords: sustainability, urban design, refunctioning, gasworks, Hasanpasa.

1 Introduction There is a mutual interaction between the cities and the societies that they accommodate. The dynamics in the social structure result in the transformation of urban spaces, while the problems in the urban environment affect the lives of people. Therefore, cities are organisms that are continuously developing and changing. Having considered the fact that the majority of populations live in urban environments, how significant the effects of the urban areas are on the quality of lives of the people has become apparent. The elevation of the quality of life in cities is citizens’ right. The notion of sustainability, which targets the existence of societies in coming centuries, should be handled along with the concepts of livability and quality of life, particularly in the context of urban design. Nowadays, the notion of sustainability has started to accentuate the idea of living simply by enlarging its scope to the concept of sustainable societies. The sustainable urban environment is accurately defined in the Architects Council of Europe (ACE) book titled “Architecture and Quality of Life” as: The sustainability of the public and private buildings and the safety of the public spaces have an enormous impact on the prosperity of citizens and hence on the structure of society. Therefore, sustainability must be taken into consideration in the development of the living environments [1].

2 The status of the industrial buildings in the historical process Technological developments have caused changes in the industrial field as they have in many other areas. The industrial buildings, which have lost their functions due to developing technology, have been evacuated and abandoned. The re-functioning and re-use of these buildings has become a problem in the last half of the century. The majority of these buildings has not been preserved and thus has been lost since the conservation of the industrial areas in Turkey is a very new issue. Ignoring their historical significance, the fact that they are considered within urban renewal projects has further contributed to their rapid deterioration. The number of industrial buildings in Istanbul was 221 in total, 187 of these buildings being on the European side, 33 of them on the Asian side and 1 on the island of Buyukada. Only 25 industrial buildings have survived WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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until today [2]. This shows how neglected the industrial buildings have been. Nonetheless, industrial buildings have very important assets from the perspective of the history of technology, architecture and culture. The conservation and transmission of industrial areas to successive generations is a matter that should be tackled in the context of sustainability. The Architect Council of Europe (ACE) also pointed out that cities are faced with problems such as “conserving and developing the architectural cultural heritage” and emphasized that sustainable urban development should contribute to the projects regarding transforming and using the areas and the buildings “especially those of abandoned industry” at the meeting in Brussels the city of Belgium in 2008 [3].

3 The gasworks The facilities that produce and store gas, which is obtained from the coalmines, to be used for heating and lighting in urban areas are called Gasworks. The purpose of constructing Gasworks was to illuminate the palaces and the streets. The lamps originally were lit with candles that were at the end of long sticks. This was done by officials every evening and in the morning the gas valves were closed. The gas has lost this function when electricity started to be used. Then the gas was utilized in the houses as natural gas. Later on the gas lost its function completely and the production of the Gasworks ceased. The gas was first obtained at the end of the 18th century by a Belgian chemist whose name was Jan Pieter Minckelers. It was used to illuminate many cities, mainly in Paris and London starting from the 1820’s [4]. The first use of gas was realized in 1856 for lighting of Dolmabahce Palace. Dolmabahce Gasworks was founded with the technology from England. The gasworks facilities were installed at the back of the palace under the reign of Sultan Abdulmecit. Due to excess production, gas was given to nearby neighborhoods such as Istiklal Street and the Pera District. Only one gasometer remains from the Dolmabahce Gasworks at the present. The idea of transforming the gas holder to a theater came up but it could not reach a tangible result [5]. The second usage of gas in Istanbul was the case of Kuzguncuk Gasworks, which was built to illuminate the palace of Beylerbeyi. The gasworks, which was founded in 1865, has also served the local neighborhood. The facilities services’ were stopped in 1940; the metal parts of it were moved to Hasanpasa Gasworks. The stone walls, as well as the pool, of the main and auxiliary building have remained until today. The stone walls and the pool of Kuzguncuk Gasworks have been registered as a first grade historical building by the Supreme Council of Monuments. The facilities of the Kuzguncuk Gasworks, which cover an area of 10,000 square meters, have been leased for 49 years by the Union of Mulkiyeliler (the University Students of Political Science in Ankara) to be used as a Cultural Center [6]. Yedikule Gasworks was the first in Istanbul to be established specifically for the social services in 1880. The previous gasworks were established to illuminate the palaces. All previous gasworks had been established for governmental WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

112 The Sustainable World buildings. However, Yedikule Gasworks, which was built on an area of 52,000 square meters, was built for lighting the streets of Istanbul, a direct benefit and service to the people. Yedikule Gasworks was closed in 1993, after an impressive 113 years of serving the community. Unfortunately, today Yedikule Gasworks stand in ruin as attempts to convert the buildings and site into a cultural center have not been achieved [7]. 3.1 Kadıköy-Hasanpasa Gasworks Istanbul is a city that had been the capital of Roman, Byzantine and Ottoman Empires, also it is a city that has land on Asian as well as the European Continents. Kadıköy, with historical and cultural value, is a district located in the Asian Region of Istanbul. Kadıköy, whose antique name was Khalkedon, is located on the coast of Sea of Marmara. It is a central district that has land, sea and railway transportation facilities. It is well developed in the areas of education, culture, health and trade. Hasanpasa is an old resort district of Kadıköy that developed after the construction of gasworks. Its population started to increase and migration began after the construction of gasworks. This area was developed as an industrial zone because of the gasworks as well as the establishment of mechanics, serving automotive industry. Hasanpasa Gasworks was built on an area of 33,000 square meters in Hasanpasa district by French and German engineers. Hasanpasa Gasworks, the construction of which started in 1887, begun production in 1891. It was granted to French administration for fifty years. The contract was renewed with the Republic Government of Turkey in 1924. It was converted to a single company being bought by the Yedikule Gasworks in 1926. It was then sold to the Istanbul Electricity Company in 1931. After continuing its existence independently between 1938 and 1944, it was then transferred to the Istanbul Electricity Tunnel and Tram Business (IETT) in 1945.

Figure 1:

The view of Hasanpasa Gasworks area in 1946 and 1966 [8].

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H Ga

I K

J

L M

N P U

Q

F

E D C

R B

T S A

Figure 2:

The site plan of Hasanpasa Gasworks.

A – Hall and Storages B – Storage C – Gas Counter Production Plant D – Showers E – Fire Station Building F – Compressor Building Ga – Gasometer H –Brick Storage I – Compressor Building J –Water Gas Production Plant K – Brick Storage Figure 3:

L – Coal Storage M – Oven N – Percolator O – Cooler P – Coal Storage Q – Compressor Building R – Oven S – Percolator T – Storage Building V – Lodging house

The list of the buildings of the gasworks.

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114 The Sustainable World The number of total ovens was increased up to ten by adding two new ovens in 1948. Rigged with new oven battery and gas releasing devices in 1957, a surplus of gas production above the demand of the Asian side of Istanbul was realized. As a result, a significant savings on coal consumption was provided. The gaswork’s production ended and it was closed in 1993 as the increasing use of LPG instead of gas as well as decrease in demand for gas [9, 10]. Following the closing of the Hasanpasa Gasworks, some mechanical items of the building’s insides had been removed and evacuated as observed in other industrial buildings in Turkey. The Gasworks, whose two gasometers were stripped off, has been damaged and continued to see damage until the usage of the building in an urban context came to agenda. Under these circumstances inhabitants of the district established the “Gasworks Environmental NonGovernmental Organization Volunteers” to protect the Gasworks and to provide its re-use for the public interest. The Gasworks has been taken under protection by Cultural and Natural Heritage Preservation Council Number II. Despite this decision, in 1996, with the support of this organization, IETT began the destruction of Hasanpasa Gasworks. Their actions were stopped by legal action. It was then decided to re-function the Gasworks as a cultural center by the Preservation Council in 1998. ‘The Protection and Reuse Preliminary Project’ for Gasworks was prepared by Istanbul Technical University. The proposal was approved by the Preservation Council in 2001, yet no action for implementation has been undertaken. It is also thought provoking that the implementations planned within the scope of Istanbul’s 2010 European Capital of Culture events have not yet started [11, 12]. Hasanpasa Gasworks, accommodating a gasometer, as well as other gasworks installations, has become abandoned buildings that threaten the environmental safety. Some of the buildings that remain to present day have been used as storage warehouses by IETT, while some of the abandoned buildings are occupied by Gypsies. Buildings are being increasingly damaged every single day by uncontrolled interventions. Illegal building formations have reached up to the wall of Gasworks. The status of Hasanpasa Gasworks, which is one of the most significant industrial heritages on the Anatolian side of Istanbul is rather worrisome. The municipality gave permission for the use of the vicinity of Gasworks for artistic activities in 2008. An art festival organized by Trans Yapit was realized between the dates 30 September - 19 October in 2008. In this festival, which was jointly organized by Berlin Iacht e.V., an art and cultural association of Berlin, various activities were realized. Participation of residents living nearby was particularly remarkable. Another activity was planned for 2009; however, it was not successful due to problems regarding the organization. The list of the buildings of gasworks that still exist today is depicted in Figure 2 [13].

4 Conclusion Hasanpasa Gasworks is an important source since it describes the industrial history as well as Turkish modernization. It is a building that has contributed to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 4:

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View from the Hasanpasa Gasworks area [14].

the formation of the city, and the collective memory, and thus it should be preserved. It is necessary to refunction and transmit it to future generations so as to provide its sustainability in all fields. People from different cultures such as Macedonians, Albanians, people from Sinop, Kastamonu and Gypsies live in Hasanpasa district. The faculties of Art and Design and Vocational High Schools of two different private universities that have moved here in recent years will begin to bring a different dimension and social life to the region. New users and new requirements have already brought some changes into the environment. Different cultural and educational levels constitute the social structure of the district. There is a lack of open public spaces in Hasanpasa area. District inhabitants indicated in interviews that there are no open or closed recreation areas for themselves or for their children. The intense participation in the festival in 2008 is an indicator that shows this demand. One of the common complaints of the district inhabitants is that Gypsies conduct their meetings and weddings in the area. Hasanpasa has an easily accessible location because of its proximity to E5 highway and sea transportation. In addition to that, the construction of metro has reached up to this area. As a result, immediate preventions should be taken for Gasworks area, which is under occupation and intervention every day. The uncontrolled construction and the intervention to the surrounding area must be prevented. The preliminary project, which was prepared in 2001 and approved, should be reconsidered with the participation of different disciplines in line with current environmental conditions. According to the evaluation criteria, urban design studies for sustainable reuse of Hasanpasa Gasworks should go through the following processes: WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

116 The Sustainable World - The Gasworks should be considered at the urban scale with its environment. - The participation of all of the local people should be maintained - The reuse should be fulfilled in a manner that will transfer the history of Gasworks - The quality of life should be increased. -The reuse of the Gasworks should be in harmony with ecological balance The issue of the reuse of the Gasworks will go through a long process as a part of sustainable urban design. The result will be beneficial at urban, regional and global scales in terms of natural, cultural and economic sustainability. The reuse of Hasanpasa Gasworks with the mixed-use public spaces will greatly provide profound gains to the public.

References [1] ACE, www.mo.tr./UIKDocs/acesustainability2009.pdf [2] Köksal, G., Kaybolan Endüstri Mirasımız veBazı Öneriler. Domus, 8, pp. 52-55,2000 [3] ACE, www.mo.org.tr/UIKDocs/councilcultureconclusions.pdf [4] Kayserilioğlu, S., & Mazak, M., Osmanlı’dan Günümüze Havagazı Tarihçesi I.Cilt, İgdaş Yayınları, Ankara, 1999. [5] Mazak,M., Çağdaş kent olgusu olarak İstanbu’da İlk Aydınlatma Çalışmaları. www.mehmetmazak.com/istanbuldaaydinlatma.html [6] Mülkiyeliler Birliği Kültür ve Sosyal Tesisleri www.mulkiyeistanbul.org/ [7] Yedikule Gazhanesi, www.dijimecmua.com [8] The photos from the archive of Yildiz Technical University Faculty of Architecture Department of Restoration. [9] Cengizkan, A., Fabrika’da Barınmak, Arkadaş Yayınev:Ankara, 2009. [10] Gazhane Çevre Gönüllüleri, Hasanpaşa Gazhanesi, Papirüs Basım:İstanbul, pp. 15-21, 2003 [11] Aslan,D.,&Batur, A., Conservation and Re-use of an Industrial Complex. Conversation of the 20th Century Architectural and Industrial Heritage. Icomos Istanbul, pp. 159-163.2005 [12] Sev, A., Sürdürülebilir Mimarlık, YEM Yayınevi: İstanbul , Türkiye, 2009. [13] The site plan was reproduced by the author from the original survey study prepared by Istanbul Technical University for Kadikoy Municipality. [14] The photos from Archive of Sen Yuksel

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The assessment of Kırkgöz Bridge in the context of sustainable, cultural and architectural heritage Z. Akdemir & G. Sener Faculty of Architecture, Yildiz Technical University, Turkey

Abstract This study includes the examination of Kırkgöz Bridge, a public structure that is an important part of cultural and architectural heritage and that lost its function as it is out of the transportation networks. The issue that requires this observation is the alteration of the watercourse of the bridge, which is located on Akarçay Stream adjacent to the city of Bolvadin (Polybotum) on the western part of Anatolia and on the historical King Road. Since it was removed from the transportation networks about a century ago, the bridge has been in danger of being destroyed. In addition to that, the bridge may lose its identity because of the inappropriate interventions of the institution (Head Office of Highways) that undertakes its protection, maintenance and responsibility. The purpose of this examination is to determine the properties of Kırkgöz Bridge, which includes highly important information about history. For that purpose, documentary information, which includes historical events that have happened near and over the bridge, many interventions that the bridge went through and all other factors that shaped its form and structure will be presented to the architectural environment in a chronological way, and suggestions for its reevaluation in the context of sustainable architectural heritage will be offered. As a cultural property that should be protected, the concept of ‘architectural heritage’ is often used instead of immobile cultural entity. Architectural heritage is regarded as an economical asset for the utilization of the resources by the European Council. They state that this heritage is an expression of history and the richness of cultural differences, a guide for a harmonic communal balance and to assist communal integration. As well as providing a variety of material for presentation and comparison of different forms, it also carries a huge potential to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100121

118 The Sustainable World trigger a judgmental verdict in education through sustaining and ensuring the remains of different eras. It is clear that architectural heritage contains spiritual, cultural, communal and economical values and its surroundings sustain a harmonious environment that is indispensable for a perfect life. This project will present Kırkgöz Bridge’s sustainable architectural inheritance in comparison with Bolvadin in order to understand its full potential. The methodology that will be applied in this study consists of onsite observation, analysis of spatial and non-spatial factors and evaluation of the potential of the existing environment. Keywords: sustainability, architectural heritage, cultural heritage, historical bridge.

1 Introduction Anatolia has witnessed the flow of different human populations throughout its history and as a result, its cultural life and, in particular, architecture show the impacts of different cultures. Trade roads, which also constitute a bridge between the different cultures of the East and West, also pass through this geographical region. Anatolia maintained relationships between different cultures, but also reproduced its own specific cultures [1]. Anatolia, in other words Asia Minor, accommodates significant buildings in terms of transportation, accommodation and commerce. Bridges, roads, hans (inns) and caravansaries are among them. Bridges are the main elements of transportation systems in a terrain such as Anatolia, whereby hills, rivers and passages are abundant. As a result of the surveying studies conducted in 2008, 1376 historical bridges are registered (by the General Directory of National Motorways, Department of Historical Bridges [2]). The main material of almost all of the bridges that have strategic significance is stone. Stone is one of the most important factors in transmission of all these characteristics beyond time. Stone represents the durable and not the temporal. It travels through time and it witnesses time. Stone has been the symbol of endurance and strength during the Roman, Seljuk and Ottoman eras. It is possible to come across bridges dating back to Hittites as a result of archaeological excavations conducted in Anatolia (Figures 1 and 2).

Figure 1:

Boğazköy – section.

Figure 2:

Boğazköy – perspective.

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Kırkgöz Bridge, which can be dated back to 13th century BC, is built with the stone masonry technique [3]. Moreover, many Roman bridges are still used today either as they are or with renovations or additions. However, whether every culture that has infiltrated Anatolia are affected by each other, or have used the same stone masonry system, they have created genuine products with both the way of using the material as well as the formal properties of the material. For instance, Roman bridges in Anatolia, like those in Europe, have the same semi-circular geometrical formation. These formations, which continued in the Byzantium era, are the other salient characteristics of Seljuk and Ottoman bridges, since the era of Artukoglu mini-state, distinguishing them from Roman bridges [4]. The period in which the bridge construction technology was developed had been the centuries of expansion of the Roman Empire in the Mediterranean Basin. The existence of a significant number of bridges constructed in that period in Anatolia, in other words Asia Minor, which was a highly important region for the Roman Empire, is known [5]. The roads are strategic aspects from the viewpoint of States. That the Roman Empire had established a developed system of roads and transportation had a profound impact on the fact that she could retain her existence for such a long time [6]. The most significant document regarding the road network of the Roman Empire is the Peutinger Map, dating back to 3rd century BC. The section of that map illustrating Asia Minor displays how developed the military road network was in that region [7] (Figure 3).

Figure 3:

Tabula Peutingeriana, sheet IX. On the left-hand side Russia (above) and the Black Sea, the eastern part of Asia Minor, the narrow Mediterranean Sea with the island of Cyprus, and on the bottom the Levantine coast and the Holy Land. On the right-hand side Russia, Syria and the eastern parts of Turkey with the remarkable representation of Antioch.

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120 The Sustainable World Bridge architecture in Anatolia consists of two main types. 1. Steep Bridges with strong ascents from both sides towards the large and high main central arch (Seljuk and Ottoman periods). 2. Flat Bridges with no major difference between two or more arches in terms of height and width [8]. Kırkgöz Bridge carries the characteristics of the second type (Figure 4). One of the bridges that have significance in the transportation system of Anatolian Geography is the Kırkgöz Bridge, which is located in the southeast of the Bolvadin (Polybotum) district of the city of Afyon. Bolvadin is located on the inner-western part of Anatolia on the north of Lake Eber, and is surrounded by the Sultan Mountains, Emir Mountains and Pasha Mountains. Kırkgöz Bridge lost its function in time mainly due to the change in the direction of the Akarcay (River Kaystos), whereby it gradually became isolated from the transportation network (Figure 5).

Figure 4:

Kırkgöz Bridge – 1960s.

Figure 5:

Location map.

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2 Kırkgöz Bridge Kırkgöz Bridge is named after the word “kirk”, which expresses the notion of multiplicity in Turkish Mythology. The bridge is positioned over the Akarçay (River Kaystros) that pours into Eber Lake, which is located 7km south of the Bolvadin (Polybotum) district along the Anatolian Caravan Road. Historical King’s Way, which is mentioned in many military and commercial journeys, also passes along this bridge. Silk Road, which starts from China, passing Middle Asia and reaching Anatolia over Persia, also passes along Kırkgöz Bridge. Historical Kings Way starts from Hattusa, the capital of Hittites, and passes through Castle Gavur near the capital Ankara. It enters the border of Afyon from Spalya (Sivrihisar) and the border of Polybotum (Bolvadin) bay, passing through Yedikapi from Avrra (Amorium-Hisarköy). It passes from Kayster Pedion (Üç Höyükler) and Kırkgöz Bridge. It used to reach Ephesus, which once was a port city, by passing through the city of Apamie (Dinar) via Valma (Karamıkkaracaviran) [9]. Although it has not been possible to reach definite findings regarding the exact date of its construction, the first sources that mention this bridge are the Hitite tablets in Ankara ProAsia Civilizations Museum. This bridge has witnessed a number of crusades, wars, processions, destructions, restorations, additions and interventions, as well as the passage of significant historical figures. Some of these events are chronologically listed below (Figure 6).  1344 BC. Hittite King Mursil the IInd used this bridge for the Arzava Crusade (written in Hitite tablets in Ankara ProAsia Civilizations Museum).  401 BC. It is written that Cyros, Anatolian governor of Persia, has passed this bridge with his armies of more than tens of thousands of soldiers.

Figure 6:

Kırkgöz Bridge.

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122 The Sustainable World  

    





301 BC. Ipsos War occurred between Antigone and other generals of Alexander the Great. 133 AD. The Roman Emperor Hadrianus drops by Polybotum (Bolvadin) during his visit to Anatolia. A coin was introduced to commemorate this visit and his sculptures are erected all over the city. He improves the bridge alongside the city of Bolvadin. 1070. Byzantium King Romulus Dyogene repaired the bridge, along with the roads. 1097. Crusaders fought over this bridge and damaged it. 1150. Manuel Comnena, Byzantium Emperor, repaired the bridge. 1107. Seljuk Sultan Kilicarslan the 1st takes Bolvadin into Turkish territory. 1362. Ottoman Emperor Murat the 1st takes Bolvadin into Ottoman territory. Ottoman emperors used Kırkgöz Bridge in all their Eastern crusades. Sultan Bayazid, Sultan Murat the 2nd, Sultan Mehmet the Conqueror in the Karaman War, Sultan Yavuz Selim in the Caldiran War, Solaiman the Magnificent in the Persian War and Sultan Murat the 4th in the Baghdat War used this bridge. 1534. Solaiman the Magnificent conquered Baghdat by passing from this bridge. Before the Revan Crusade he maintained the roads. He sent Architect Sinan to Bolvadin in 1550 to repair this bridge. The number of arches was increased up to 64 and a prayer area was added to the Bolvadin side. 1895. Roads changed after the opening of the Berlin-Baghdat Railway. The Sogutlu Road, which connected Bolvadin to Kırkgöz, lost its significance. The New Station Road was opened and Develi Bridge was widened. Kırkgöz Bridge lost its function. It was abandoned after 1970 [10].

Kırkgöz Bridge was used in periods starting from the Eastern Roman Empire, the Byzantine, up to the Seljuk and Ottoman Empires. The road is currently outside the main route, and it is near the road between Çay and Bolvadin. The bridge is composed of three separate sections that have been constructed in different historical periods. It is indicated that the bridge previously had 64 eyes but today it has a total of 56 eyes. Eight of the bridge eyes were demolished by the State Hydraulic Works in the Republican period, during the formation of the new Akarçay river course towards the north of the existing course. The oldest part of the bridge is the one from the Roman period and is located on the Akarçay river course. This section starts from the 23rd arched opening from the east. This section, which has in total 15 round arches, ends at the 37th arch opening on the east. The distances of arch openings and wall construction techniques change at this section. The arches are made of large basalt stones and they have circular forms. This type of arched bridge is observed in the early stages of the Roman Empire period (Figure 7).

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Figure 7:

Figure 8:

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Roman period.

Sketch of Kırkgöz Bridge – Seljuk period.

Figure 9:

Sketch of Kırkgöz Bridge.

The west part of the bridge that starts from 38th arched opening has 19 arches and is from the Seljuk period. The arched openings have different sizes. Usually double-centered pointed tangent arches are used. The span of the arches increases and rises towards the middle section of the bridge. The 41st arch from the east is the highest and the most extensive arched opening at this section [11] (Figures 8 and 9) What survives to the south of the old bridge shows that originally the road was on the low ground and that later the annual flooding of Lake Eber raised the bed of the marsh and made the construction of the embankment imperative [12].

3 Sustainability of cultural and architectural heritage The definition of the Sustainable City: “In order to ensure continuity and change, the cities are aligned with the socio-economic concerns related to environmental and energy concerns, these three dimensions are put forward by a coordinated approach. Sustainability of cities requires giving the necessary importance to the natural and cultural environment. Environment; directly contributes to the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

124 The Sustainable World quality of human life, also increase the tendency towards the idea of peace and security in general, the transmission of the heritage from the past to the future” [13]. The approach which advocated that the balance between environment and development would be provided via urban transformation was dominating the discourse when the report of “Our Common Future” by the United Nations Council of Environment and Development in 1987 was defined. In the report, sustainable development is described as “meeting today's needs without compromising the possibility of future generations providing their own needs”. According to the report: -The process of destruction of both the ecosystem and diversity of species must be stopped. -Technologies that do not damage natural resources and the environment should be developed [14]. -The relevant articles by the Council of Europe about the protection of the architectural heritage are as follows: Article 1: Apart from its priceless cultural value, Europe’s architectural heritage gives to her peoples the consciousness of their common history and common future. Its preservation is, therefore, a matter of vital importance. Article 2: The architectural heritage includes not only individual buildings of exceptional quality and their surroundings, but also all areas of towns or villages of historic or cultural interest. Article 4: Architectural conservation must be considered, not as a marginal issue, but as a major objective of town and country planning [15]. -The relevant articles from the Venice Charter (May 1964) about the protection of the Cultural and Architectural Heritage are as follows: Article 9: The process of restoration is a highly specialized operation. Its aim is to preserve and reveal the aesthetic and historic value of the monument and is based on respect for original material and authentic documents. It must stop at the point where conjecture begins, and in this case moreover any extra work which is indispensable must be distinct from the architectural composition and must bear a contemporary stamp. The restoration in any case must be preceded and followed by an archaeological and historical study of the monument. Article 11: The valid contributions of all periods to the building of a monument must be respected, since unity of style is not the aim of a restoration. When a building includes the superimposed work of different periods, the revealing of the underlying state can only be justified in exceptional circumstances and when what is removed is of little interest and the material which is brought to light is of great historical, archaeological or aesthetic value, and its state of preservation good enough to justify the action. Evaluation of the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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importance of the elements involved and the decision as to what may be destroyed cannot rest solely on the individual in charge of the work. Article 12: Replacements of missing parts must integrate harmoniously with the whole, but at the same time must be distinguishable from the original so that restoration does not falsify the artistic or historic evidence [16].

4 Sustainability of Kırkgöz Bridge as a cultural and architectural heritage What is a World Heritage bridge? The World Heritage Committee states that to be of World Heritage status a monument or site must be of outstanding universal value. It must illustrate or interpret the heritage of the world in terms of engineering, technology, transportation, communication, industry, history or culture. World Heritage industrial sites and monuments must meet one or more of the following criteria and pass the test of authenticity.   

Represent a masterpiece of human creative genius. Have exerted great influence, over a span of time or within a cultural area of the world, on developments in engineering theory, technology, construction, transportation and communication Be an outstanding example of a type that illustrates a significant stage in bridge engineering or technological developments [17].

One of the most significant criteria of the development of societies is the preservation and transmission of cultural and architectural heritage for the future. Historical bridges are significant structures showing the social-culturaleconomic level of the era in which they are constructed. They are significant witnesses of history [18]. Preservation is a multi-dimensional concept. It requires a multidisciplinary work. Preservation can only be achieved when considered in accordance with “development”, “assessment” and “refunctioning”. It is highly likely to be confronted with serious problems, despite the existence of a legal and institutional framework regarding the matter of the preservation of rich heritage in the Anatolian Geography [19] (Figure 10). According to the report published at the end of 2008 by the institution responsible for historical bridges (the General Directory of National Motorways, Department of Historical Bridges), 1376 historical bridges are registered. This unit, which was established in 2003, has realized the restoration and repair of an increasing number of bridges every year. The projects for the restoration of these bridges have to be approved by the Preservation Councils of the relevant region. Stages of survey, documentation and project are overcome by relatively less problems as they require comprehensive studies. However, the implementation of these projects is usually performed by contractors that are insufficient in terms of required expertise.

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Figure 10:

Figure 11:

Seljuk period.

Lake Eber today.

These structures are faced with irreversible interventions because of the ineffectiveness of the mechanisms of control. They are faced with the risk of losing the additions acquired in time as the witnesses of different historical eras. Kırkgöz Bridge has managed to retain its original identity with its additions acquired through time until 2003. It is known that buildings that no longer have a function face an even more rapid dilapidation process. These structures are the common heritage of humanity, and the responsibility of their transmission to the future is well indicated in the legal articles of both the Venice Charter of 1964 and the EU Amsterdam Declaration of 1975. Another important problem is the pollution of natural water sources of the city, such as Lake Eber and Heybeli Thermal Waters, because of industrial wastes. Lake Eber, which is an important economic potential for the city, has been losing its natural habitat. Heybeli Thermal Waters is also important as a potential health tourism center. For now, these two water resources cannot be used efficiently (Figures 11 and 12). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 12:

127

Lake Eber in 2000.

One other problem is that, regardless of the cultural and social heritage of the different civilizations that shaped the center of the city, the new developments grow in a system that does not consider the organic pattern of the historic center. Thus, the city center keeps losing its characteristic spatial properties [20]. Kırkgöz Bridge and other bridges with similar characteristics (isolated from the transportation connections) can be preserved and transmitted to the future by interventions that will not damage the genuine identity in accordance with the potentials provided by the region, area and the city. Re-functioning of bridges is quite limited when compared to other architectural heritage.

5 Conclusion Bridges are important components of the transportation system in terms of their main functions. Some of the historic bridges in the geography of Anatolia retain their presence in vehicle and pedestrian transportation. However, it is very difficult for their presence to continue, particularly in places within or around rural settlements, or for bridges that no longer have a function away from the transportation connections. The required intervention, in the discipline of protection, is conservation rather than restoration. Kırkgöz Bridge can trigger sustainable development in its vicinity due to its historical value, and it can be an attraction point, at national or international scale, as an archaeological park on which historical routes intersect. A cultural route, including nearby antique towns that can enable daytrips, has the potential of economic, social and cultural development in the region. The bridge, which is located in the catchment basin of Eber Lake, has the potential to affect the region by its historical value. Eber Lake is extremely valuable in terms of ecosystem. It is located on the migration routes of birds. It hosts important bird species. It is rich with biological diversity. The economic life of rural settlements depends on the lake. Reeds and fishing are of important economic value. The shutting down of the paper factory, which was established by the State several years ago, in the 1990s, has affected the region's socio-economic life. The pollution carried by rivers flowing into the lake and the drought experienced WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

128 The Sustainable World in recent years caused serious pollution and drought in Lake Eber. The region was confronted with an environmental disaster in terms of ecosystem. Local efforts are insufficient against the central government’s wrong policies about the natural environment. The introduction of the problems in different scales and the development of solutions may create pressure on the central government and related institutions. The attention of academia or civil society organizations at national and international scale, which are the 21st century’s major dynamics, may focus on the region’s socio-economic and environmental problems. Civil dynamics may create an agenda and may lead to opening different solution channels by involving people in the process who lives in the area. Kırkgöz Bridge can move the social-environmental-economic problems to the public, which have become the common problems of humankind, over its own historical and memorial value.

References [1] Ceylan, O., Gökçen, T., Çağlar Boyu Göç ve Ticaret Yollarının Kesiştiği Anadolu’da İnsan Hareketlerini Malzeme ve Mimari İlişkilerine Etkileri, "Anadolu’da Malzeme ve Mimarlık Sempozyumu ", İstanbul, 4-5 Temmuz 2005 [2] Karayolları Genel Müdürlüğü, Köprüler Dairesi Başkanlığı,Tarihi Köprüler Şubesi Müdürlüğü http://www.kgm.gov.tr [3] Nauman, R., "Eski Anadolu Mimarlığı", Türk Tarih Kurumu, Yayınları, IV. Dizi-Sa. 9b, s. 492-493, Ankara, 1991 [4] Eyüce, Ö., "Köprüler", İzmir İleri teknoloji Enstitüsü Rektörlüğü Yayını, Basım No:İYE2, s.38, İzmir, Haziran/1988 [5] Binan, C., "Anadolu’da Ulaşım ve Konaklama Yapıları Bağlamında Mimarlık, Malzeme ve Yapı Üretimi Üzerine Yorumlar", Geçmişten Geleceğe "Anadolu’da Malzeme ve Mimarlık" TMMOB, Mimarlar Odası Kongre Kitabı, ISBN9944-89-092-8, Nisan 2006, XXII. Dünya Mimarlık Kongresi UIA İstanbul, 2005 [6] Kretzshmer, F., "Antik Roma’da Mimarlık ve Mühendislik", Arkeoloji Sanat Yayınları, s.116, İstanbul, 2000 [7] Peutınger Haritası http://198.62.75.1/www1/ofm/mad/articles/Weber Peutıngeriana.html [8] İlter, F., "Osmanlılara Kadar Anadolu Türk Köprüleri", s.27, Karayolları Genel Müdürlüğü Yayınları, Ankara, 1978 [9] Bayar, M., "Anadolu’nun Eski Şehirlerinden Bolvadin’in Tarihi", Cilt1, s.76-77., 1966 [10] Bayar, M., Bolvadin Tarihi, Cilt2, s.322, Bolvadin, 2004 [11] Eravşar, O., Mert, İ.H., "Roma’dan Cumhuriyete Bolvadin Kırkgöz Köprüsü", S.Ü. Sosyal Bilimler Enstitüsü Dergisi, s.75-80, 2003 [12] Harada, L., Cimok,F., "Roads of Ancient Anatolia", Volume Two First Printing, A Turizm Yayıncılık, s.18-21, 2008

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[13] Şahin, İ., "Sürdürülebilir Planlama Girdisi Olarak Kültürel ve Doğal Miras,Uluslar arası Ekolojik Mimarlık ve Planlama Sempozyumu Antalya, 22-25 Ekim 2009 [14] Brundtland Report 2007 http://en.wikipedia.org/wiki/Brundtland_ Commission [15] Congress on the European Architectural Heritage, Declaration of Amsterdam, 21–25 October 1975, http://www.icomos.org/docs/ amsterdam.html [16] Venice Charter, International Charter for the Conservation and Restoration of Monuments and Sites, 1964, http://www.icomos.org/venice_charter.html [17] Context for World Heritage Bridges http://www.icomos.org/studies/ bridges.htm [18] Anadolu’nun Kilidi Afyon, T.C. Afyon Valiliği, İl Özel İdareMüdürlüğü, s.173-179, 2004 [19] Akdemir, M.Z., "Batı Karadeniz Bölgesi Yerleşmelerinde Geleneksel Konut Kültürüne Bağlı Biçimsel ve Yapısal Kurgu özelliklerine Ait Ölçütler", Yıldız teknik üniversitesi Fen Bilimleri Enstitüsü, Doktora Tezi, s.2, İstanbul, 1997 [20] Önal, F., Akdemir, Z., Yüksel, Ş., Zeybekoğlu, S., "The City of Bolvadin in Context of Sustainable Urban Environment", XXII.World Congress Of Archıtecture, İstanbul, UIA, 2005 [21] Lake Eber http://www.yasamkadin.com/v2/resimler/turkiye/23641-ıssizguzellik-eber-golu-burdur.html [22] Lake Eber http://sultandagi.org [23] Lake Eber http://www.arsiv.ntvmsnbc.com/news/431006.asp

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Two energy storage alternatives for a solar-powered sustainable single floor desert home M. A. Serag-Eldin Mechanical Engineering Department, American University in Cairo, Egypt

Abstract This paper is concerned with the thermodynamic analysis of a totally solarpowered desert home. The home is air-conditioned and provides all modern comforts and facilities. It features closely spaced, roof mounted photovoltaic modules, which collect the solar energy driving the whole energy system. During the day time, the modules form an elevated horizontal surface above the roof, shielding it from direct solar radiation. After sunset, the photovoltaic modules are flipped vertically upwards to expose the roof to the sky, thus enhancing night-time cooling. Two methods of energy storage are proposed and compared, one using solely battery storage of electrical output, and the other employing a combination of cold water storage and battery storage. The analysis is based on detailed dynamic heat transfer calculations for the entire building envelope, coupled with a solar radiation model, and followed by energy balances. The results reveal that indeed it is feasible to employ solar energy as the only source of energy to power the home, and that each storage system has its own merits and shortcomings. Keywords: zero energy house, solar energy, desert building, energy storage, renewable energy.

1 Introduction Many middle-eastern countries feature desert environments, and vast resources of relatively cheap energy in the form of oil. Most inhabitants thus enjoy modern air-conditioned homes with several TV sets, computers, automatic clothes and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100131

132 The Sustainable World dish-washers, and other energy consuming applications. However, this source of energy is finite; hence, sustainability of the quality of life they are presently enjoying requires reliance on renewable energy resources. Moreover, even with today’s cheap energy resources, connecting centralized production through an electrical grid to remote secluded desert sites with small communities is very costly. Fortunately, open desert sites provide an abundance of local renewable energy source in the form of solar energy. Exploitation of this source provides sustainability for future generations, as well as a present day economically viable alternative to local small scale fossil-fuelled generators. However, solar energy is available only during daylight hours, and even then its intensity varies considerably throughout the day, and from month to month. To depend entirely on solar energy, the energy conversion system must incorporate suitable storage. Recently, Serag-eldin [1] proposed an integrated energy design for a desert “zero-energy-house”; i.e. a self-sufficient desert home which relies entirely on good energy conservation measures, local solar energy conversion, and electric energy storage to reach complete independence from the electrical grid. In the present work, two methods of storage are investigated; one using solely battery storage of the electricity produced by photovoltaic modules, and the other employing a combination of both cold-water storage and battery storage. Both systems are analyzed, compared and discussed. The output results are based on a detailed dynamic heat transfer analysis for the entire building envelope, coupled with a solar radiation model, and followed by overall energy balances.

2 Conceptual home design For demonstration purposes, a conceptual, one floor house of 3 m wall height and 15 m × 15 m foot-print is considered. A large array of Photovoltaic modules is positioned on a horizontal plane approximately 0.2 m above the roof top. The modules cover the entire horizontal surface whose boundaries extend 1m beyond the exterior walls in each direction. The purpose of the overhang being to both, provide an increased area for the photovoltaic modules (solar energy capture area), and partial shading of side-walls and windows from direct beam radiation, thus decreasing cooling load. The modules are fixed to a linkage mechanism which allows them to split, fold and rotate to a vertical position. During daylight hours the modules are horizontal (or nearly so) in order to collect the short-wave solar radiation from the sky, and to protect the roof surface from direct beam radiation. After sunset and until sun-rise, the modules are automatically folded and rotated to point vertically upwards, thus enhancing heat loss from the roof top by long wave infra-red radiation exchange with the sky (which is substantial in desert environments). The roof also includes insulation material. The building side walls comprise a 0.06 m external sandstone cladding, followed by two 0.12 m red brick walls separated by a 0.01 to 0.05 m air gap. Research has shown that due to the appearance of natural convection effects for air-gaps greater than 0.01 m, the overall thermal resistance in this range is almost WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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constant (Kreider and Rabl [2]); hence calculations are made here for conductive resistance only, with a representative air gap of 0.01 m; but in implementation a 0.05m air gap would be more practical and likely. The internal wall is covered by a 0.03 m layer of plaster. The roof surface comprises a lower 0.02 m plaster layer, above which is a 0.12 m concrete layer, covered by 0.10 m of mortar and asbestos insulation, followed by a 0.06 m thick layer of gravel. The windows are state of the art, of double or triple glazing design and with selective surfaces to reduce solar heat gains; a U-value of 1 W/m2K and solar-heat-gain coefficient, F = 0.5 is assumed, which is typical of such windows (ASHRAE [3]). The total window surface area is 15% of the total side-wall area. The internal room temperatures are maintained uniform at 250C by a conventional air-conditioning system, and the nominal number of occupants is 6 persons. Displacement ventilation (e.g. Serag-eldin [4]) is employed to improve air quality. The conversion efficiency of the photovoltaic cells, ηc is assumed to be 12% which is typical of today’s common commercial modules. When applicable, cold water storage is created by excess cooling capacity during daylight hours. The air-conditioning system is assumed to comprise a water chiller, a fan-coil unit and two well insulated water reservoirs, one at near chiller-inlet temperature and the other at near chiller-outlet temperature. The fan coil unit draws chilled water straight from the cold-water store, and returns it to the warmer water reservoir. The chiller unit operates only during the sunniest hours of the day, the cold water generated during those hours being sufficient to cover the total daily air-conditioning load. The battery storage in this case is only required to store electrical energy for the other loads. If only battery storage is provided, then the water chiller operates all hours of the day, driven by electrical power supplied by battery storage or photovoltaic cells upon availability. The site is specified to be at a latitude-angle λ=200. Mean ambient temperatures of 25°C and 35°C are assumed on December 21st and June 21st, respectively. Ambient temperature are assumed to peak at solar noon and follow a sinusoidal profile throughout the day, with an amplitude of 10 0C. The house is oriented such that side walls are facing pure East, West, North and South.

3 Mathematical model The sun is both the energy source and the main contributor to the energy loads; namely the cooling load. Hence, accurate prediction of solar radiation intensity and direction is a necessity for accurate performance estimates. A Solar radiation model which predicts angles and intensities for different positions on Earth, clearness of sky, time of day and day of year, and predicts each of the direct beam component (Hottel [5]) and diffuse component (Liu and Jordan [6]) is employed, assuming clear sky conditions. It is coupled to a heat transfer model which solves a parabolic partial differential equation for heat conduction, coupled with radiation models at nonsolid surfaces and convective boundary conditions. The equations are solved

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134 The Sustainable World using a control-volume method (e.g. Versteeg and Malalasekera [7]). Details of the model may be found in Serag-eldin [1].

4 Temperature distributions Predictions are made here for two key days, one displaying the shortest day of the year, December 21st, and the other the longest, June 21st. 4.1 Temperature profiles on December 21st Figure 1 displays the temperature variations with time for December 21st at the South facing wall neglecting end effects, i.e. near ground and roof effects. The profiles display the variations at the internal surface adjacent to room (Tin_surf), the external surface adjacent to outside environment (Text_surf), and at the centre of the air gap between the double walls (Tair_gap). For comparison reasons, the ambient temperature (Tamb) is also displayed. The temperature units are in degree Kelvin, and the time is in hours, with “12” corresponding to solar noon. In December the ambient temperature is generally lower than wall temperatures; thus heating is due mainly to solar radiation and not convection. Due to the thermal capacity of the walls, the peak temperatures on the walls do not occur at noon, but later in the day, the further the section from the external surface the more the shift; at the inner surface the shift is almost 12 hours. This, together with the relatively low overall conductivity of wall, results in Tin_surf being almost uniform at a temperature of approximately 299 K. Figure 2 displays the temperature profiles at the East facing wall. Compared to Figure 1, it is noticed that the external surface temperature warms up earlier in the day, and its profile is less peaked; this is because of more solar heating earlier in the day, since the sun rises from the East direction. At other sections, the thermal capacity and limited penetration effects are more dominant and profiles are more in line with Figure 1.

Figure 1:

Temperature variations for South facing wall, Dec 21st.

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Figure 2:

Temperature variations for East facing wall, Dec 21st.

Figure 3:

Temperature variations for West facing wall, Dec 21st.

135

Figure 3 displays the corresponding profile for the West facing wall. As expected, the peak external wall temperature occurrs much later in the day, compared to Figure 2 and also Figure 1. Figure 4 displays the corresponding results on the Northern wall. The peak external wall temperature is considerably cooler in this case than in the other three; which should be expected since the northern face does not receive direct beam solar radiation. However, it is interesting to observe that for all 4 surfaces, the minimum room-side temperature occurrs at solar noon, due to the large thermal capacity of the walls and the good insulation properties of air gap. Figure 5 reveals the corresponding roof temperature variations. The profiles display the roof internal temperature (Tin_roof) adjacent to the room and the external roof temperature (Text roof), together with the ambient temperature. It is noticed that the external roof temperature is most of the time lower than the ambient temperature and that for approximately half the time it is lower than room temperature (298 K) as well. This is due mainly to the considerable night time cooling of the roof through long-wave infrared-radiation heat-exchange with the sky; for approximately 14 hours/day on December 21st. The latter is calculated as radiation exchange between roof-top and sky at ambient WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

136 The Sustainable World temperature plus a recommended (ASHRAE[3]) correction factor of 63 W/m2. The true correction factor for clear sky desert environment is expected to be even greater, rendering our estimates of the cooling load more conservative. 4.2 Temperature profiles on June 21st Figures 6-10, display the results for June 21st which correspond to Figures 1-5, respectively, for December 21st. Comparison of like figures shows immediately that now the wall temperatures and air gap temperatures are considerably higher than the room temperatures, indicating considerably larger heating from outdoors. The number of daylight hours is also larger, adding to the total daily heating. This is reflected in a slightly higher room-side surface temperature. Since the latter affects the cooling load via the radiation and convective heat transfer with the room interior, the resulting cooling loads are also higher, as will be shown later.

Figure 4:

Temperature variations for North facing wall, Dec 21st.

Roof, λ = 20°, V = m/s, December 21st 

Figure 5:

Temperature variations for roof, Dec 21st.

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South Facing Wall, λ = 20°, June 21st 

Figure 6:

Temperature variations for South facing wall, June 21st.

East Facing Wall, λ = 20°, June 21st 

Figure 7:

Temperature variations for East facing wall, June 21st.

Figure 8:

Temperature variations for West facing wall, June 21st.

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138 The Sustainable World

North Facing Wall, λ = 20°, June 21st 

Figure 9:

Temperature variations for North facing wall, June 21st.

Figure 10:

5

Temperature variations for roof, June 21st.

Cooling loads

The expected cooling loads may be classified into (Serag-eldin [1]): i) envelope cooling load (side walls, roof and windows) ii) fresh air and infiltration cooling load iii) heat generated by lighting equipment iv) sensible heat generated by occupants v) heat generated by electrical appliances Figure 11 shows the breakdown of cooling loads for Decmber 21st . The sum of roof and side wall loads is generally small, and minimum at solar noon; this is due to the good insulation and large thermal capacity of walls and roof. On the other hand, the window cooling load rises quickly during daylight hours, while it is slightly negative after sunset. The sum of other cooling loads also peaks at noon, because of the effect of ambient temperature on fresh air and infiltration loads. The total cooling load is maximum at solar noon and its variation throughout the 24 hours is within approximately 50% of peak load. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 11:

Figure 12:

139

Breakdown of cooling loads, December 21st.

Breakdown of cooling loads, June 21st.

Figure 12 shows the corresponding loads on June 21st. Comparing the two diagrams reveals that the load in summer is double that in winter, and is much more uniform, varying within approximately 30% of peak load.

6 Storage calculations 6.1 Battery Only Storage System (BOSS) The instantaneous rate of electricity production by the photovoltaic modules PV is derived from: PV = ηc IG

(1)

where IG is the instantaneous horizontal solar irradiance. The instantaneous rate of charge of the battery, PB , is thus PB = PV - Plight - qcool/COP - Pelec WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

(2)

140 The Sustainable World where Plight is the electrical lighting load; qcool is the cooling heat-load and COP is the coefficient of performance of the cooling equipment (assumed to be 3); Pelec is the available electrical load for driving appliances such as TV sets, refrigerators, dish-washers, multi-media, computers, pumps and fans. Using efficient lighting, it is assumed that Plight = 500 W between sunset and sunrise and zero at other times. Pelec is output from the calculations such as to balance demand and supply, and is taken to be uniform over the day, but essentially varies from day to day. When PB is positive, the battery is charging and when negative the battery is discharging. The charge Eb in the battery at any instant of time relative to the charge at midnight (t=0 hr.) is expressed by: t

EB 

 0

t

PB .dt 

 (P

V

 Plight  Pelec  q cool / C .O . P .). dt

(3)

0

where Pelec is selected to yield Eb= 0 at the start of the next cycle, i.e. at t= 24 h. Figure 13 reveals rate of electricity generation, rate of battery charging and the electrical charge in the battery at any hour of the day, for December 21st, with a daily average value of Pelec = 3 kW; i.e. 72 kWh/day. This value is very generous; for example, the average household electricity consumption in UK, including heating load is only 11 kWh/day (Boyle [8]). It is noticed that the battery will only start charging at around 8 a.m. and continue to do so until 4 p.m.; the rest of the time the battery is discharging. The minimum and maximum battery charge occur during those times as well. The theoretical minimum battery storage capacity is given by the difference between maximum and minimum charges, which for this case is 70.16 kWh. The minimum air-conditioning equipment capacity is 7.39 kW, operating round the clock. Figure 14 shows the corresponding results for June 21st, Pelec = 4 kW for this case. Thus although the cooling load has doubled since December 21st, the greater solar energy available on June 21st has more than made-up for that. However, the minimum air-conditioning equipment cooling capacity is now 14.6 kW, and the minimum theoretical battery storage required is 105.4 kWh. In

Figure 13:

Electricity generation and storage for battery only system, Dec 21st.

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Figure 14:

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Electricity generation and storage for battery only system, June 21st.

practice, batteries are not allowed to discharge fully, and considerably larger storage capacity may be required, depending on type of battery. 6.2 Combined Cold-water and Battery Storage (CWBS) Here it is planned to operate the cooling equipment only on the sunniest hours of the day, Δts, during which time they must provide the instantaneous cooling load qcool, and cooling of additional chilled water to be stored for use at other times, qstor. Taking qstor to be uniform during equipment operation, it is derived from 12  t s / 2

 qcool .dt 

qstor  [

0

24

q

cool 12  t s / 2

.dt ] / ts

(4)

Since the cooling equipment is driven by the photovoltaic modules, the energy available for battery charging in this case is only PB = PV - Pelec – Plight - (qcool+ qstor)/C.O.P.

(5)

The volume of chilled water in the cold-water store relative to volume at midnight, VCW, is at any hour of day t

VCW  [  (q A / C  qcool ).dt ] /( c p TCW )

(6)

0

where qA/C is the cooling (air-conditioning) equipment output;  and cp are the density and specific heat of the water; and ΔTCW is the temperature difference between the chiller inlet and outlet. During operation of the air-conditioning equipment qA/C is the sum of qcool and qstor, else qA/C = 0. Figure 15 displays the profiles for qA/C, PB, PV, EB, and VCW, at all hours of the day on June 21st; the corresponding diagram for December is not displayed since WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 15:

Combined cold-water and battery storage system, June 21st.

the design capacities will be dictated by the June 21st requirements only. For this case Pelec= 4 kW, Δts = 9 hrs and ΔTcw=10oC. The theoretical minimum battery storage and chilled water storage capacities are 54.4 kWh and 18.1m3, respectively. The minimum cooling capacity for the air-conditioning system operating 9 hours daily is 33.3 kW. It is noticed that both the battery storage and cold-water storage are minimum at approximately the same time, which should be expected since they are driven by the same source, namely photovoltaic cells. Comparison against Figure 13, demonstrates that introduction of the cold storage has substantially reduced the required battery storage capacity.

7 Comparison between storage options i) the CWBS option needs only about half the battery storage of the BOSS. ii) battery storage is relatively expensive and requires frequent renewal of batteries. The theoretical minimum additional capacity in BOSS is 51 kWh; however, possibly double this capacity may be needed to avoid discharging the battery to dangerously low levels. iii) the CWBS requires 2 well insulated 18 m3 water container; but it is mainly a one-time cost. It may be built underneath the floor of the building to minimize space waste and reduce heat transfer losses. iv) both storage systems suffer storage losses; batteries from their chargedischarge characteristics and chilled water storage from unwanted heat gains from surroundings. The latter may be reduced by additional insulation, but at a price. In the present analysis the storage efficiency ηst = 80% for both; albeit this could be too optimistic for batteries and too low for well insulated chilled water storage. v) chilled water storage is more environmentally friendly and less hazardous than battery storage. Moreover, stored water may be used in an emergency for other purposes, e.g. fire fighting. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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vi) reliability of cold water storage is likely higher than that of battery storage. vii) the biggest disadvantage of the CWBS is the increased capacity of chiller, which is more than double that of the BOSS. This entails increased equipment cost and space, although partially offset by the longer life of the equipment since it operates only 9 hrs/day, as opposed to 24 hrs for BOSS.

8 Summary and conclusion Heat transfer computations and energy system balances are made for an energy efficient desert home designed to be totally powered by roof mounted photovoltaic cells. The results of the calculations demonstrate that it is indeed possible to cover the house energy needs entirely by solar energy using photovoltaic modules, provided adequate energy storage is provided. A comparison is made between BOSS and CWBS which reveals the merits and flaws of each. However, the selection should be based on a total life cost analysis, which is site specific and outside the scope of this study.

Acknowledgements This work was funded by the King Abdalla University for Science and Technology (KAUST) project on Integrated Desert Building Technologies, grant#09c032500100831 held by AUC.

References [1] Serag-eldin, M.A. Thermal Design of a Fully Equipped Solar-Powered Desert Home, accepted for publication in Proc. of 1st Int. Nuclear and Renewable Energy Conf. (INREC10), Amman, Jordan, March 21-24, 2010. [2] Kreider, J.F. and Rabl, A. Heating and Cooling of Buildings: Design for Efficiency, McGraw-Hill Inc., New York, 1994. [3] ASHRAE Fundamentals Handbook, American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., Atlanta, USA, 2009. [4] Serag-Eldin, M.A. “Displacement Ventilation for Efficient Air-conditioning and Ventilation of GYMs”, Proc. of Heat-SET-2007 Conference, Chambery, France, 18-20 April, 2007, paper # P-128 [5] Hottel, H.C. "A Simple Model for Estimating the Transmissivity of Direct Solar Radiation through Clear Atmospheres," Solar Energy, vol.18, 1976, p.129. [6] Liu, B.Y.H. and Jordan, R.C. "The Interrelationship and Characteristic Distribution of Direct, Diffuse and Total Solar Radiation.” Solar Energy, vol.4, p.34, 1960. [7] Versteeg, H.K. and Malalasekera, W. An Introduction to CFD: The Finite Volume Method, Longman Group, Essex, England, 1995. [8] Boyle, G. Renewable Energy: Power for a Sustainable Future, Oxford University Press, U.K., 2004.

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Urban walkers in medium-sized Portuguese cities: a study of Guimarães and Braga K. R. Rahaman1, T. Alves2 & J. M. Lourenço1 1 2

Department of Civil Engineering, University of Minho, Portugal Center of Geography Studies, University of Lisbon, Portugal

Abstract People are walking in cities for different reasons. Some walkers walk to go to work, some walk for shopping and some walk for leisure during day and night hours. Medium-sized cities, such as Braga and Guimarães in Portugal, depend on cars for even short trips of up to 2 kilometres. However, the walkways are allowing people to walk conveniently and safely, including in the late night environment. The pedestrians feel it is troublesome to walk on the footpaths because of illegal parking and the discontinuation of walkways. This paper focuses on the types of walkers who use the walkways on a regular basis. Usually, people feel comfortable walking when they go to clubs and bars in a group in these small cities, especially after work. This paper tries to focus the variety of problems on walkways and to present policies that can improve the situation. Field surveys have been conducted, both in the form of a questionnaire and observation, during the end of 2009 and the results show different patterns of pedestrian behaviour as well as evidence that people get different experiences with problems while walking on the walkways in both surveyed towns. Considering the issues of sustainable mobility, this paper also tries to suggest policies to motivate more people to walk, especially in the medium-sized cities of Portugal. Keywords: urban, pedestrians, Braga, Guimarães, Portugal.

1 Introduction Walking is the oldest and most basic form of human transportation. It requires no fare, no fuel, no license, and no registration (Portland [6]). With the exception of devices to enhance the mobility of the disabled, walking demands no special WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100141

146 The Sustainable World equipment. Thus, walking is the most affordable and accessible mode of transport (Rahaman et al. [7]). Innovations in planning for pedestrians have occurred largely in response to environmental pressures. In the first half of the nineteenth century, the arcade offered protection from wheeled traffic as well as a clean, dry surface for walking when European streets were poorly drained, even treacherous (Zacharias [8]). In Portugal, the two largest cities, Lisbon and Porto, experienced successful revitalization attempts of their riverfronts and city centres during the second half of the 1990s, with special programs of widening the sidewalks to encourage more pedestrian activities (Carlos and Balsas [1]). However, medium-sized cities, such as Braga and Guimarães, are yet to be studied for pedestrianization and problems of walkers. This paper tries to highlight the problems of pedestrians on walkways in those two cities and to bring forward policies that may offer walkers a smooth and comfortable sidewalk environment.

2 Objectives There are three specific objectives of this study, which are as follows: a) explore the reasons for walking in the studied areas b) what are the major problems while walking and c) to recommend measures to offer comfortable walking in the studied cities.

3 Study area Braga and Guimarães, two neighbouring northern municipalities in Portugal, have almost 250,000 inhabitants (according to the Portuguese Statistics 2009). The city centres of the heads of the municipalities have been considered as the study area for this study. Situated in the heart of Minho, Braga finds itself in a region of contrasts between the East and the West, from mountains, forests and fields to the great valleys, plains and fresh and green meadows. The town of Braga, with 100.000 inhabitants, dominates its municipality with a total resident population of 164 192 inhabitants and with an area of 184 sq. km. (Braga Municipality Webpage, 2010). Administratively, Braga is the capital of the district, consisting of 14 municipalities including also Guimarães. In brief, Braga is an urban municipality and its head has long been in the top 5 most populated towns in Portugal. Braga and Guimarães are the two most important towns of the recently defined Quadrilateral. The Quadrilateral consists of four cities named as Braga, Guimarães, Barcelos and Famalicão. These four cities have formed the Quadrilateral as an attempt to resist the metropolitanization of their territories by Porto city. The valley areas are predominant, but they do not reach high altitudes, varying from 20 m to approximately to 570 m, so that the sun exposure is, in general, good throughout most of the territory. Guimarães is another northern city of Portugal that has a very rich cultural heritage. It will be European Capital of Culture in 2012. The municipality has a land area consisting of almost 241 sq. km with 161,000 inhabitants (Guimarães Municipality Webpage, 2010). However, its head consists of 40.000 inhabitants. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Over many years, Guimarães city officials pursued a policy of preserving architectural forms and rededicating spaces to new functions so that old and forgotten areas of the city centre were given a rebirth. Guimarães is the focus of greater levels of interest and recognition, both nationally as the first capital of Portugal and internationally, as a result of the city’s strong commitment to the criteria it adopted and craftsmanship it supported in this area. The last thirty years have testified the accomplishment of some old projects and ambitions. The renovation of public spaces and of municipal buildings, dedicating them to new functions and services, along with the technical and financial support for private initiatives, represent the three main strategies that have helped in achieving the prime goals for the Historic City Centre of Guimarães. Those goals were basically as follows: - First, the renovation of the landmarks in the Historic City Centre strove for the highest level of authenticity by using traditional materials and techniques, an ideal that not only maintained the architectural integrity, but also respected the quality of form and function. - Second, the number and type of residents living in the Historic City Centre should maintain the living conditions of this population: improved and gentrification was not welcomed. Both municipalities of Braga and Guimarães have an urban planning department that is taking care of execution, implementation, strategies and further urban planning scenarios in the city jurisdiction. However, the Municipality of Guimarães has had, since the late 1970s, a specific department dealing with the city centre. It has been recently incorporated in the urban planning department. Pedestrianization plans and strategies are being taken care of by the municipalities too.

(a) Braga

(b) Guimarães Figure 1:

Map of Braga and Guimarães municipalities.

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(a) Braga Figure 2:

(b) Guimarães

Detailed city centre map, Braga and Guimarães (Google Earth, not to scale).

The city centre areas of both Braga and Guimarães have been surveyed to collect information related to the pedestrian flows and problems of walkers, as well as some short interviews of local residents. Figure 1 (a, b) shows the location of Braga and Guimarães municipalities in Portugal and Figure 2 (a, b) shows the centre study areas of the two studied cities. The streets in the city centre areas have been considered for surveys and questions. According to the municipality plans of Braga and Guimarães, the engineering departments are responsible for building and maintenance of the sidewalks in the city centres. The funds come from the central and local government for any improvement of sidewalks in the city centres in Braga and Guimarães. These two cities are quite walking friendly in nature. However, due to physical constraints of the cities, sometimes it is rather difficult to walk. Lots of tourists are coming every year in both the cities and exploring the city by walking.

4 Methodology A simple method has been applied to collect and analyze data. Questionnaire surveys have been conducted to get the information related to reasons for walking, problems of walkways and other socio-economic data. An observation survey has been carried out at different times of the day and night to count the number of walkers and to establish the pedestrian speed of walkers in both the studied cities. Photographs of walkways from both cities have also been analyzed to establish the problems of the pedestrians. After collecting the necessary information, simple statistical methods have been applied to summarize data to present the major findings of the study. A sample survey has been conducted in form of a questionnaire to interview 100 people in Braga and Guimarães. An observation survey have been carried out in the form of counting the pedestrian flow, considering pedestrian speed, elevation of the walkways, pedestrian signs and bill boards, etc. Conceptual frameworks of problem identifications have been reviewed from literatures to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Questionnaire 100

Literature Survey

Analysis

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Observation 2 cities

Findings

Recommendations

Figure 3:

Diagrammatical sketch of the study method.

establish the typologies of the problems in these two cities. Four major factors have been assessed to establish the existing problems of the sidewalks and walkways in the studied cities. These are: a) Functional Problems: functional features in this framework relate to the physical attributes of the street and path that reflect the fundamental structural aspects of the local environment. b) Safety: this feature reflects the need to provide safe physical environments for people, considering crossing aids, lighting at night, etc. c) Aesthetic: this includes the cleanliness, street maintenance and architectural propositions of the walkways in the existing set up. d) Destination: this feature relates to the availability of local facilities and connection of the walkways with different urban services. These classified problems have been explored in two cities in Portugal through a field survey.

5 Who are the walkers in Braga and Guimarães? Recent guidelines for physical activity recommend that adults accumulate, on most days, 30 minutes or more of moderate-intensity physical activity (such as brisk walking), in minimum bouts of around 10 minutes (Pikora et. al. [5]). The transport research unit of Oxford University has unveiled information (2005) that in Portugal, 49.9% of the families have at least one car. During the last couple of years, car ownership in Portuguese cities grew even faster and it has been predicted that at least 68% of families have a car in 2008 (Dargay [2]). This means people are depending heavily on cars even for short trips. However, Braga and Guimarães city centres are very well designed for walkers, so that people can shop and can walk for leisure. For instance, different walkers in terms of age can be seen on the city centre streets of Braga and Guimarães. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

150 The Sustainable World Table 1:

Walking statistics of people in Braga based on age.

Time Segments

Youth (0 to 15)

Young Adults (15 to 40)

Adults (40 to 65)

Elderly (65+)

Morning (up to 12 AM) Lunch Hour (12 to 15.00 PM) Afternoon (15h – 17h) Afternoon(17h-20h) Night (20-23h) Night (23-2h) Night (After 2h)

(Source: Field Survey, 2009) Table 2:

Walking statistics of people in Guimarães based on age.

Time Segments

Youth (0 to 15)

Young Adults (15 to 40)

Adults (40 to 65)

Elderly (65+)

Morning (up to 12 AM) Lunch Hour (12 to 15.00 PM) Afternoon (15h – 17h) Afternoon(17h-20h) Night (20-23h) Night (23-2h) Night (After 2h)

Legend: Less than ≤ 20% 20% <Medium Low ≤ 35% 35% <Medium ≤ 50% 50% 65%

From table 1, it can be seen that young adults (age group 15 to 40) are walking more at night during 20 to 2 PM in Braga. The situation is very similar in Guimarães, although a significant number of youths walk in the same time period. Indeed, the young adults are going to bars or clubs during this time and they rely on walking to go to those facilities. It has also been noticed that elderly people (65 or more age group) are walking during the day time from morning to late afternoon for shopping, leisure and other matters. Tables 3 and 4 show different walkers based on their occupation. It has been observed that the retired persons are walking mostly in the morning for recreation, leisure or for entertainment. However, retired persons do not feel comfortable enough to walk during the night or even in the late afternoon. Students and unemployed people are walking more during the late evening and night. Indeed, these people are walking in a group of 5 to 10 persons to go to bars and pubs. Professionals, such as Engineers, Teachers, Administrators, etc., are walking for shorter trips up to 15 minutes from home or workplace to go for WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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shopping or bringing their children back home from schools. The professionals are walking more during the evening time. Late at night, only some students and unemployed persons can be seen on the walkways and this is especially so at the weekend. Those walkers walk back home from the bars or nearest restaurants to their house. Apart from these general observations that apply in both towns, differences can be depicted from tables 3 and 4. The city centre of Guimarães concentrates in relative terms more bars and restaurants than Braga’s. As the town of Guimarães is smaller in size and has a smaller city centre, it is closer to nearby areas. This may be the most important reason why significant numbers of students and professionals concentrate in the city centre. An additional reason might be the special atmosphere that Guimarães medieval open air city centre offers to the high number of users at night. This strong intensity of walkers shows clear evidence in the survey results. There is a very high intensity of pedestrian flows late at night (20.00 to 02.00 hours) in comparison to Braga, where the pedestrian flows do not show peaks either during day or night hours.

6 Problems experienced by pedestrians While there are numerous challenges to pedestrian mobility and sidewalk accessibility, some are more likely to be experienced by small and medium-sized Table 3: Braga Morning (7 - 12) Lunch (12-15) Afternoon (15-17) Afternoon (17-20) Night (20-23) Night (23-2) Night (2 and later)

Walkers in Braga according to professions. Students

Professionals

Retired

Unemployed

(Source: Field Survey 2009) Table 4: Guimarães Morning (7 - 12) Lunch (12-15) Afternoon (15-17) Afternoon (17-20) Night (20-23) Night (23-2) Night (2 and later)

Walkers in Guimarães according to professions. Students

Professionals

Retired

Legend Low ≤ 20% 20% 65% WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

Unemployed

152 The Sustainable World cities (Evans [3]). Braga and Guimarães are two medium-sized cities in Portugal that are also having problems on sidewalks and walking ways at intersections. These problems have been studied through a literature review and field observations have been performed in both city centres. Considering all the observation surveys in these two cities, relevant problems have been identified. It has also been observed that some of the mentioned factors worked very well and others are still leading to unpleasant and inconvenient walkways in Braga and Guimarães. The identified walkway problems are now discussed. Lack of Pedestrian Planning: transportation planning, especially in small and medium-sized cities, has typically focused on motorized traffic on streets (Evans [3]). This situation is not exceptional in Braga and Guimarães. Both municipal authorities have an engineering department that is preparing the city plans. However, pedestrians or bicycling plans are still absent in the municipal master plans. Some renderings can be seen in the road network design. Lack of Walkway Maintenance: it has also been experienced from the observation survey that in Braga and Guimarães, walkways are not maintained well in some cases. In the city centre area, mostly the pavements, the colour of walkways and the continuity of walkways are well maintained. However, the connected pathways are not well maintained in most of the cases. The discontinuation of the width and length of walkways offers an inconvenient walking environment for pedestrians. Figure 4 shows that the sidewalk has a lack of maintenance when it comes to describe the width. In this case, it has been measured that the sidewalk starts 1.2 metres wider in the beginning and in the middle it becomes less than 1 metre wide. The construction wall of the building comes into the right of way of the sidewalks and it offers an unpleasant and inconvenient sidewalk for the walkers. As a result, the walkers forcefully need to walk on the carriage way with cars, which decreases the safety of pedestrians.

Figure 4:

Poorly maintained width of sidewalks in Braga.

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Figure 5:

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Encroachment of sidewalk width in Guimarães city centre area.

Figure 5 shows that the sidewalk has been taken by the shopkeeper to sell fruit products to the passerby. This situation is very common in medium-sized cities and it is also happening both in Braga and Guimarães. The cars are also going very fast on the adjacent sidewalks at almost 30 to 40 km per hour. Pedestrians can feel very uncomfortable crossing this area if two persons are walking in opposite directions. Placement of unwanted hindrances on sidewalks: it has also been experienced in the studied areas that trees, electric pillars and dustbins are placed on the walkways to create a chaotic situation for pedestrians. In the busy sidewalks in mega cities like Tokyo, Mumbai and Mexico City, this scenario is not that common (Rahaman et al. [7]). However, in medium-sized cities like Braga and Guimarães in Portugal, some unwanted hindrances have been found even in the city centre streets. In figure 5, it can be seen that a major electric pillar is placed on the sidewalk. It decreases the width of the walkway and at the same time it decreases the safety of the walkers. Sometimes, the dustbins and beautification trees (shown in figure 4) offer the same problem in small cities. Lack of political and financial support for pedestrian planning: a major obstacle to achieving good pedestrian facilities is not just planning, it is implementation. Implementation is achieved through the dedication of resources by the public and from the resources of private property owners (Nelson [4]). In the studied municipalities in Portugal, the resources are mostly allocated to other sectors to negotiate the growing need of urban services, such as major infrastructures, housing, schools and shopping areas. However, pedestrian planning has been incorporated in the transportation plan in recent times, especially in Guimarães, because the city will be the European Capital of Culture in 2012. Certainly it will receive lots of tourists in 2012 and afterwards from home and abroad who will walk and see the city in coming years. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

154 The Sustainable World Other problems for pedestrians, such as bus stop shades on walkways, street furniture, advertisement signs, broken man-holes, cars parking on walkways (mostly for a short time to drop people or to shop at the adjacent shops), etc., offer inconvenient pedestrian flow, especially in the day time.

7 Conclusions Guimarães and Braga are traditionally being considered as pedestrian friendly city centres. They are two important cities in Portugal in terms of culture, tourism, business and service economy, located within a 12 Km distance. Braga has an enormous area of pedestrian precinct in the city centre. These walkways are well connected with shopping areas and other city centre facilities. People of different ages are coming to the city centre for socialization, shopping and recreation purposes. Guimarães has a medieval city centre with connections to the shopping and tourist spots. Both cities have very nice and pedestrian friendly city centres. However, the dimensions of the city centres are different in terms of the number of pedestrians and the total length of walkways and the study shows different pedestrian mobility patterns in both cities that were not expected. These differences concern the age and professional status of the walkers. This induces a different schedule, both in the day and the night time, for pedestrian usage of the two city centres. This outcome is not widely known in regional policy making, but it should be considered when making urban and transportation plans. This study pointed out some problems of pedestrians considering the types of walkers in two medium-sized cities in Portugal. Adjusted policies can improve the level of walkway services in these two cities if they are taken under consideration by the local authorities on a short and medium term basis. First, the pedestrian plans should be prepared and revised along with the municipality transportation plan. Both Guimarães and Braga are receiving a significant number of tourists every year. Most of the tourist attractions exist within 20 minutes walking distance. As a result, tourists can also take the advantage of walking within the city in a convenient way if the pedestrian plan can be incorporated into the transport or into the urban planning system. Second, maintenance of the walkways is important at regular intervals. In Braga city centre area, the walkways are well maintained, except for some width and colour alterations. In Guimarães city centre area, the walkways are offering alteration, both in form of width and length. Broken surfaces and up and down surfaces offer problems for smooth walking opportunities too. For instance, regular maintenance of walkways should be monitored closely by the municipality authority. Albeit there has been a significant policy shift in which local governments are taking up increased responsibility in ensuring a safe pedestrian environment, much remains to be implemented. Representations of safer and convenient city walkways thus encourage more people to walk for shorter trips, which certainly leads to a healthy and carbon neutral city. This study is an attempt to propose a methodology for the quick assessment of walking environment problems in medium-sized cities. More empirical research is in demand to further develop WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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this methodology. The importance of this approach is that less time is needed to apprehend the problems and to list and classify them. Likewise, more time can be devoted to problem discussion and finding of solutions within a public participatory atmosphere.

Acknowledgements The authors would like to acknowledge the partial support given by the Portuguese Foundation for Science and Technology in the scope of the research project PTDC/GEO/64240/2006. This work was also partially supported by the FCT under grant no. SFRH/BPD/ 45762/ 2008. The authors are thankful to the MSc. students of Urban Engineering in the University of Minho for conducting the field survey, Fátima Matos (4th yr Civil Engineering Student) for summarizing field data and undergraduate civil engineering first year students for the observation survey in the field.

References [1] Carlos, J.; Balsas, L, (2007), City Center Revitalization in Portugal: A Study of Lisbon and Porto, Journal of Urban Design, Vol. 12 (2), Routledge Publisher, UK, pp. 231 – 259. [2] Dargay, J., (2005), The Dynamics of Car Ownership in EU Countries: A Comparison Based on the European Household Panel Survey, Working Paper No. 1010, Transport Studies Unit, Oxford University Center for the Environment, the UK. p. 3. [3] Jennifer Evans, (2006), Sidewalk Planning and Policies in Small Cities, Journal of Urban Planning and Development, ASCE, Vol. 132 (2), pp. 71– 75. [4] Nelson, A.C., (1995), Private Provision of Public Pedestrian and Bicycle Access Ways: Public Policy Rationale and the Nature of Public and Private Benefits, TRR 1502, TRB, Washington D.C., pp. 96 – 104. [5] Pikora, Teri; Corti, Billie; Bull, Fiona; Jamrozik, Konrad; Donovan, Rob, (2003), Developing a Framework for Assessment of the Environmental Determinants of Walking and Cycling, Journal of Social Science and Medicine, Vol. 56 (2003), Elsevier Science, pp. 1693 – 1703. [6] Portland Pedestrian Master Plan, (1998), City of Portland, Department of Transportation, USA, p. 1. [7] Rahaman, Khan; Ohmori, Nobuaki; Harata, N., (2006), Evaluation of the Road side Walking Environment in Dhaka City, East Asian Studies of Transport Research, pp. 1751 – 1760. [8] Zacharias, John, (2001), Pedestrian Behaviour and Perception in Walking Environments, Journal of Planning Literature, Vol. 16 (1), Sage Publisher, pp. 3 – 18. [9] Braga Municipality, http://www.cm-braga.pt/ (Navigated on February 9, 2010 at 15.06 GMT)

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156 The Sustainable World [10] Google Earth, www.googoleearth.com, navigated on January 2, 2010 at 11.32 GMT. [11] Guimarães Municipality, http://www.cm-guimaraes.pt/, navigated on January 10, 2010 at 13.00 GMT.

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Sustainable mobility – analysis of sustainable mobility measures in cities N. L. Sá1,2 & J. B. Gouveia3 1

Department of Environmental Health, College of Health Technologies of Coimbra, Portugal 2 Sustainable Energy Systems, University of Aveiro, Portugal 3 GOVCOP and Department of Economy, Management and Industrial Engineering, University of Aveiro, Portugal

Abstract Mobility is assumed as a sine qua non condition on people’s relationships. However, the raising of mobility dependence on the existing energy paradigm has been hazardous to the environment, to the economy and, consequently, to society. In this context began a great necessity to rethink all mobility paradigms and change into more efficient and sustainable cities, in order to preserve present society needs without compromising future generations. One of the most valuable tools used in recent years is the Sustainable Mobility Plans, which have been adopted in several European cities. These are expected to be an efficient measure in achieving the European goals, namely the reduction of CO2 emissions, one of the main causes of Climate Change. This work shows the state of the art of Sustainable Mobility Plans in three territories, as a means to achieve more Sustainable Cities in the near future. The main conclusions of this review are the absence of a standard indicator to measure the mobility in cities, which is as an important issue to develop; the necessity of integrated pull and push measures in cities as a way to change people’s behaviours and the importance of a city’s network on the best practices in mobility and urban planning, to achieve the “Sustainable City” goal. Keywords: sustainable mobility, mobility plans, energy, transports.

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1 Introduction The current energy paradigm, the notion of sustainability and mobility, forced the European Union to take action on policies regarding the spatial, social and environmental context on sustainable cities, as well as on people and goods mobility and their eco-spatial relationships. The sustainable mobility plans of three European cities have been studied in order to understand the adopted measures in each one and to build a critical analysis.

2 Energy policy at the European Union The trans-European transport networks and, in general, the efficient services on transport are crucial to the urban development and policies. Especially a good transport system is a determinant factor on the urban economy competitiveness and in the quality of life of citizens. The concept of sustainable mobility became the main goal on the common transport policy, which intends to reconcile the mobility demand by individual and economical activities with the recognition of the resources limits and the impacts of these transport operations on the environment. The common transport policy also aims to address questions as the integration of the priorities of space planning in the arrangement of transport infrastructures and in the promotion of intermodal transportation, without compromising social, economic and environmental aspects [1]. In 1996 it was elaborated by the European Commission in the Green Book “The Citizen's Network: Fulfilling the Potential of Public Passenger Transport in Europe”. This document displayed the advantages of the public transports and the main action areas at a communitarian level destined to stimulate and promote an integrated system of intermodal transports that explores entirely the potential of public transportation. This paper came to encase other documents of the European Commission, as the Green Book (1990) about urban environment and the Report on the Sustainable Cities (1996) on the promotion of an integrated board of the urban problems. The Sustainable Cities project was initiated in 1993, aiming to stimulate cities to establish and to apply the Local Agenda 21 or similar Sustainability Plans, based on policies reports, interchange of experiences, networks and diffusion of the best practices cases, which are still in use. It is easily understood that the guarantee of fastest mobility of people and merchandises, efficiently and at low cost it is fundamental for the economy dynamism and society cohesion of the EU. The transport sector generates 10% wealth of the EU in terms of gross internal product (GIP) and assures more than ten million jobs. However, the constant increase of mobility submits the systems of transports to great pressure, giving origin to congestions in what road and aerial traffic are concerned, reducing the economical effectiveness and contributing for an increase of fuel consumption and pollution. One of the main issues is the fact that the transports sector, mainly the road transportation, is responsible for 28% of CO2 emissions, the main gas with greenhouse effect, in the EU. Hence, it was introduced measures to promote WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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more efficient and alternative fuels utilization, in order to reduce the carbon emissions of vehicles. In 2001, the European Commission elaborated an action plan for the transport sector for ten years – “White Paper – European transport policy for 2010: time to decide”. According to a intercalate evaluation carried through in 2006, the plan will have to be centred in the improvement of the competitiveness of the rail ways, in the introduction of one maritime policy, in the development of transport systems which use the best technologies available, in the application of taxes for the infrastructure usage, in the increase of biofuels production and in the paths to reduce the congestion in the cities. In October of 2007 the European Commission presented the “Green Book Towards a new culture of urban mobility” that became incipient in the solutions and in the necessary strategies, until this date. This policy came to be strengthened, recently, with the “Green Paper - Revision of the relative policy to the RTE-T” for a better integration of the trans-European transports network, at the service of the common policy of transports, which gave an accurate reply after the White Paper launched in 2001 with goals up to 2010. At the same time the European Union launched the Directive 2003/30/CE in May of 2003, related to the promotion of the use of biofuels or other renewable fuels in transports. Due to this policy, there was a significant increase of this type of fuel utilization in the transports sector, particularly in road transportation. State-Members will have to take measures to assure the substitution of 5,57% of all the fossil fuels (gasoline and diesel) used for the purpose of transport for biofuels, up to 2010, beyond the directive 32/2006/CE that defines an energy efficiency plan in the final use of energy and to the energy services. In 2008 the president of the European commission, in the scope of climate changes, presented a communication (COM (2008) 30), where he described the so called “20-20-20 by 2020”, where he considers the increment of 20% of renewable energy, the increase of 20% of the energy efficiency and the reduction of 20% of the CO2 emissions, all up to 2020 [2].

3 Energy, sustainability and mobility As the transport system is in the foundations of the progress in modern societies, the sustainable development demands a sustainable transport system. Among many definitions that had been suggested for the concept of sustainable mobility, one is distinguished, which was proposed in the Mobility 2030 report: “Meeting the Challenges to Sustainability” from the World Business Council for Sustainable Development (WBCSD [3]): “Sustainable Mobility not only requires that essential human or ecological values not be sacrificed today or in the future. It also requires that society’s needs to move freely, gain access, communicate, trade, and establish relationships be met. The goals are intended to ensure that mobility continues to fulfil its indispensable role in improving the living standards of the global population by reducing disparities in mobility opportunities between and within

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160 The Sustainable World countries and by providing enhanced mobility alternatives to the general populations of countries in both the developed and developing worlds" [3]. There are three identified dimensions of sustainable mobility in the previous definition that had been described by the OCDE/AIE (2001): - Mobility and Accessibility Dimension: to offer alternatives of accessibility and transport services adequate and available to meet the necessities of mobility of people and goods; - Social dimension: to offer adequate transport services to all elements of society in order to not compromise its stability, namely in safety, health, congestion and equity in the access to these services, for the different segments of the population. Thus, the system must guarantee the adequate level of territory coverage in the net drawing and in the schedules of the transport systems, as well as in the obligations of a public services in transports, specifically in what regularity, capacity and the accessible tariffs of these services is concerned; - Environmental dimension: to offer transport services in order to not degradate the environment or to not compromise the possibility of citizens in getting other essential resources for their regular subsistence or to develop other activities with these same resources [4]. Beyond mobility and accessibility, social and environmental equity dimensions, a sustainable system of transports cannot be dismissed from the economical efficiency goal. This is equally essential for both production of the transport services and consumers. The achievement of these goals in any of the dimensions is not opposite to the search of economical efficiency, but it must be integrated in it [5]. In light of what was mentioned above, one highlights the adequate relationship between Energy, Sustainability and Mobility, which is fundamental due to: - Urban transport is nowadays responsible for about 40% of total energy consumption in the European Union and for 40% of CO2 emissions, accountable for the climate change, as other pollutants, being also liable for the degradation of life conditions of its inhabitants; - The urban trips, which average travel distance is less than 15km, are responsible for one fifth of the total kilometres travelled in all Europe and the trips with a travel distance less than 10 km are to blame for three quarters of the same total; - The urban dispersion is increasing the average distance of urban trips. Between 1995 and 2030, it is estimated that the kilometres to be travelled in urban areas will rise 40%. The sub-urbanization and the reduction of urban density, the increasing of car possession and the expansion of roads networks made the private car the main transport in the urban field, with a share of 75% of travelled kilometres in that mean of transport in the European Union; The Kyoto protocol perspectives a cut of 8% of total emissions of CO2 between 2008 and 2012, relatively to 1990 levels, however with the current tendency, the CO2 emission levels will suffer an increasing of 40% in 2010 relatively to 1990, just because of the transport sector.

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To face the referred problems, new conventions and associations emerged in Europe, such as Energie-Cités, Covenant of Mayors, as means to promote sustainable mobility and to increase energy efficiency in cities, with Sustainable Mobility Plans as we will see further on [6].

4 The transport and the mobility Throughout time, the growth of productive capacities has created increasing necessities of mobility. However, is equally truth that technological advances linked to transport sector have harnessed structurally the economy’s growth. In the 20th century, the increasing of the transport sector was developed mainly within the petrol paradigm, because it was seen as cheap and inexhaustible, promoting the diffusion of cars and its massive proliferation. This reality influenced the population forms of organizing the economical activities, both in time and in space. The industrial, the commercial localization and the residential neighbourhoods localizations were done without thinking in the amplitude of the impacts of these policies. Finally, when faced to the necessity to find a development model, as referred at the Brundtland Report, “that meets the needs of the present generation without compromising the ability of future generations to meet their own needs”, the economical agents woke up for the inevitability to consider the transport impacts and consequently to reduce or mitigate de main costs that are associated [7]. These conclusions have emerged a reflection about the alternatives and the creation of a conscience, which translates a transformation of the urban agglomerates. This must be reflected upon and planned in order to answer to the energy efficiency requirement as much as possible in people’s and goods transportation, as well as in urban planning. This triangle assumes a key importance in territorial energy planning, in order to meet the challenges of sustainability without compromising people´s daily life. This trinomial reflects the emergent discussion about sustainable cities, in order to face the current model of European cities, which consumes 75% of total energy consumption in the EU [6].

5

Cities and the mobility

On behalf of the publication of the Green Paper about Urban Environment, the European Commission created in 1991 a specialist group on Urban Environment with national representatives and other independent experts. Their main contributions are in latu sensu: - to study how future strategies of urban planning and land utilization could integrate environmental goals; - to advice the Commission about the way as the urban environment dimension could be developed in scope of the community environmental policies; - to analyze how the Commission could contribute more efficiently to improve the urban environment.

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162 The Sustainable World In 1993, recognizing the extension of the environmental problem, this expert group launched the “Sustainable Cities” Project, to be developed between 1993 and 1995 with the following goals: - To contribute to the development and discussion about sustainability of European urban environments; - To encourage an extended experience exchange; - To promote the best sustainable practices locally and in long term; - To formulate recommendations in order to influence de EU and State-members policies, including at regional and local levels, according to the resolution of Ministers Council of 1991. The “European Sustainable Cities” report is one of the main results of the “Sustainable Cities” Project and it is considered to be the main support document of the second European Conference of Sustainable Cities, carried through in Lisbon – Portugal in October 1996. Other results of the “Sustainable Cities” project include the “Good practices guide” and the “European System about good practices information”, useful summaries destined to specific groups and conferences adapted to the necessities of each State-member. The exchange of information and experiences is being encouraged by the European Campaign of Sustainable Cities, launched in May of 1994, during the first European Conference of Sustainable Cities carried through in Aalborg – Denmark. Besides the “associated networks”, including the Municipal and Regional Councils of Europe (CCRE), International Council for Local Environmental Initiatives (ICLEI), the World Federation of Twin-Cities (WFTC), the World Health Organization (WHO) and Eurocités are actively pledged to share information and experiences between cities and in improving their consulting skills, based on experimental projects at local level demonstration [8].

Figure 1:

Possible interventions in the transport system to reduce environmental pressures [7].

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As result of the studies obtained on this field over the last years, one concludes that the sustainable mobility consists in a global process developed in order to achieve a less intensive system of nature resources usage and pollution production. Due to this fact, decisions and actions are required as means to reduce the number of travels, encouraging a shift for more efficient technologies and to its environmental friendly utilization. The following chart summarizes the transport system. Regarding the figure above, five main ideas are presented which will develop and explain this system: 1. Increasing the efficiency of the initial productive transport systems, namely the industrial process related to material production and building infrastructures of transport system support (1) and promoting reutilization, recycling and end-of-life equipments remanufacturing policies (7). 2. Improving vehicles efficiency: a. Reduction of the specific consumption of vehicles (10); b. Diminution of the emissions through systems of end-line treatment (for example, particle catalysis and filters) (6); c. Transformation of travel characteristics for more efficient technologies, in the energy and environmental perspective (in application of transport policies, that is to say through tax incentives and disincentives): in the case of vehicles, for more efficient technologies of traction (for example, vehicles of electric traction) (4); concerning power plants, for alternative fuels (for example, GNC), electricity and hydrogen. One should retain that all factors must analyzed from the life cycle perspective (3). 3. Enhancing the efficient use of vehicles: a. Economical techniques in driving (Eco-driving) and using information and communication technologies (ICT´s) for a better performance in driving vehicles (for example, through On-Board Diagnostic systems) (10); b. Better infrastructures design and engineering (specifically in pavements) (2) or; c. Using ICT´s to optimize the infrastructures utilization (for example, “Intermittent Bus Lane” technology which optimizes the utility and land efficiency of Bus Lanes, switching its status between private or both uses depending on proximity/presence or absence, respectively; or also a vehicles flux regularization, such as the ramp metering) (5). 4. Modal transfer and increase the rate of vehicle occupancy: a. Reduction of individual transport using road pricing (Tax for moving vehicle phase and not only in static phase, as car parking) and more restrictive parking policies inside the cities (9); WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

164 The Sustainable World b. c.

Incentive the use of the public transport, improving, among others aspects, the inter-modality through a bigger integration in some means and services of transportation; Increasing vehicles occupancy in the main populations accumulations, through incentives such as High Occupancy Vehicles (HOV) lanes that could change the individual trips using, for instance, car pooling (hitchhike of people who work and live nearby) (9).

5. Reorganization/re-localization the mobility chain activities of the transport system in order to: a. Reduce the average distance travelled in each trip: increasing the socio-economic activities density; regulating/influencing the companies and house localizations; and introducing new layouts for the urban development, oriented to public transport (namely car free zones, guaranteed land use for easy access to social and collective services, etc) (8); b. Substitute the travel necessity, through work from home and internet shopping (although the latter is partially replaced by goods transportation to our homes) (9). The intervention necessity starts at the strategically level of transport system and continues to the infrastructure project, through the environmental impact assessment, in order to include the environmental issues in the evaluation and selection of the best available options, when the system capacity is required to be reinforced (11) [7]. Subsequently, and based on the described above regarding sustainable mobility, three study-cases of the Almada (Portugal), Paris (France) and Barcelona (Spain) cities will be analyzed: 5.1 Mobility action plan of Almada (Portugal) Almada, a Portuguese city located south of Lisbon and river Tejo, has a territorial area of 72 km2, 35 km of coastline, with a total of 160 825 inhabitants and a population density of 2 000 hab/km2 (Censos 2001). Urban mobility is essentially done by car, through “25 de Abril” bridge (about 160 000 vehicles/day), to which high energy and environmental impacts are associated. In this context, Almada’s Energy Agency (AGENEAL) took action in two priority fields: Buildings (domestic and services) and Transports, which represent around 34% and 43% of energy consumption, respectively. Under these conditions and focusing on sustainable mobility, AGENEAL created a Sustainable Mobility Plan with the following objectives: - Reduce car dependency on everyday journeys, increasing the number of trips by public transportation and climate-friendly means of transport; - Improve public spaces and create comfort and safety conditions for pedestrians and cyclists.

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In order to achieve these objectives, AGENEAL developed a four stages plan: Planning and developing a multimodal transportation system integrated in: a. The Local Development Framework; b. The Local Strategy for Climate Change; c. The Mobility Plan, Accessibility 21; d. The “Cyclable Almada” Plan; e. The Local Strategy for Solidarity and Sustainable Development. 2. Creating infrastructures for Public Transportation and climate-friendly means of transport: a. Tejo’s South Metropolitan; b. Almada Cyclable Network; c. Traffic Control Measures. 3. Promoting new Technologies and Renewable Energies utilization: a. Renewing city council fleet, according to energy efficiency criteria; b. Optimization of urban solid waste collecting circuits; c. Bicycle parking systems. 4. Informing, sensitizing and encouraging participation of citizens: a. Trough forums to exchange views on major processes planning and in strategic studies Opinion Polls; b. By campaign Promotion, thematic sessions and large outdoors initiatives [9].

1.

5.2 Mobility action plan of Paris (France) Paris, the capital of France, has 2 153 600 inhabitants with a population density of 24 448 hab/km2 (2005). In face of the recent indicators of World Wildlife Foundation (WWF), the citizens of Paris have a footprint of about 3,0 hectares and according to a carbon audit 24,04 million tCO2 per year are emitted in Paris. In reaction to the announced results, Paris assumed a compromise to do a Mobility Plan, a Climate Plan and to reduce 75% of greenhouse gases emissions. The Mobility Plans are founded on a stage approach to fight the Climate Change and the pollution and to improve citizen’s mobility based on: - The reduction of 25% of traffic cars; - The creation of 200 independent traffic lines (bicycles, cars and public transports) within seven years; - Prioritizing public transports, with a raise of 12% in its utilization between 2001 and 2008; - Prioritizing soft mobility with an increase of 70% generalized use of bicycle and an annual subscription of 215 000 free bicycle users (Vélib´s); - The execution of economical activities easily in the urban zones; - The improvement of air quality and on the decrease of greenhouse gases emissions with a reduction of 32% of NOx (-6% in car traffic) and 9% of CO2 (-11% in car traffic); In the period of 2001-2020 the present Plan goals are more ambitious: - 40% reduction of car traffic in Paris; - 30% increase of public transports offer; - 19% increase of non motorized mobility (400% of bicycles); WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

166 The Sustainable World - 60% reduction of CO2 emissions (produced by traffic); - 100% of Paris streets respecting the European Union directives relatively to NO2; - Improvement of road safety, noise and goods transportation [10]. 5.3 Mobility action plan of Barcelona (Spain) The Spanish city of Barcelona, capital of the Cataluña Autonomous Community, has a resident population of 1 595 110 inhabitants with a population density of 1 523 hab/km2 (2006). Regarding to the mobility indicators Barcelona, 33,8% of the inhabitants uses the private transport, 35,6% uses the public transport and 30,75% uses the soft mobility means of transportation. The Barcelona Mobility Plan 2006-2012 is based on the following specific objectives: - To increase the average vehicle occupation from 1,2 to 1,4 vehicles/person; - To obtain an average emission of 120 g/km of CO2 in all vehicles; - To reduce in 6% the rate between vehicles x km/day from current numbers; - To increase in 30% the internal trips with public transports; - To increase in 65% the internal and external trips. The strategic objectives are related to the safety issues (reduction of accidents), to sustainable mobility (reduction of environmental impacts), to equity in mobility (accessible to all population), and to efficiency in mobility (reducing mobility to only the necessary, optimizing the excess). The main actions of the Barcelona Mobility plan are presented below: 1. Safety on Mobility a. Act on users behaviour; b. Improve infrastructures and traffic management; c. Carry through an inventory, an analysis and a precise assessment on accidents information. 2.

Sustainable Mobility a. Reduce greenhouse gases emissions; b. Decrease atmospheric contamination; c. Drop noise pollution.

3.

Equity on Mobility a. Guarantee a comfortable space for pedestrians and cyclists; b. Improve the accessibilities for people with conditioned mobility c. Increase the safety and autonomy of children; d. Guarantee the right to mobility for population segments that do not have private vehicles (specially aged and young people) and others which do not use it in an abusive way.

4.

Efficient Mobility a. Reduce the necessary distances for displacement of the various services; b. Optimize the private vehicle; WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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c. Decrease of the displacement time, especially in the congestion zones [11].

6 Conclusions In the current conjuncture, the public transport assumes responsibility for about 40% of the total energy consumption in the European Union and it is accountable for 40% of CO2 emissions, which are the main cause of the Climate Change, as well as other impacts that degradate the quality of life of the population. It is understood that is urgent to adopt policies and measures that aim the prevention and mitigation of present effects of mobility. This, tends to become a sustainable mobility if has in sight the economic development (the preservation of work positions and the transference of goods, or access to services), the preservation of the environment (as long as it does not harm habitats and ecosystems, preserving the international commitments and agreements) and social (which guarantees the accessibility to all users, as the safety and equity on the distribution and use of the mobility agents). From the analysis of the three Sustainable Mobility Plans of the three European cities, it can be concluded that: - it does not exist a uniform indicator to evaluate the current state of mobility, because in some cases the sustainability indicator used is the “footprint”, in others the “carbon footprint” or the final energy consumption or even the transport utilizations rates; - is essential the adoption of reachable goals that go into European objectives, namely the “20-20-20 to 2020” policy and international protocols, such as the Kyoto Protocol or others; - The measures must be multifaceted and strong, involving all the community and adopting the best available technologies; - It is important the existence of a network to share the information (EnergieCités, Forums, Research Centre’s) in order to promote the best practices and to optimize the results; - It is important the change of energy paradigms and the adjustment of behaviours, with push and pull measures, betting in the information and sensitization of the users. The generalized adoption of Sustainable Mobility Plans will allow the cities to achieve the sustainable development.

References [1] COM (97) 197 final, Para uma Agenda Urbana da União Europeia. Comissão das Comunidades Europeias, 6-05-1997, Bruxelas. [2] Retrieved in 7th September of 2009: http://ec.europa.eu/transport/ index_en.htm [3] World Business Council for Sustainable Development, 2001 [4] Organisation de Coopération et Développement Économiques e Agence Internationale de L´Énergie WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

168 The Sustainable World [5] Alves, Mário J.; Mobilidade e acessibilidade: conceitos e novas práticas. Revista Indústria&Ambiente, n.º 55, March/April of 2009. [6] Castanheira, Luís; Gouveia, B.; Energia, Ambiente e Desenvolvimento Sustentável. SPI, Porto, 2004. [7] Moura, F.; Dimensões da mobilidade sustentável. Revista Indústria&Ambiente, n.º 55, March/April of 2009. [8] Report resumes “Sustainable European Cities” of the Expert group about Urban Environment. European Commission, Brussels, March of 1996. [9] Freitas, C e Sousa, C.; Apresentação do Projecto BELIEF e os Casos Práticos de Almada na Área da Mobilidade, AGENEAL, Vila Nova de Gaia, 26th of May of 2008. [10] Baupin, D; Paris Sustainable City…. Tokyo ‘s C40 conference, 22nd of October of 2008 [11] Garcia, J.; Barcelona Urban Mobility Masterplan “2006 – 2012”. Ajuntamento de Barcelona, June of 2009.

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High-speed railway: impact on regional territorial configurations A. de Meer & C. Ribalaygua Departamento de Geografía, Urbanismo y Ordenación del Territorio, University of Cantabria, Spain

Abstract In contrast to the improvement in accessibility of the cities with H-SR stations, there are greater problems for the connection of the stations with rural areas, making previous experience of connection of the high-speed network with regional transport services especially interesting. To do so, we will attempt to get to know the experiences in the reorganization of regional transport after the arrival of the high-speed railway in low population density areas, through the French cases of Brittany, Rhône-Alpes and Vendôme. As a hypothesis, we will focus on demonstrating that better exploitation of the infrastructure depends on the characteristics of the high-speed train itself, and especially on the actions and strategies developed around it. In other words, there should be a project for restructuring the regional transport model, in which all those involved should develop a coordinated strategy. Keywords: high-speed rail, reorganization of regional transport, accessibility, intermodality.

1 Introduction The contributions about the effects of the H-SR have enabled an in-depth study of the scientific knowledge about models of localization (Ureña and Ribalaygua ), territorial changes (Ureña et al. ), economic processes (De Meer ) and urban dynamics (AAVV  and Bellet ). In this context, the transformations provoked by the H-SR in rural areas and the models of penetration of the flows in low population density areas will be considered, given that it is of particular interest to be able to analyze the measures that contribute in increasing the capacity to publicize the accessibility of the high-speed railway on the regional WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100161

170 The Sustainable World scale. The starting premise is to consider that there are very relevant activities such as second homes, uses related to the enjoyment of nature or small disperse population nuclei, whose accessibility to the benefits of the H-SR constitute an opportunity. In contrast to the improvement in accessibility of the cities that have H-SR, there are greater problems to connect the stations to rural areas, which make the experiences of connection of the high-speed network with the regional transport services especially relevant (Garmendia et al. ). The experience in reorganizing regional transport after the arrival of the high-speed railway to low population density areas will be studied through the French cases of Brittany, Rhône-Alpes and Vendôme. As a hypothesis, we will focus on demonstrating that better exploitation of the infrastructure depends on the characteristics of the high-speed train itself, and especially on the actions and strategies developed around it. In other words, there should be a project for restructuring the regional transport model, in which all those involved should carry out coordinated action. The arrival of the H-SR to a region brings about the revision of the transport model, with the aims of achieving greater publicity of the benefits, enabling the access of all the regional population and of avoiding limitation of its effects to urban areas (Rodríguez Bugarín et al. ). To achieve these aims, different systems have been set up, some relying on railways and others creating new management and organization of the different types of transport, in order to connect the high-speed railway to the rest of the transport networks. In this context, intermodality appears to be the best way of connecting the high-speed railway to the low population density areas, through connection with conventional trains, the public bus service or transport on demand (Ribalaygua and De Meer ).

2 Models of penetration of the high-speed railway in low population density areas in France The models of penetration of the high-speed railway have been studied through the French cases of Brittany, Rhônes-Alpes and Vendôme. The first of them is Brittany, specifically in the Rennes urban area and the Saint Brieuc region. In reality, from the city of Rennes the penetration of the TGV goes along the coast (Lamballe, St. Brieuc, St. Malo, Lannion, Brest, Quimper, Lorient, Vannes and Redon), completed with regional railway lines (TER) towards the interior and a TER bus network that links different routes, with the addition of two regional bus lines (Rennes–Loudéac, Rennes–Pontivy). This system enables good communication and coordination of timetables among the train stations, regional buses and the stations with TGV stops (Rennes Métropole ). Therefore, the TGV only gets to specific points and the penetration is provided by the trains and buses (TER and regional), which use combined tickets that are controlled by SNCF in the case of the TER lines. Private cars are also used, especially in the central rural areas. The strategy followed is “to get one of your important cities to be used as a TGV stop and at the same time improve the regional transport WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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system so as to communicate the rest of the cities in the region with this node with journey times of less than one hour” (Rodriguez Bugarin, 2005 (7)). The coastal Saint-Brieuc region is connected via two stations (Lamballe and Saint Brieuc) guaranteeing a significant number of TGV to Paris and Rennes, which enables the Saint Brieuc service to be used by around 2,800 people per day. The TGV penetration in this area of Brittany is aided by a strong regional train support. Moreover, the SCOT – Schéma de Cohérence Territorialeprogramme promotes the construction of car parks at the train stations with TER services, with the aim of increasing the usage as a communication means between different population nuclei. All this must be completed with another type of offer, given that it is a rural zone with a very disperse territorial model where; there are many journeys, it is not part of the large infrastructures, there are people without cars or that are elderly and where there is a necessity to look for other modes of transport that enable the population to remain in the rural setting. The solutions have been focused on developing transport systems that are as economical as possible from the energy viewpoint, through promoting transport on demand. The management of these initiatives corresponds to the municipal areas through the regional council delegations, which are normally developed through cooperation among town halls. This is the case of CABRI (Communauté d´Agglomération Briochine, agglomération de Saint-Brieuc) constituted in 2000, when 14 municipal areas joined to develop a project for sustainable development through three actions: the project of agglomeration, the pluri-annual investment plan and the agglomeration contract. The second French example studied was the Vendôme region in the Centre of France, (activity centre with more than 10,000 jobs) where the TGV arrived in 1990. The communication to Paris in 43 min. has promoted three poles of industrial activity specialized in the aeronautical sector (Thalès Avionics, Secan Honeywell), in the automobile sector (ZF Systèmes de direction Nacam, Rollet Productique, Thyssen Krupp Sofedit Vendôme), robotics and measurement equipment (Bourdon Haeni, Trescal and la Calhène), as well as in the domestic appliance sector (Elco Brandt). A metallurgical sector (Dargaisse, Aréméca, Sonopol, Poject and Lajoine) has also been developed around the above companies, particularly related to Thalès Avionics, Elco Brandt and Nacam France (525, 350 and 750 jobs). The first of these companies transferred its research department from Paris with 600 jobs and the arrival of the TGV in Vendôme has led to a group of people selling their houses in Paris and establishing their main residences in this small city. This has all contributed to changing the profile of this urban nucleus, where new jobs have been created related to services for the population and commerce (4,470 out of the total of 10,000). However, unlike what was thought, the communication with the tourist zone of the Loire Castles has not worked as well as was expected. In this region, 1990 was a key year when eleven municipal areas decided to join together in “La Communauté du Pays de Vendôme” to become the driving force of a territory made up of two urban centres and peri-urban and rural settlements. This territorial project understood the necessity to increment the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

172 The Sustainable World TGV services, so representatives of the municipal areas started negotiations with the SNCF which led to the increase in the number of services between Vendôme and Paris from 40 to 70. Thus, in Vendôme the TGV has driven economic growth, which has necessitated the increase in the number of trains to Paris, while the organization of the transport services in the region remains to be done; there still has not been a reorganization of the TER network and systems of intermodality have not been developed to penetrate further into the region. In fact, the TGV crosses the region from north-east to south-west alongside the TER network, while a lot of territory still has no train communication and no nodes to link TGV/TER. There is not even a TER or regional bus service, and there are no combined ticket systems for both types of lines. All these factors limit the penetration of the TGV into the centre of the region, as a new organization of regional transport is necessary, in an attempt to provide systems of intermodality that increase the population mobility in these rural zones. In this sense, the report of 2006 issued by the regional transport administration highlighted that it was necessary to organize an intermodal SNCF + VBus pass to facilitate travel of the holders to line No. 3, which communicates with the TGV station (Transports du Loir-Et-Cher ). In the Rhône-Alpes region, starting from Lyon, the most important urban nucleus, there is a great relation between the TGV and the TER network, with a suitable density of lines towards the west and a clear reduction towards the east, especially after Grenoble. In the same way, the bus communications are limited to some links in the north, south and centre of the region.

3 Experience in reorganization of transport after the arrival of the high-speed railway The development of the high-speed railway in France has provoked the necessity to reorganize the regional transport system. In the agglomeration of Saint-Brieuc in Brittany, diverse actions have been developed such as, for example, the Urban Transit Plan 2006-2016 in which specific actions were proposed to organize the mobility from a perspective of sustainable development and to start up a new transport model based on greater equilibrium among: - The different transit modes with alternatives to the use of the car. - Generations. With the aim of favouring mobility of all the inhabitants, taking into account that the car cannot be used without compromising the quality of life of future generations. - Territories. Given that the mobility of the population does not stop at the limits of the administrative areas and access to whole transport network must be facilitated. This model of mobility denominated “shared” is based on the cooperation among the whole set of authorities: State, Regional council, General council of the department and SNCF, with support from the different associations that participate in the project and the inclusion of the inhabitants in a “projet de partage de la mobilité” (Urban transit plan 2006-2016 ). This project relies WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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on intermodality, combining several modes of transport throughout a journey such as, for example, bicycle plus public transport, train plus tram or metro. The most important aims of the project are to take advantage of public transport and to provide complementary services and intermodality in the railway system, urban buses and school buses. In Brittany the planning of transport services is considered to rely on coordination among the State, the regional authorities, the local collectives and the SNCF. All of them coincide in proposing a model based on intermodality and organization of the services, given that these measures contribute to territorial cohesion, sustainable development and communication with other regions and countries (Charte du Pays de Saint Brieuc ). At the same time, the urban transit plan 2007-2017 of Rennes places special importance on developing the regional trains (TER), given that this transport means is a commonly used by the inhabitants of the whole urban agglomeration. The aim is to improve the service by coordinating the bus and metro offer, utilizing a single payment service through the KorriGo card, which facilitates its use, as it can be used on both public transport means. Furthermore, the urban projects, such as the construction of the metro, gave added benefits as they justified the creation of a public transport hub for the whole Rennes conurbation. The coach station, the bus stops, the metro and the taxi rank are around the SNCF station, so an intermodal space is created that facilitates the coordination among the different types of displacements (Direction des Infraestructures ). In the same way, in the city of Saint Brieuc, the arrival of the TGV spawned new urban projects in the station neighbourhood in order to site new activities and services for coordinating transport and developing intermodality. The reorganization of the rail connections with other types of transport after the arrival of the H-SR constituted another very interesting experience in Brittany, where the Rennes conurbation planned a system of intermodality including cars, metro, trains, cycles and the bus service. To this end, four parking areas were created “Les parcs relais”, in the outskirts of Rennes that allow drivers to park free and continue by metro or bus, all with the possibility of making a single payment for all the rail and bus transport. These actions are reinforced in the town and country planning, specifically in the “Schéma de Cohérence Territoriale” (SCOT ), which includes a change in the transport model, to reduce the number of car journeys, increasing the public transport service or alternatives (walking, bicycle) and relating the different systems (metro, TER, bus). Thus, in Brittany, the arrival of the TGV has provoked the reorganization of transport based on intermodality, innovative transport projects and town and country planning. This experience coupled with the Rhônes-Alpes region, where the process was initiated by the creation of the Regional Assessment of Transport, which between 2000 and 2006 studied and organized all the pertinent information. The projects were promoted by the railway infrastructure management authority in France, Réseau Ferré de Francia (RFF), to make the railway an instrument for sustainable development. The railway is an environmentally friendly transport WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

174 The Sustainable World mode, with a large territorial organization capacity, which values the local necessities and supports long-term economic growth. For this reason, the RFF has a priority aim of improving the quality and capacity of the train lines, financing the substitution of thermal energy TER trains with electric ones, favouring the use of the trains by all types of travellers and organizing bus and train timetables at regular intervals (1 or 2 hours, or 15 min.) at all stations to facilitate use and coordination (RFF ). The Rhône-Alpes region has participated in the latter initiative denominated “Cadencement” since December 2007 with a pilot project in the most in-demand zones where the efficacy has been verified in improving the TER train and bus service. This is a clear positive example of intermodality. Furthermore, this action is complemented by others such as the improvement in the services in stations, above all with the initiative of providing real-time information from 2009 and the OùRA card as a single ticketing system for the whole TER network in the Rhône-Alpes region, which can also be combined with Grenoble and Lyon’s transport. It is also possible to obtain season tickets combining train-car, bus-train and car-coach-car, or even a season ticket for a service for car sharing. In order to support the TER network and improve its services, the “Schéma Directeur Regional d´Accessibilité du Service de Transport (TER) in the Rhônes-Alpes region was approved in April 2008. This set out objectives such as creating a hierarchical network of stations and interchange hubs to ensure access to the whole region; improving the accessibility and transport service offer coordinated with different agents (associations of people with reduced mobility, rail management, RFF, SNCF, region, departments). To achieve this, reforms have been made in stations or interchanges such as the elevation of platforms or the construction of overhead walkways with lifts. There is also a project that sets out to plan the set of transport services through a proposal approved in the regional assembly at the beginning of 2009. This includes the reform of the stations, substitution of trains and modernization of infrastructures. To develop these actions, the “Schéma Regional des Services de Transport (SRST)” was presented in the Regional Council on the 7th April 2008 which contains five strategic axes: - Create a public transport network for the whole region. - Promote complementary services and intermodality of the transport services through a network of stations, interchange hubs and intermodal tariffs. - Create structures for cooperation and finance among the different administrations. - Value the strategic situation in the European flows. - Promote innovation: modernization of the services, non polluting practices, alternatives to the use of the car. The plan dedicates special attention to the rural zones and to the tourist zones, giving support in this case to intermodal systems, favouring public transport instead of car access and encouraging the SNCF to develop the rail transport offer and modernise the TER service. To this end, an agreement was signed between the Regional Council and the SNCF on 30th March 2007, including WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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initiatives such as the service offer (intermodal travel pass, complete information in real time for passengers, ticket and pass distributers, improvement of transport vehicles, economic advantages (season tickets or travel passes at reduced prices). In Grenoble for example the waiting time for trains and buses can be consulted by “sms” in a mobile telephone. There is even an offer of transport on demand for use of the TER services, which guarantees the return transfer from the dwelling to the closest TER station. The region gives clear support to rail transport over the car, justifying this option as the former is considered less polluting and relating it with the TER regional bus network. The “Projet de Services TER” was envisaged for this purpose, which is a project that will start in 2010, with which intermodality will be favoured throughout all the systems (bus, car, bicycle, train), augmenting the number of TER services and adapting them better to the users’ necessities, in this case through the organization of timetables with regular intervals (Cadencement). There are also projects for railway work promoted thanks to the coordination among different agents, specifically the Réseau Ferré de France, the RhôneAlpes Region, the State, The Voironnais region, the general councils of Isère and of la Drôme, the Metro and the SNCF. The “Sillon Alpin Sud” Project, focused on changing the gauge of several lines, constructing double lines in some sections and restructuring several stations is integrated in this strategy. According to the promoters of the project, this will improve the rail offer in periurban areas, decrease the duration of the journeys, develop intermodality and facilitate the access of all types of users to the stations. These projects for reorganizing transport in France were made possible by a whole set of public actions at different levels. In the first place, the State, through the SNCF (Société Nacional de Chemins de Fer) and RFF (Réseau Ferré de France), is carrying out projects to; improve the quality and capacity of the lines, electrify the TER network, enable the access of all types of travellers, organize the train and bus timetables in regular intervals and improve the services in the stations. The following services have also been added; reservation of taxis to meet the TGV, parking at the departure point, unification of tickets if your journey combines the plane and TGV, car hire at the destination point, which all contribute to better territorial penetration of the High-speed railway. On the regional scale, firstly, the “Schéma de Cohérence Territoriale (SCOT)” was drawn up, providing an instrument for introducing a change in the transport model to decrease car journeys, increase the public transport systems or alternatives (walking, bicycle) and relating the different systems (metro, TER, bus). The second step, the “Schéma Régional des Services de Transport”, was of vital importance, given that its aims were focused on the modernization of transport (reforming stations, substitution of trains and modernization of the infrastructures), the creation of a public transport network for the whole region and the promotion of complementary practices (stations, interchange hubs and intermodal tariff), the creation of cooperative structures for intermodal organization and promoting innovation (modernization of services, non-polluting practices and alternatives to the use of the car). Finally, the “Schéma Directeur WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

176 The Sustainable World Régional d´Accessibilité du Service de Transport”, sets out to create a hierarchical network of stations and interchange hubs, to improve accessibility, to offer services for coordination of different agents and to carry out station and hub modernization. On the local scale, in the definition of the urban model, the POS reserves land for dissuasory parking and intermodal public transport hubs (SNCF, bus and metro stations, taxi ranks). Moreover, the town halls are developing transit plans or mobility plans, which contemplate sustainable actions, a new transport model

STATE COMPETENCE

RFF

SNCF REGIONAL COMPETENCE

Regional Territorial Planning Scheme SCOT

Regional Transport Service Plans

Regional Accessibility Plan

LOCAL COMPETENCE

Local Displacement and Mobility Plan POS - Siting Intermodal Hubs - Reservation of building land for dissuasory car parks

Coordination

Administrative Actions Transport management body

- Coordination - Disuasory car parks - Single ticket

Figure 1:

Scheme of distribution of state, regional and local competences related to the high-speed railway in France.

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based on a balance among the different modes, alternatives to the use of cars and access to the whole transport network. Finally, the local scale requires transport management through organisms that are dedicated to coordinating all the different modes, the parking areas “Les parcs relais” or the single ticket for all rail or bus transport. Examples of this local management are the TAL (Transport Agglomération Lyonnaise) or the TAG (Transport Agglomération de Grenoble).

4 Some conclusions about the French experience in reorganization of transport in France From this study, three models can be deduced for reorganization of regional transport around the high-speed railway stations in France. In the first, the TGV crosses one extremity of the region from north-east to south-west, parallel to the TER, with no type of node connecting TGV/TER. In the second, the rail and bus network is organized from the H-S R station and penetration toward the Alps is

High-speed line Regular regional transport (TER and bus) Transport on demand Figure 2:

Reorganization models of the transport systems in Vendôme, Rhône-Alpes and Brittany. Compiled by the authors (2010).

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178 The Sustainable World achieved by bus and on-demand transport. In the third, the model is organized through the coastal H-S R complemented by regional railway lines (TER) toward inland area and bus routes. In this way, the models range from the model of a regional service parallel to the high-speed one (Vêndome case), through the radial model of Rhône-Alpes, which has hardly any users in the ends of the branches of the service, to the Brittany regional model, where the regional bus and rail service runs in parallel, linking parts of the rail network, but leaving some interstitial areas without services. In all cases, the reorganization of the local transport system is necessary, through the creation of suitable routes and coordination of the timetables of regional services with high-speed ones. Finally, the areas of low population density with no ordinary transport require the organization of transport on demand systems that, through very specific actions, connect these areas to the new station. Among the specific actions to be undertaken to implement this type of systems on a regional scale is the organization of flexible routes, combining distinct destinations and users, with suitable reservation systems. These systems will be organized using information technology methods, coordinated with timetables of the high-speed service and they will require vehicles with a very small capacity, such as taxis or microbuses. The coordination of these flexible services with the ordinary regional transport ones is a necessary part of the regional transport reorganization to accommodate the arrival of the high-speed train and it is the only way of guaranteeing access to the new infrastructure for the inhabitants of low population density zones within a region.

References [1] Ribalaygua, C and Ureña, J.M., Les villes espagnoles saisies par la grande vitesse ferroviaire: stratégies et projet (Chapter 2). Mobilité et écologie urbaine. Ed. Descartes & Cie : Paris, 2008 [2] Ureña, J.M., et al, Alta Velocidad ferroviaria e integración metropolitana en España: el caso de Ciudad Real y Puertollano, EURE, XXXII, 92, pp. 87104, 2005 [3] De Meer, A., Alta velocidad, intermodalidad y territorio, Research project financed by Ministry of Public Works: Santander, 2008 [4] AAVV (2005) Monografía “Alta velocidad en el transporte”, Ingeniería y Territorio, nº 70. [5] Bellet, C., Los efectos socioeconómicos y territoriales del tren de alta velocidad en Segovia. Caja Segovia: Segovia, 2008 [6] Garmendia, M. et al., Urban residential development in isolated small cities that are partially integrated in metropolitan areas by high speed train. European Urban and Regional Studies, 15 (3), pp. 249-264, 2008 [7] Rodríguez Bugarín, M.; Novales Ordax, M.; Orro Arcay, A. “Alta velocidad y territorio. Algunas experiencias internacionales”. Ingeniería y Territorio, nº 70, 2005, nº 70, pp. 9.

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[8] Ribalaygua, C; De Meer, A, “Rural areas, high Speed train accessibility and sustainable development”. Sustainable Development and Planning I, edit Wit Press, Southampton, Boston , ISBN 978-1-84564-424-6, pp 375389,2009 [9] Rennes Métropole, Plan de déplacements Urbains 2007-2017, 2007 [10] Transports du Loir-et-Cher. Rapport d´activité de l´exploitant : stdlc, 2006 [11] CABRI agglomération de Saint Brieuc, Plan de déplacements urbains 2006-2016, 2006 [12] Charte du Pays de Saint Brieuc, 2001, pp 47 [13] Direction des Infraestructures. Quand le métro embellit la ville, Ville de Rennes, 2002. [14] SCOT du Pays de Saint Brieuc, 2007 [15] RFF (Réseau Ferré de France), Le développement et l´aménagement durables sur les rails, 2007

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Studies on the carrying capacity of water resources for sustainable cities in the Taijiang area Y. C. Lin1 & T. Y. Lee2 1

Department of Leisure Resources and Green Industries, Leader University, Taiwan 2 Department of Information Communication, Leader University, Taiwan

Abstract Water resource problems have become increasingly severe with the onslaught of global warming. This has shifted focus gradually to the carrying capacity of water resources. Discussions on the carrying capacity of water resources involve the water load capacity required by and supplied for industrial and agriculture use, living water, and environment protection under social, technological, and economic conditions toward the aim of achieving sustainable development of living, ecology and production. This study is aimed at discussing the utilization and configuration of water resources in Taijiang District from the perspective of sustainable development, as well as the demand and supply of water resources in the region for the point of view of water balance. This study collected data related to demand and supply of water resources in Taijiang District from 1992 to 2006. Water demand data included the amount of water for livelihood, industry, agriculture and ecological use. This study also utilized the grey system theory to predict the amount of water utilization from 2014 to 2019. Results show that the demand and supply of water resources in Taijiang District currently present a negative tendency. The demand and supply of water resources in Taijiang District is predicted to arrive at a positive tendency. This can be accomplished by utilizing the grey system, which predicts the amount of future water utilization under each target. In addition, working with planning and allocation of water resources issued by the Water Resources Agency, Ministry of Economic Affairs, which increased the amount of water resources supply to the whole Taijiang District, is also necessary. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100171

182 The Sustainable World Keywords: carrying capacity of water resources, sustainable indicator, grey system theory.

1 Introduction An ideal sustainable urban and rural area should be one that is self-sufficient and with a supply of natural resources independent of other areas, particularly with regards to self-sufficiency on water and energy resources. A sustainable urban area should be equipped with full survival capability and have a balanced energy output. Nature preservation adheres to the minimum demand principle that diminishes or reduces wastes. Therefore, development of sustainable urban and rural areas should pay special attention to the integrity and soundness of structures in the biological system, and should regard health and biological diversity, green land, rivers, and water systems as measurement indicators of these factors. Often, excessive design and artificialization cause cities to lose their natural ecology, contributing instead to environmental damage, particularly through various types of pollution caused by human activities. These types of pollution challenge the tolerability of the ecological environment toward human

Figure 1:

Construction diagram of sustainable development of water resources.

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activities. From the perspective of evolution and development of urban and rural areas, the implementation of reform on construction energy, water resources planning, and special construction in all directions has become urgent. The ratio of water occupancy in urban-region matter structures is above 90%; thus, water circulation should be at the forefront of sustainable development theory. Topics related to water are centralized into one comprehensive view concerning nature and human water system with resource management, including monitoring the water quality of rivers, underground water, wastewater, and drain water. Therefore, sustainable development of water resources covers a wide range of issues, including social and economic mode and water resource development and distribution, which have been discussed with the view of sustainable living, production, and ecology (Fig. 1). Dong [1] pointed out that water is an indispensable commodity for humans and all living creatures; it is also a significant and irreplaceable resource in terms of industrial and agricultural production, economic development, and environmental protection. Jenerette [4] described the current biggest challenge in urban areas in the world: guaranteeing continuous water supply. In future, water consumption modes in urban regions will be subject to changes occurring in the population centralized area, average utilization of water resources by people, and water utilization in climate and ecological systems. In 2003, Zhang Li [7] stated that the bearing capability of water resources is composed of three parts: bearing capacity of water resource quantity, bearing capacity of water environment, and regionally defined capability of water hazards. Wen [6] advocated regional development and stated that this development must abide with natural law by considering the bearing capacity of water resources.

2

Study area description

Taijiang District comprises a region extending from the west of Ximen Road to Anping, Annan, and Qigu Districts (Fig. 2). The Taijiang inland sea occupies an area of 1,050 km2 and extends to the north gate of Tainan County in the north, Ercenghang Stream in the south, the east bank of Bei Xianwei Island in the west, and Chihkan Tower in the east, with multiple rivers flowing into the territory. Taijiang has long been the political, military, educational, and cultural centre of the district. Its north district has been developed into a comprehensive living and commerce area. Although various industries have moved outward to the Anping industrial area, it has also become a tourist attraction due to the transformation of the Anping Harbour into a sightseeing fishery harbour. In addition, Yizai Golden City and Anping Old Castle also attract a number of tourists. The onshore area west of the Annan District was previously the centre of the aquaculture industry and was the site of salt farmlands. However, since the development of 2000 hectares of land into the Tainan Science Industrial Park in 1996, plans have been made to use the residual fragmentary land to build the Sicao Wildlife Reserve. The most common industry in the east district of Annan is agriculture. Some earlier communities have become comprehensive areas integrating living, commerce, and light industries. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

184 The Sustainable World

Qigu Annan

TAIWAN Ximen Road

Anping

Figure 2:

3

Range diagram of research regions.

Bearing capacity of water resources

3.1 Indicator of bearing capacity of water resources Bearing capacity is generally defined in ecology as “the maximal quantity of a certain species supported by a particular environment.” Bearing capacity of water resources are discussed mainly in terms the balance of two aspects: support and pressure. Support discusses items of water resources in terms of water supply in the studied region, including total amount of water resources, average water use amount per capita, development of water resource, allocation of passing water bodies, and degree of water pollution. Pressure discusses items of water resources in terms of the water utilization targets in studied region, including population development, social and economic development, and ecological environment. Items that have different amounts of water utilization under these three dimensions are described in the following. Utilization and allocation of water resources should consider the current population scale within the region, the subsequent growth ratio of the population, and population development. Promotion of economic and social development should be also expanded based on the increment of population, agriculture, and industry. The population factor, along with the amount of water utilization for agriculture and other industries, will increase the quantity of water resources used substantially. The ecological environment should also be considered. These three dimensions constitute the pressure aspect for overall water resources. Each indicator is shown in Fig. 3. To obtain an understanding of the balance of the bearing capacity in terms of the entire water resource, the following calculation formulas for each indicator were used.

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Figure 3:

185

Bearing capacity indicator system of water resources.

1. Total amount of water resources supply ( W ) (1) W  Wl  Wr where Wl is the total amount of surface and underground water recoverable in the process of water circulation in a basin, and Wr is the amount of water transferred from cross-basins. 2. Livelihood water ( WP ) Livelihood water refers to water that comes from tap water supply and selfsupply. Self-supply water items are not included in various statistics; thus, the survey on livelihood water includes only the amount of water supplied by water corporations. 3. Agricultural water ( WA ) Agricultural water includes water used for farmland irrigation, animal husbandry, and aquaculture. The calculations are described as follows. a. Farmland irrigation water Farmland can be divided into drought and paddy farmlands. Paddy farmlands include first and second crops. This study calculates the amount of water utilization according to plantation area in each phase of the crop, as well as the amount of irrigation water in each different area per unit. b. Animal husbandry water Animal husbandry water =  (Amount of water used per animal husbandry unit  Number of animals per animal husbandry unit) (2) WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

186 The Sustainable World c. Aquaculture water Q (m 3 / s / day ) =

Daily water demand amount (m 3 ) Daily water use time (h)  60 (min/hour)  60 (s/min)

(3)

4. Industrial water( WI ) Industrial water is generally divided into cooling, manufacturing, and boiler waters as well as employee water in the factory and other water applications. Industrial annual water use = amount of water used daily per unit area × industrial area × number of annual working days (4) 5. Ecological water demand amount ( WE ) Environmental and ecological water demand is the water required for the maintenance, protection and improvement of the natural and ecological environment [2, 3]. Zhang et al. [8] proposed that the amount of ecological water demand is dependent on natural supplemental waters. If the amount of ecological water demand is calculated into the amount of water used in the whole studied region, a ratio of 10% (by which environmental water demand amount takes up living water demand amount) will be used into the predicted calculation. 6. Total amount of water resources demand ( WD ) (5) where WP is the amount of population water demand; WI is the amount of industrial water demand; WA is the amount of agricultural water demand; and WE is environmental demand and other water demand amounts. Total amount of water resources in the entire studied region was calculated by summing up the livelihood, industrial, agricultural, and ecological water use surveyed. Analysis on water utilization amounts in each target from 1992 to 2006 is shown in Table 1. Results show that the supply and demand of water resources in the entire Tiajiang District was not balanced from 1992 to 2006. Water use amount significantly decreased from 2005 to 2006 (Fig. 4), inducing the supply and demand gap to shrink. Results indicate that supply amount of water resources have to be increased to overcome the issue of the insufficiency of water resources. W D  WP  W A  WI  WE

7. Rate of water quality of rivers up to the standard

Characteristics of water quality in rivers can be presented by a single indicator or a set of comprehensive indicators. Commonly used single indicators include biochemical oxygen demand, dissolved oxygen, ammonia nitrogen, and suspended solids. Comprehensive indicators include water quality indicator (WQI), river pollution indicator (RPI), rate of water quality up to the standard that are usually used to evaluate water quality, and pollution status of rivers. By screening indicator pollutants and analyzing major items controlling water quality (e.g., rate of water quality up to the standard), these factors can be applied as references in planning measures to decrease river pollution. Table 2 shows that, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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in four items, the rate of water quality up to the standard in Tseng-Wen River was higher than those in Yanshuei River. Water quality in Tseng-Wen River tended to improve gradually, whereas water quality in Yanshuei River still needed improvement. Table 1:

Water utilization amount under each target in the studied region. Unit: 1 million cubic meters

Year

Industry 23.57 18.48 17.04 17.14 16.89 14.97 15.00 15.01 18.14 18.16 40.08 17.55 18.32 17.94 18.98

Water utilization amount / water supply amount (106m3)

1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006

Water Utilization Programs Agriculture Livelihood 565.73 85.43 560.99 85.18 603.06 84.97 583.72 73.18 596.36 79.27 529.83 79.44 452.57 87.24 454.30 100.40 452.70 89.86 458.33 97.47 622.95 90.83 383.00 92.61 384.79 93.08 415.54 96.15 361.21 98.32

Figure 4:

In total

Ecology 8.54 8.52 8.50 7.32 7.93 7.94 8.72 10.04 8.99 9.75 9.08 9.26 9.31 9.61 9.83

683.29 673.17 713.56 681.35 700.45 632.18 563.53 579.75 569.69 583.72 762.95 502.42 505.49 539.24 488.34

Water utilization amount Water supply amount

800

700

600

500

400

300

200 1990

1992

1994

1996

1998

2000

2002

2004

2006

2008

Year

Supply and demand data diagram of water in Taijiang District.

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188 The Sustainable World Table 2: Item Rivers 2002 2003 2004 2005 2006 2007 2008

DO Tseng -Wen 89.1 88.0 95.4 92.4 92.9 93.6 95.6

Standard of water quality. SS

BOD5

Yanshuei 31.9 23.6 28.0 45.8 51.4 51.4 65.3

Tseng -Wen 73.3 50.0 51.9 76.4 81.4 80.9 86.8

Yanshuei 40.0 38.3 23.8 50.0 41.7 41.7 60.0

Tseng -Wen 53.3 57.5 47.2 43.8 46.5 46.8 68.4

Yanshuei 56.9 76.4 89.3 72.2 65.3 61.1 75.0

NH3-N Tseng -Wen 60.8 68.3 69.4 80.6 77.5 80.9 82.4

Yanshuei 20.0 20.0 19.0 30.0 26.7 25.0 31.7

Up to standard (%) Tseng Yan-Wen shuei 29.2 13.3 29.2 16.7 26.9 17.5 25.0 11.7 35.3 15.0 35.5 16.7 44.9 13.3

3.2 Application of grey system theory in water utilization prediction The grey prediction model aims to discuss systems with insufficient information, and fully utilize this limited data in an analysis, with a good prediction capability. The following describes the model construction of grey prediction model. For the one-level differential equation of GM(1,1) the model is dx (1)  ax(1)  b dt where t is time, and a and b are the coefficients. Original sequences are

(6)

(7) X ( 0 )  ( x ( 0 ) (1), x ( 0 ) ( 2),...., x ( 0 ) ( n )) An accumulated generation operation (AGO) toward original sequences should be conducted to provide intermediate information for model construction and to weaken the randomness of original sequences. Additionally, X (1) is defined as AGO number sequence of X ( 0 ) : 1

2

n

K 1

K 1

K 1

X (1)  ( X (1) (1), X (1) ( 2 ),..., X (1) ( n ))  (  X ( 0 ) ( K ),  X ( 0 ) ( K ),...,  X ( 0 ) ( K ) ) (8)

Coefficients were acquired from Formulas (7) and (8), and by the adopting least-squares method. The approximate relation is acquired from solving Formula (6): b b  Xˆ (1) (k  1)   X ( 0) (1)   e  ak  a a  

(9)

where X (1) (1)  X ( 0 ) (1) . Sequences were conducted using inversed-AGO (IAGO), as seen in Formula (10): b  Xˆ ( 0 ) (k )   x ( 0) (1)   e  a ( k 1) (1  e a ) a 

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(10)

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where k  1,2,..., n. An accuracy test should be conducted to understand the error between predicted values with actual value. Residual test method is described as follows: e( k ) 

x ( 0) (k )  xˆ ( 0 ) ( k )  100% ，k  2,3,..., n x ( 0) (k )

(11)

If the average accuracy of 1  e(k ) is above 90%, it has a good prediction performance. The a and b values in Formula (6) of each target is known by adopting the grey theory mode and through putting these values into formulas; the predicted values of water use amount of the Tiajiang District under each target from 2014 to 2019 can then be acquired (Table 3). The Water Resources Agency has planned for 80,000 tons/d water to be supplied from Nanhua Reservoir to Kaohsiung in 2010, diverting 130,000 tons/d from Tseng-Wen Basin and supporting 70,000 tons/d to the Gaoping area after 2012. Statistical amounts of transferred water in Yufeng Dam, as well as the Tseng-Wen, Wushantou, and Nanhua Reservoirs and the Gaoping area, were obtained through calculations (Table 4). Supply and demand water amounts were predicted to achieve sufficiency in water resources after 2012 (Fig. 5). Table 3:

Predicted amount of water use for each target. Unit: 1 million cubic meters

Year

Industry

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 Mean Min. Max.

16.04 15.97 15.91 15.84 15.77 15.70 15.63 15.56 15.50 15.43 15.36 15.29 15.23 15.63 16.04 15.23

Agriculture Livelihood Ecology 347.86 334.24 321.16 308.59 296.51 284.91 273.76 263.04 252.75 242.85 233.35 224.21 215.44 276.82 347.86 215.44

106.47 109.07 111.73 114.45 117.24 120.10 123.03 126.03 129.11 132.25 135.48 138.78 142.17 123.53 142.17 106.47

15.97 16.36 16.76 17.17 17.59 18.02 18.46 18.91 19.37 19.84 20.32 20.82 21.33 18.53 21.33 15.97

Total amount of water utilization predicted 486.35 475.65 465.55 456.05 447.11 438.72 430.87 423.54 416.71 410.37 404.51 399.11 394.16 434.52 486.35 394.16

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Table 4:

Yufeng Dam

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019

10.95 10.95 10.95 10.95 10.95 10.95 10.95 10.95 10.95 10.95 10.95 10.95 10.95

Unit: 1 million cubic meters Tseng-Wen and Total water Nanhua Transferred Wushantou amount of supply Reservoir water Reservoirs predicted 94.9 255.5 0 361.35 94.9 255.5 0 361.35 94.9 255.5 0 361.35 94.9 284.7 0 390.55 94.9 284.7 0 390.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55 142.35 284.7 25.55 463.55

550

6

3

Predicted water supply and demand amount (10 m )

Year

Total amount of water supply predicted in 2007-2019.

Water supply amount in future Predicted water use amount 500

450

400

350

300 2006

2008

2010

2012

2014

2016

2018

2020

Year

Figure 5:

4

Supply and demand balance diagram of water utilization prediction in the future.

Summary

1. An analysis of the bearing capacity of water resources in Taijiang District shows that the amount of supply and demand waters tended to be unbalanced from 1992 to 2006. Allocation problems of water resources occurred WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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throughout the country due to changes in social and economic industries and climate factor. This has led to partial farmland cultivation, which adopts rotational irrigation system, to lessen the amount of water use. However, population data shows that because the population in the entire Taijiang District increases gradually, relatively, livelihood water will also increase. Therefore, there a need for the allocation of overall water resources to be replanned. 2. Regarding insufficiency of water resources, the Water Resources Agency has stipulated plans related to water supply from Nanhua Reservoir to Kaohisung, water diversion from the Tseng-Wen Reservoir through the cross-basin, as well as water support to Laonong Stream in the Gaoping area, with the aim of increasing water supply in the entire Taijiang District. This study adopted the grey module to predict the amount of water use in the entire Taijiang District from 2007 to 2019. Results show that after transferred water is included, the supply and demand tendency of water in Taijiang District is expected to reach positive level. 3. Bearing capacity of water resources was not only evaluated through the water supply and demand, but also from the perspective of the quality of water resources, which affects supply amount indirectly. Thus, discussion on water quality is one of the bearing capacity indicators of water resources. This study discussed the most influential rivers and reservoirs in the studied region. Water quality in rivers is affected either by ecology or self-supply users. However, data shows that water quality in the whole studied region was acceptable despite the occurrence of pollutions, which affect water supply amount and water quality of the reservoirs. Data shows that the supply reservoir in Taijiang District could be classified as mesotrophic, whereas the eutrophic phenomenon occurred in Nanhua Reservoir in 2006. Water quality indirectly affects water supply; thus, reservoirs should be strictly controlled to prevent its water supply from being affected and increasing the burden on the bearing capacity on the entire water resources. 4. Although water utilization in Taijiang District seems to show a positive future trend, various development programs, population growth, and climate change should be still considered. Water supply in the whole Taijiang District should not only depend on transfer. Strengthening water-use allocation within the region, providing auxiliary plans of saving water, and recycling used water should be treated as improvement principles. 5. Population growth and industrial changes are among the factors that highlight the importance of water resources. In addition to insufficiency of water supply, the quality of water resources affects water utilization as a whole. The quality of water resources in the surveyed region should be strengthened. Excessive eutrophy of the reservoir not only affects water allocation, but also increases costs of disposing water. Meanwhile the pollution of rivers and other bodies of water can affect environmental ecology and people’s lives.

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Acknowledgement We hereby express special thanks to the National Science Council (Plan No. of NSC 97-2621-M-426-003) for the funds granted, which allowed for the successful completion of this study.

References [1] Dong, Z. C., Allocation of water resources in the western region, Water Resources and Hydropower Technology, 32(3), pp. 1-4, 2001. [2] Falkenmark, M., Coping with water scarcity under rapid population growth. Pretoria: Conference of SADC Ministers, pp. 23-24, 1995. [3] Gleick, P. H., Water in crisis: paths to sustainable water use. Ecological Applications, pp. 571-579, 1998. [4] Jenerette, G. D., A global perspective on changing sustainable urban water supplies, Elsevier, pp. 202-211, 2006. [5] Wan L. F, Lee Y. & Zhuang, Y., Study on water resources bearing capacity indicator system, Soft Science, 21(6), pp. 8-14, 2007. (In Chinese) [6] Wen, G., Water resources bearing capacity study in recent 10 years, Water Resources Protection, 21(6), pp. 15-18, 2005. (In Chinese) [7] Zhang L., Water resources carrying capacity research progress and prospects, Water Resources and Hydropower Technology, 34(4), pp. 1-4, 2003. (In Chinese) [8] Zhang, T., Xiao, J. & Hu, H., Hunan province water resources analysis, Journal of Changsha Jiaotong University, 24(2), pp. 78-85, 2008. (In Chinese)

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Local area greywater symbiosis approach to a more sustainable urban water management S. M. Zadeh, D. R. Lombardi, D. V. L. Hunt & C. D. F. Rogers School of Civil Engineering, University of Birmingham, UK

Abstract Stress on water resources in some areas is reaching critical levels due to population growth, rapid urbanization, economic development, climate change, and an ageing infrastructure. Greywater reuse has been explored as a more sustainable water resource management option to displace demand for fresh water, largely for residential use on a household or building level. However, the infrastructure needed and the disinfectant required for greywater systems make it difficult to see these systems as environmentally friendly and cost-effective, especially for individual households. The research reported herein tests the hypothesis that greywater reuse shared amongst users in neighbouring residential, office and commercial buildings may improve the feasibility of, and hence make more sustainable, greywater recycling as part of urban water management. The local area symbiosis scheme is designed in three stages: first, calculating a balance between greywater supply and demand in the area based on class of use (residential, office, or other); second, estimate sharing (local recycling) potentials based on the quantities available and requirements for use; and finally, estimating the sustainability of the proposed system by considering the technologies and infrastructure required for implementation. Keywords: greywater recycling, urban regeneration, reuse, sustainable urban water management, urban recycling.

1 Today’s water situation Almost all of the world’s water (97%) occurs as salt water. Of the remaining 3%, two-thirds occurs as snow on ice in the polar and Alpine regions; only about 1% of global water occurs as fresh water. More than 98% of this fresh water occurs as groundwater, while less than 2% is available in streams and lakes. Liquid WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100181

194 The Sustainable World fresh water is thus a finite and limited resource [1], and is often not ideally located to supply the demand. Stress on fresh water resources in some areas is reaching critical levels due to population growth, economic development, climate change, and an ageing infrastructure. The current rapid pace of urbanization further highlights the need for an integrated and more sustainable urban water management strategy [2]. Sustainable strategies can be used to address supply and demand in urban regions. One may increase supply by developing additional local sources, such as deep sources (i.e. groundwater abstraction) and rainwater harvesting, importing water from greater distances, introducing seawater desalination, or via the construction of new dams and reservoirs. However, even where these new sources of water are technically feasible, their use may prove unsustainable due to their high direct costs for construction, operation and maintenance, and potentially negative effects on the environment [3]. The second strategy is to reduce the demand for urban water, an important contributor to improving the “sustainability performance” of the urban water system. One demand-reduction strategy is to treat urban wastewater to a sufficient quality so that it could be put to beneficial use, rather than discharge it into sewers or, where appropriate, directly into the environment [4]. Greywater is defined as the urban wastewater that includes water from baths, showers, hand basins, and washing machines, and surface drainage water, but excludes streams from toilets and kitchen sinks [5–7]. Greywater recycling and reuse can thus contribute to urban sustainability by reducing fresh water demand [8]. 1.1 Greywater recycling and reuse The main high-level objectives of sustainable urban water and wastewater systems include: conserving natural resources, improving health and hygiene, saving financial resources, and moving towards a non-toxic environment [9]. Greywater reuse has a significant impact on demand for fresh water supply (conserving natural resources), as well as reducing the load placed on wastewater treatment facilities (helping to move towards a non-toxic environment). However, it should be mentioned that not all of the effects brought about by greywater reuse are beneficial; for example, reusing greywater may reduce flows in sewers, resulting in a higher frequency of clogging events in existing sewers [3]. Reuse of greywater may also reduce the fresh water flows through the distribution network, leading to reduced delivery pressures and increased dwell time in pipes – both associated with lower quality fresh water delivered. In addition, the construction of greywater systems requires the use of natural resources (for storage tanks and pipes) that will contain embodied energy. During their operation, these systems consume other resources including electricity for pumping and chemicals for disinfection. In the small-scale systems proposed for single buildings or households, such resource usage during the operation of a greywater system is proportionately far higher than that required for mains water supply. The small financial benefits and long payback periods further compromise the sustainability credentials of greywater systems [3]. Indeed the infrastructure needed and the disinfectant required for greywater systems make it difficult to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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see these systems as environmentally friendly and cost-effective, especially for individual households. A superficial conclusion might therefore be that the natural and financial resources required for construction and operation of individual greywater systems make it less sustainable when compared to the mains water supply [8, 10]. 1.1.1 Greywater calculation for residential buildings The literature shows that the typical volume of greywater generated in residential buildings depends on living standards, population structures (age, gender), lifestyle, customs and habits, water installations and the degree of water abundance [11]. The average amount of indoor domestic water demand in the UK is 150 litres/day, comprising 50% of the total urban water demand in this country [12]. In the UK, a greywater production of up to 89 litres/person/day of the total water consumption in households may be taken as the basis for calculation for new buildings where sanitary equipment has been refurbished, and water used for toilet flushing represents 19% of the total household water usage. Greywater from baths, showers, hand basins and washing machines corresponds to 59% of total household water consumption (Figure 1). As this analysis for residential buildings shows, the volume of water that will be available as greywater supply (59%) is much higher than the potential for utilising the treated greywater demand for toilet flushing (19%). In this case the amount of potable water that might be saved through greywater reuse will be relatively small, thus supporting the conclusion that it is likely not to prove beneficial in terms of overall ‘sustainability performance’ to use materials and other resources to construct and operate a greywater system in residential buildings.

Figure 1:

Water demand in residential buildings in the UK [13].

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Figure 2:

Water demand in office buildings in the UK [8].

1.1.2 Greywater calculation for office buildings The water use in offices depends on several primary factors including: occupancy, size of office, age of property, type of fittings installed, maintenance and management behaviour, and user behaviour [14]. Water consumption in offices has been correlated with both the number of employees and the floor area for purposes of estimation; the study by the UK Construction Industry Research and Information Association (CIRIA) on water key performance and indicators for offices indicates that employee number is a better predictor. Therefore, the water use per employee for the best practice office used in this analysis is 7.9 litres/day, based on the recommended benchmarks by CIRIA [14]. In this study the average number taken as the occupancy in offices were assumed based on the British Council for Offices Guide [15] of 15 m2 per person. Figure 2 presents the average distribution of water consumption in a UK office. This shows that 63% (5.0 litres/employee/day) of office water usage is for toilet flushing, which can be replaced by treated greywater. On the other hand, the volume of greywater produced in a typical office relates to 27% (or 2.1 litres/employee/day) of office water usage for hand washing throughout the day. The greywater produced in offices (from hand basins) is consequently substantially less than the demand for toilet flushing. Based on the water balance for UK offices, therefore, one may conclude that the limited uptake of greywater systems in offices is due to this mismatch in greywater supply (that generated) and greywater demand (uses suitable for greywater). As always, judgements have to be made on the site specifics of the building in question; if the office building in question has showers, for example, then an additional, albeit

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probably small, supply of greywater would be available. Other sources of water, such as groundwater or green water (i.e. harvested rainwater) could make up the required flushing volumes, or the shortfall could be made up by using fresh water for toilet flushing. Nevertheless, a similar conclusion might be reached to that for residential buildings, i.e. that greywater systems for offices are likely to prove inefficient, and thus ineffective, and hence do not materially contribute to making the urban water system more sustainable unless over-riding local conditions apply (such as severe local water shortages). In parts of the UK where water is relatively plentiful, an office building greywater recycling system would have little value.

2 A greywater system based on local area symbiosis principles Analysis in the previous section has shown that, for the average resident, greywater production exceeds demand thus creating a surplus of greywater after meeting that resident’s demand. However, individual dwelling greywater systems are expensive compared to the price of fresh water in most countries (and certainly in the UK), and the material, energy and other resources required to create and operate them are proportionately far higher than those required for a central mains water system. For the typical office, the converse is true: greywater demand exceeds that produced, thus creating a deficit of greywater; the uptake of greywater systems in offices is low due to both the small percentage of freshwater displaced and the unfavourable economic cost-benefit analysis of the system. It should be remembered that economy is one of the three pillars of sustainability and a ‘sustainability solution’ that is very far from being cost effective would have to deliver very great social and environmental benefits to be worthwhile. This research is predicated on the hypothesis that the demand for potable water in a mixed-use urban area can be reduced by sharing greywater from residential users to office buildings, yielding a system of local area symbiosis for water (Figure 3). Such a system might make greywater recycling a more viable (economically, environmentally and socially) contributor to the sustainability of an integrated urban water system. As discussed earlier for the UK, the greywater production for residential users is on average approximately 90 litres/person/day for a household, while the greywater demand in offices for use in toilet flushing is 5 litres/employee/day. Based on this information, it is possible to establish a ‘rule of thumb’ that each “average” UK water user in residential buildings can supply the toilet flushing demand for 18 employees in office buildings with the average UK water demand of 7.9 litres/day. This ratio allows application of this methodology generally in the UK, but can simply be adjusted for local conditions (installation of low-water usage fittings, for example). The same methodology can be extended to different use classes of building, including hotels, educational facilities, commercial malls, and so on. By extension, with country-specific usage patterns, the methodology should be applicable quite generally.

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Figure 3:

Principle of sharing greywater between residential and office buildings. Table 1:

3

Overall development by use in Eastside [15].

Commercial

2.8 Million Sq Ft

Education Retail Leisure Residential Hotel Public Space Car parking

1.1 Million Sq Ft 1 Million Sq Ft 0.7 Million Sq Ft 4800 Apartments 800 Beds 8 Acres 3500 Public Spaces

Case study: Masshouse

This section describes briefly the case study that has been chosen for this project. Birmingham Eastside is one of the largest mixed-use urban regeneration projects in UK, covering 170 hectares immediately to the east of the centre of Birmingham, one of the four major urban areas of the West Midlands in the UK. Birmingham Eastside has been described by Birmingham City Council as having the potential to be an exemplar of sustainable development, and this aspiration has informed planning documents and planning decisions. The mixed-use development in Eastside combines residential, commercial, industrial, office, institutional and other land uses (see Table 1). A single site has been chosen in Eastside to apply the methodology: Masshouse is a 1.1 million sq ft mixed use development, which includes 500,000 sq ft Grade A office and two residential apartment buildings containing 340 units WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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(10% studio apartments, 60% one-bedroom apartment and 30% two-bedroom apartments). Data collection for these buildings has been undertaken through telephone and email contact with relevant members of the developer’s teams, as well as planning applications and marketing materials. 3.1 Water balance calculation The initial and straightforward step is to calculate the water balance for the two residential and one office building in the Masshouse development to estimate the volume of potential greywater generation in the residential buildings and the potential greywater requirement for the office building. The Masshouse residential buildings have 340 apartments; include 34 studio apartments, 204 one-bedroom apartment, and 102 two-bedroom apartments. The average occupancy per household in the UK is 2.4 people per apartment [17]. Based on this general figure, the number of occupants in Masshouse is 816 people (although a more accurate figure could be estimated on the basis of the demographic profile of the occupants in new high-quality residential units close to the city centre, or a door-to-door survey). The overall water usage of the Masshouse residential buildings is thus estimated as 122,400 litres/day, found by multiplying the 150 litres/day (average domestic water consumption) by 816 (number of occupants). The total volume of greywater production for these apartment buildings is thus 72,216 litres/day and the toilet flushing demand for these users is 23,256 litres/day using the percentages given in Figure 1. The Masshouse office building has an area of approximately 46,000 square metres. By applying the British Council for Offices Guide [18] of 15 m2 per person, the estimated number of employees would be 3067, and given the average water consumption of 7.9 litres/employee/day in office buildings, the total water demand for Masshouse office is 24,229 litres/day. As shown in Figure 2, 63% of this office water consumption relates to toilet flushing demand, which equates to 15,264 litres/day. Once again, a refining adjustment to these figures could be made on the basis of the nature of the office building and its likely occupancy. Combining these calculations, the amount of greywater generated in the Masshouse residential buildings can cover the whole toilet flushing demand in the Masshouse office building as well as the toilet flushing demand in the two residential buildings, and thereby potentially reduce the freshwater consumption of the Masshouse development by 26% with greywater to spare for other local area needs such as landscaping. The economic impact using today’s, or projected future, economic costs can then be calculated in a straightforward manner, and these values can be adjusted for future climate trends, existing and future infrastructure costs, and ‘three-pillar’ costs more generally using one of the various sustainability assessment frameworks that have been developed. 3.2 Greywater technology – further consideration Greywater requires processing before reuse to address high concentrations of chemicals or compounds (i.e. to meet water quality requirements relating to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

200 The Sustainable World organic matter, biological oxygen demand or BOD, bacteria such as E. coli, and so on). A wide variety of technologies have been used or are being developed for greywater treatment and reuse, including natural treatment systems (e.g. construction wetlands), basic coarse filtration, chemical processes (e.g. ion exchange), physical and physiochemical processes, and biological processes (e.g. Membrane Bio Reactor, MBR) [18]. There is a lack of appropriate water quality standards or guidelines for greywater reuse in UK, which makes the sensible adoption of recycling more limited [19]. The problem is to choose a suitable technology to produce a robust effluent quality. Selection of the most appropriate technology is dependent on many factors, though especially the scale of operation, end use of the water, socioeconomic factors relating to cost of water and regional customs and practices [18]. The scale of this proposal operates at the area level, naturally limiting the selection of existing technologies. Two potentially appropriate technical solutions for a site of this scale such as the Masshouse site are MBR and construction wetlands. Generally, the main barrier for implementing the construction wetlands option is the requirement for a relatively large land area, which is generally a significant issue in urban areas and has a large effect on the cost of system. For example the land area that is required to build the wetland for treating the greywater deriving from the Masshouse site is 1795 m2, based on 2.2 m2 area per person [20] (for the 816 estimated residents of Masshouse only – an adjustment would be required for the employees). For Birmingham Eastside, however, the option theoretically exists to incorporate such wetlands into the Eastside City Park, a 32,000 m2 urban park planned adjacent to the Masshouse site. A further extension of this research would be to assess how to safely and aesthetically design a constructed wetlands in the City Park, and further to assess the potential extension of the wetlands service to additional neighbouring buildings in Eastside such as Millennium Point, a multipurpose facility that includes educational, office and leisure facilities. Such an integrated, low energy and low resource solution appeals to a variety of sustainability criteria; its potential habitat for local biodiversity could also be considered as a benefit in this case. The problem for MBR technologies relate to their high energy demand and consequently high operating cost. However, the membrane bioreactor technology is likely to remain as an appropriate technology for greywater recycling, particularly in collective residential buildings, due to the fact that it produces a high quality effluent and is operationally reliable [19]. Future work will examine the scalability of this technology, and its use in urban retrofitting and regeneration areas.

4 Discussion The proposed local area greywater symbiosis system may prove a feasible strategy to improve the sustainability of water use in urban areas. Because of the economies of scale, it is likely to prove more cost effective compared to individual greywater systems. This contention is generally supported by the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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economic feasibility study by Friedler and Hodari [3] on greywater reuse systems in urban sectors, which shows that greywater systems become more economically feasible only when a certain building size was exceeded, this building size being dependent on local conditions. A further study by Memon et al. [2] shows that for large-scale greywater reuse systems, the whole life costing decreases and the energy consumption is also relatively low. Risks to human health and the environment have been considered as barriers to implementing greywater recycling systems. In order to reduce these risks there is a need to manage the health risks by educating householders to ensure appropriate use of recycled water and educate plumbers on installation and maintenance matters. In the case of a large-scale system a lot of time and effort is thus required to educate the householders to reduce the risk, a task made all the harder by the findings of Jeffrey et al. [6] whose surveys show that the public perception for using recycled water in their houses is very low. With regard to this and similar studies about the adverse public perception for implementing individual greywater systems, it might be expected that greywater reuse has fewer problems with public perception were it restricted to a limited use for toilet flushing in non-residential buildings.

5 Conclusions Rapid urbanization, population growth, and changes in the global economy and social behaviour of people all exert pressure on fresh water resources. Work by the UN has shown that “in an industrialised city with plenty of water, flushing the toilet in an average household can send up to 50 litres of water down the drain every day. Yet more than one in six people worldwide – 1.1 billion – don’t have access to 20-50 litres of safe freshwater daily, the minimum range suggested by the UN to ensure each person’s basic needs for drinking, cooking and cleaning” [21]. “Sustainability” in relation to water supply is necessary to meets the needs of the present without compromising the ability of future generations to meet their own needs. Greywater use can contribute to a more sustainable use of water resources by reducing water demand through recycling and reuse of greywater. Although the use of treated greywater can reduce the volume required from the mains supply, the uptake of this system is currently very low because of the high cost of construction, operation and maintenance and the payback period for the system is greater than its lifetime. This paper presents an alternative hypothesis that collecting greywater from net greywater producers (e.g. domestic users) and using it for toilet flushing in office or commercial buildings (where there is a net greywater demand) will improve the efficiency of this system and in turn reduce the potable water demand in mixed-use areas. The authors believe that this system improves the “sustainability credentials” of an urban water management portfolio by reducing potable water demand, and potentially decreasing the cost of the system compare to individual greywater systems and suffering less with respect to adverse public perceptions. The impacts on the current freshwater and wastewater networks must be taken into account in a fuller analysis of this potential. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

202 The Sustainable World The general ratio for this hypothesis is that the amount of greywater that each person in residential buildings produces can supply the demand for greywater for 18 toilet flush users in office buildings. This can reduce the demand for potable water by up to 26%, with the potential for more, based on standard UK guideline figures. Further work for this project includes the assessment of the energy consumption for construction, operation and maintenance of such a system and its comparison with the energy consumption in individual greywater systems, as well as determining the optimal scales and mix of users for different local conditions.

Acknowledgements The authors would like to thank the Urban Futures research team, the Sustainable Eastside research team, and the University of Exeter Centre for Water Systems for their support and for providing the required information for analysis.

References [1] Bouwer, H., Integrated water management: emerging issues and challenges. Agriculture Water Management, 45, pp. 217_228, 2000. [2] Memon, F.A., Zheng, A., Butler, D., Shirley–Smith, C., Life cycle Impact Assessment of greywater recycling technologies for new developments. Environ Monitoring Assess, 129, pp. 27_35, 2007. [3] Friedler, E., Hadari, M., Economic feasibility of on-site greywater reuse in multi-story buildings. Desalination, 190, pp. 221_234, 2006. [4] Li, F., Wichmann, K., Otterpohl, R., Evaluation of appropriate technologies for greywater treatments and reuses. Water Science and Technology, 59(2), pp. 249_260, 2009. [5] Erikson, E., Auffarth, K., Henze, M., Ledin, A., Characteristics of grey wastewater. Urban Water, 4(1), pp. 85_104, 2002 [6] Jeffery, P., Jefferson, B., Public receptivity regarding in-house water recycling: Results from a UK survey. Water Science and Technology: Water Supply, 3(3), pp. 109_116, 2003. [7] Otterpohl, R., Albold, A., Olgenburg, M., Sources control in urban sanitation and waste management: Ten systems with reuse of resources. Water Science and Technology, 39(5), pp. 153_160, 1999. [8] Leggett, D.J., Shaffer, P., Building that save water – rainwater and greywater use. Proceedings of the Institution of Civil Engineers, Municipal Engineer, 151(3), pp. 189_196, 2002. [9] Hellestorm, D., Karrman, E., A framework for systems analysis of sustainable urban water management. Environmental Impact Assessment Review, 20, pp. 311_321, 2000. [10] Memon, F.A., Butler, D., Economic assessment tool for greywater recycling systems. Proceedings of the Institution of Civil Engineers. Engineering Sustainability, ES3, pp. 155_161, 2005. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[11] Morel, A., Diener, S., Grey water management in low and middle-income countries. Water and Sanitation in Developing Countries. Eawag, Swiss Federal Institute of Aquatic Science and Technology, 2006. Accessed in 2009 at www.sandec.ch [12] Future Water. The Government’s Water Strategy for England. February 2008, DEFRA (Department for Environment Food and Rural Affairs). Access on 2010 at http://www.defra.gov.uk/environment/quality/water/ strategy/pdf/future-water.pdf [13] Environment Agency. Water resources for the future. A summary of the strategy for England and Wales, Environment Agency, 2001. [14] Waggett, R., Arotsky, C., Water key performance indicators and benchmarks for offices and hotels (CIRIA - C657), pp.56, 2006. [15] British Council for Offices. Access on 2010 at .http://www.bco.org.uk/ [16] Eastside development, access in 2009 at http://www.eastsidebirmingham.co.uk/ [17] Yao, R., Steemers, K., A method of formulating energy load profile for domestic buildings in the UK. Energy and Buildings, 37(6), pp. 663_671, 2004. [18] Jefferson, B., Palmer, A., Jeffery, P. Stuetz, R. Judd, S., Greywater characterisation and its impact on the selection and operation of technologies for urban reuse. Water Science and Technology, 50(2), pp. 157_164, 2004. [19] Lazarova, V., Hills, S., Birks, R., Using recycled water for non-potable, urban uses, a review with particular reference to toilet flushing. Water Science and Technology, 3(4), pp. 69-77, 2003. [20] Brix, H., Vymazal, J., Brix, H., Cooper, P.F., Green, M.B., Haberl, R. (Eds.), Constructed wetlands for wastewater treatment in Europe. Backhuys Publishers, Leiden, The Netherlands, page 123-152, 1998. [21] UN Water. 2007 World Water Day – Every Drop Counts. Accessed March 2010. http://www.fao.org/nr/water/docs/wwd07brochure.pdf

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Global aerotropolis versus local aqua-community: conflicting landscapes in the extended Bangkok Metropolitan Region, Thailand S. Nasongkhla1 & S. Sintusingha2 1

Department of Landscape Architecture, Faculty of Built Environment, University Technology Malaysia, Malaysia 2 Landscape Architecture Program, Faculty of Architecture Building and Planning, University of Melbourne, Australia

Abstract Samutprakan province, located in the alluvial flood plain that once formed part of the pre-existing mangrove forests of the lower Chao Phraya River, has been affected by rapid urbanization from Bangkok since the 1980s, which has had significant impacts upon the hydrological system. Today, Samutprakan could be further transformed by the discourse of global city branding through the initiative of the Suvarnabhumi Aerotropolis. We conducted a time-series analysis of aerial photographs of the Bang Pli and Bang Pla districts of Samutprakan province to investigate how the landscape has been changed over time and the results indicate that the intensified industrial and higher density residential developments exacerbated the deteriorating ecological conditions of the waterway. Despite the proposal of an environmentally friendlier alternative of aquatic modern living, the strong tendency is that traditional aquatic cultural livelihoods and urban agriculture are being displaced and gentrified by the new town development. Keywords: environmental sustainability, landscape change, local livelihoods, city branding, urban expansion.

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Introduction

Panitchpakdi [8] noted that the ribbon development in the eastern region of Bangkok is highly significant in terms of population, industrial growth and national economic development that link to the Eastern Sea Board Project further down the Gulf of Thailand’s east coast. The area experienced peak accelerated growth – measured by the increase of built-up areas – from 1987 to 1996, which coincided with the country’s period of highest GDP growth rates. The growth manifested in patterns of urban sprawl characterized by leapfrog development encompassing diverse socio-economic settlements and housing developments, industrial estates, mega infrastructure, the pre-existing agricultural patterns, and remnants of the natural mangroves along the coast. While rapid industrial growth and infrastructure development concentrated along the Bangna-Trad highway, lower land prices have attracted developers and investors southward, further encroaching into the ecological sensitive coastal areas. The announcement of a new development plan in conjunction with the new Suvarnabhumi International Airport caused land prices to increase by more than 200%. According to the plan, emerging corridors, clusters, and spines of airportlinked businesses are to give rise to a new urban form and land-use complex – the aerotropolis – stretching as much as 30 kilometres from the airport. The Thai cabinet, on July 20, 2006, approved in principle a draft bill to set up ‘Suvarnabhumi Metropolis’ or ‘Nakorn Suvarnabhumi’ as a local administration with status equal to a province. The metropolis is to be an aggregate of some districts of the Bangkok Metropolitan Region and Samutprakan province with a total area of 130,448 hectares. This urban development will replace fertile lands that are suitable for agriculture, flood plains and water retention of the whole region.

2 Industrialization and suburbanization in Bangkok Metropolitan Region Bangkok was founded as a predominantly water-based settlement along the Chao Phraya River in 1782, integrated together by an extensive canal network that functioned as both transportation and irrigation systems. Influenced by imported land-based modernization from the late 19th Century, the built-up area of the city has since expanded, via roads, into pre-existing aqua-communities. The built-up area generally follows major transportation corridors, giving rise to what has become known as ‘ribbon development’. The urbanized area extends up to 100 km into the city’s hinterland, forming an irregular intermix of rural and urban land uses (McGee [5]). The Greater Bangkok Plan the first city plan of Bangkok – integrating an adjacent province – was formulated by an American expert in 1960 for an estimated population of 4.5 million by 1990. While the plan has never been implemented, ensuing development, particular the major roads and highways was generally consistent with the plan. The population sharply increased with the absorption of the left bank of the Chao Phraya River, Thonburi, into the Greater Bangkok in 1970. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Extended built-up area of the Bangkok Metropolitan Region. Source: Department of Public Works and Town & Country Planning (DPT) [2], p. 2-43.

In 1980, the Bangkok Metropolitan Region (BMR) with an emphasis of a regional linkage to national economic zones of Eastern Seaboard and Northern Industrial zone was established, administratively absorbing conurbations in the surrounding provinces. As the 1st to 8th National Economic and Social Development Plans (1961–2001) focused on the country’s development through export-oriented industries, Bangkok became the centre for economic development accompanied by rapid population growth. Today Bangkok Metropolitan Region dominates the country’s economy, contributing 44% of GDP with 25% of its total population 64 million (NESDB [6, 7]). Rüland [22] observed that a characteristic of emerging megacities is the increasing saturation of inner-urban areas in terms of population growth while adjacent suburban areas are growing by leaps and bounds. Data for Bangkok shows that urban growth in the inner-city districts had slowed down coinciding with the out-migration to adjacent suburbs. Residential subdivisions and industrial plants increasingly move to suburban areas due to the lower land price, affordable housing, and less regulated land use. Bangkok is now almost 100% urbanized while Samutprakan, Prathum Thani and Nonthaburi have a ratio between urban and rural of 1:0.6, 1: 1.4 and 1:0.8 respectively (Department of Public Works and Town & Country Planning (DPT) [2]). Bangkok’s official population increased from 2.1 million in 1960 to 3.1, 4.7 and 6.3 millions in 1970, 1980 and 2000 respectively. The growth rate was WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

208 The Sustainable World higher than 3% per annum during 1960–1970, and declined rapidly during the last 20 years. The growth rate during 1970–1980 was approximately 2.27% per annum and was reduced to 0.66% per annum during 1990 – 2000. This decline corresponded with suburbanization and rapid population growth in the five provinces surrounding Bangkok – Nonthaburi, Pathumthani, Samutprakan, Nakonpathom, and Samutsakorn where the growth rate has been much higher than that for Bangkok (Choiejit and Teungfung, 2003). Between the years 19902000, the annual growth rate of BMR population rose up to 1.16% and the density was about 1,300 persons per km2, while beyond the BMR in Thailand’s central region, the density was less than 140 persons per km2 (Geyer [3]). Thailand’s National Economic and Social Development Board (NESDB) has proposed an “extended Bangkok Metropolitan Region” – with a projected population of 17 million by 2010.

3 An evolution of urban forms in Bang Pli-Bang Pla precincts This section analyzes the urban form evolution of the country’s most fertile flood plain in the outskirt of Bangkok Metropolitan Region. The analysis covers the study area of Bang Pli and Bang Pla districts in Samutprakan province (figure 2) from the late 1940s to early 2000s. 3.1 Natural and water-based settlement patterns in the 1940s–1960s The study area was once covered by mangrove forests, criss-crossing canals, and dispersed farmlands, mainly paddy fields with low-density linear settlements

Figure 2:

Study area mapped on modified Suvarnabhumi plan. Source: Nasongkhla, 2009.

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along the canals and local roads (Figure 3). Small agricultural industries were found along the coast adjoining the only main road transportation of Sukhumvit highway. Historically, this area was settled by ethnic minorities such as people from Laos, Mon and Thai Muslims who were granted land to cultivate by King Chulalongkorn (r.1868–1910) to supply agricultural produce to Bangkok’s inner city (Samutprakan Province [9]; Sukhum [10]). Most paddy patches were scattered amongst inland waterways with access to fresh water. An interview with an old Muslim man, who was born and lived in the province since 1946, indicated that the mangrove forests along the coastal areas begun to be diminished after the completion of Sukhumvit road in 1936. The emergence of agri-business along the highway such as shrimp and fish farms gradually cleared and damaged mangroves (Figure 4). This coincided with the city’s broader development, and by 1960, Bangkok was in the process of a significant transformation from a moderately sized metropolis of some 1 million in 1950 to a large diversified and growing industrial city of some 3 million by 1970. 3.2 Water-based settlements and aquaculture during the 1970s–1980s The Greater Bangkok's total population growth rate rose steadily over the years from 9 percent per year in 1970, to 11 percent in 1980 (DPT [2]). By the late

Figure 3:

Coastal areas were covered by large mangrove patches along the Sukhumvit highway and waterways in the 1940s. Source: Adapted from the Royal Thai Survey Department.

Figure 4:

The mangroves were replaced by shrimp farms and fishponds in the late 1960s. Source: Adapted from the Royal Thai Survey Department.

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210 The Sustainable World 1980s, it had grown to more than 8 million people. The development of industrial and residential subdivisions began along the main Bangna-Trad highway in mid 1970s. It is evident that large-scale mangrove forest patches along Sukhumvit highway were increasingly replaced by fishponds and shrimp farms. Many small fishponds were eventually utilized for shrimp production as they made more profit and as a result of government’s policy to boost agricultural export (NESDB [6]). In time, the mangroves were rapidly reduced into a strip corridor along the shorelines and became highly fragmented along the canals. However, settlements adapted to aquatic life style still persisted where, for instance, famous wholesale freshwater fish products made at Bang Pla and Bang Bo communities were considered more organic and environmental friendly than the commercial shrimp farms that create soil salinity. Culturally, local communities along the canals annually celebrated sacred water-based rituals such as ‘Rub Bua’ (Lotus receiving) in October and ‘Loy Kratong’ or full moon festival in November on the waterways. These rituals represented the sustained Mon cultural ties to the original settlers. 3.3 Accelerated transformation in the 1990s–2000s: commercial farms, golf courses, industry and air transportation The Town and Country Planning Act of 1975 and rural migration boosted and accelerated industrial and urban growth in Lad Krabang district of Bangkok and Bang Pli and Bang Bo districts of Samutprakan. Bangkok Metropolitan built-up areas rapidly extended to Samutprakan with the weak land use control at the time enticing developers. Industrial and high-ended residential estates also boomed as a result of the boosted export industry and overseas investors, which often including property speculators. Bang Pli and Bang Pu industrial estates were established in1988 and 1990 respectively. Low cost housing surrounding the estates was constructed to accommodate migrant workers from the countryside and neighbouring countries, who were attracted by wages that were significantly higher in BMR when compared to other rural provinces. The period from 1985 to 1995 witnessed the emergence of middle to high end master planned housing estates with golf courses and sport centres in leapfrog developments along the main highways near Suvarnabhumi airport (then under construction). These industrial and housing developments, more often than not, lacked proper waste and sewage management, which resulted in severe environmental degradation. More recently, many affected communities raised their grievances to a newspaper that their fishponds and shrimp farms were contaminated from solid waste dumped onto the waterways from industrial and housing estates. The locals had to live with polluted water needed for their everyday life usage and bemoaned that the waterways are unsuitable for their water rituals. Some inhabitants reported to the responsible authority but it was ignored. In terms of environmental issue, Bangkok’s intensified urban development and sprawl led to further need for extensive provisions of new infrastructure to manage water supply and sanitation, often considered lower in priority by urban WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 5:

The boom of industrial parks and high-income housing estates with golf courses and sport facilities in the 1990s. Source: Adapted from the Royal Thai Survey Department.

Figure 6:

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The new canal megaproject known as ‘the 2nd Chao Phraya’ has been dug parallel to Bang Pla canal. Source: Adapted from the Royal Thai Survey Department.

administrators and hence is delivered after the settlements have sealed roads, electricity, and piped water services. However, once whole cities are built, as in the case of Bangkok, it is much harder to plan for and build sanitation services (UNEP [11]). As a result, the pollution of waterways in the Bangkok Metropolitan Region (BMR) has reached extreme hazardous level because of inadequate sanitation for domestic toilet waste and the direct discharge of nontoilet wastewater from multiple sources to the waterways (Asian Development Bank [1]). Kittiprapat [13] found that in the mid-1990s of 3,351 factories in Samutprakan 2,180 were found to be failing to comply with pollution standards and regulations stated in the National Factory Law of 1992. Some 75% of the nation’s chemical producing factories are in the BMR.

4 Suvarnabhumi aerotropolis: city branding for the Southeast Asian aviation hub Nakhon Suvarnabhumi aerotropolis, located to the east of Bangkok and covering an area of 10 kilometres radius around the international airport, has been WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

212 The Sustainable World proposed to become a new province of Thailand within the next three decades. Intensive industrial and business related to logistic and residential activities are designated around the airport. The planned province is to cover Lad Krabang and Prawes districts of Bangkok, and Bang Pli district and Bang Sao Thong subdistrict, in Samutprakan province. A development unit in cooperation with DPT is to be established to jointly manage Nakorn Suvarnabhumi according to a Thai Cabinet resolution passed in May 11, 2004 (NESDB [7]). According to the bill approved by the Cabinet in July 2006, for the first four years the province will be run by a governor appointed by the Interior Ministry and supervised by an administrative board chaired by the prime minister before becoming a special administrative zone, having an elected governor like Bangkok and Pattaya. However, the draft bill was put on hold after the 2006 coup that removed Prime Minister Thaksin Shinawatra’s government. Consistent with the narratives of city branding in the context of global competition, former Deputy Interior Minister, Somchai Sunthornvut, stated that “Suvarnabhumi province will be as big as Singapore but it will be more modern with a special administration team to run the new city and the airport” expecting that Nakhon Suvarnabhumi will become the country’s new economic centre that rivals Singapore in competitiveness (Nation [18]). While the plan was strongly supported by the Thaksin government and Samutprakan governor, the former Bangkok governor who was aligned with the opposition party and academics from major universities opposed the project [18]. The top-down megalopolis plan was to be implemented with an extensive budget for infrastructure and urban development to accommodate future rise of population and industry along the Eastern Sea Board corridor. Sumet Jumsai, a prominent Thai architect and planner, asserted that the project would possibly result in further significant loss of biodiversity and rich ecological functions of the coastal mangrove forests. The major constraint of this development is that the area is located in the flood plain of the Chao Phraya River, which faces periodical inundations that complement the aquaculture of the local inhabitants. Annually for three months, flood water from the north and northeast drains into the central plain coinciding with the annual sea rise. A huge body of water forms around Bangkok that remains in place until the sea level subsides in December. The swamp, where the development project is planned, acts as a natural water retention area on the east side of Bangkok, modulating the flow of water into the sea of its own accord (Jumsai [16]). Residents and workers in the high-density urban accommodation and intensive industrial zones will also be exposed to the noise and pollution of the airport. On this Jumsai [16] critical of both modern planning and political intervention that characterized the conception of Nakorn Suvarnabhumi lamented: “In contrast, much present-day town planning adopts a myopic parameter and pays little respect to nature, let alone Nature in the Platonic or Hindu-Buddhist sense. Of course, implementation has very little to do with planners anyway, the profession being often compromised by politicians who in the end carry out their own "planning". I refer in particular to Suvarnabhumi, the name of the new WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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airport and its associated "new town", which was unfortunately marketed preemptively under the name of aerotropolis, leading to speculation and land grabs. The Suvarnabhumi development in Cobra Swamp is the sum total of everything that should not have been done… Huge investments in infrastructure work became necessary, mainly as corrective measures in an area that is basically a 5,200-sq-km lake. It also meant building on top of the worst subsoil conditions, and a watery terrain that will eventually be three metres below the mean sea level. This event is projected to take place in three generations' time and the factors involved are global warming and rising seas, and the subsidence of the swamp… We might then speculate on the solution to the problem of an aerotropolis three metres below the sea. The solution presupposes a level of hydraulic and societal discipline that suited the Dutch over the centuries, but not the Thai psyche, which is anti-discipline and long-term planning.” Hence, the physical development plan consists of an accelerated completion of a large-scale drainage system for the entire eastern floodplains to effectively solve the inundation problem in Nakorn Suvarnabhumi. A new 78 meters wide and 10.5 kilometres long canal was dug from Samrong canal southward to the Gulf of Thailand as the drainage solution for the airport and its vicinity. The heavily engineered mega-project was designed to pump water at a rate of up to 100 cubic metres per second from the lowland retention areas. As it approaches the gulf, the canal is lifted up to the height of 12 metres in order to cross over Sukhumvit Highway and be discharged into the sea (Figure 7). Although the cost for the canal is Bt 8.4 billion, the perpetual energy bill to pump water over the highway was not factored [16]. As the canal was constructed lined on both side by multilane roads making the land accessible for development, land prices along the canal dramatically rose by up to 200% from 1980s value. A lot of this land has fallen into the hands of prominent developers and allegedly investors and speculators with close ties to politicians (Bangkok Post [14]; Srimalee [21]). In fact Minister Somchai expected that “… land prices there were destined to jump drastically. Perhaps, a hundred fold,” he said [18].

5

“Damage control” for Bang Pli and Bang Pla

“Sumet said he and his colleagues were doing their best to perform “damage control” on the government project…” (Hongthong and Srimalee [16]). In 2006, architects and planners, SJA+3D led by Jumsai, proposed a waterbased city concept to the DPT, expressed through the juxtaposition of the notion of ‘Venice of the East town for tourism’ and urbanism to compliment the preexisting natural system (DPT [2]; Pantumsinchai [19]). The precinct, which covers an area of 24 km2, is planned for a population of 100,000 with a density 4,375 person/km2. The plan will emphasize Bang Pli district’s cultural heritage, industrial parks and low cost housings. The new precincts of Bang Pla and part of Bang Sao Thong sub-district are designated to be an industrial zone and marine related museum. The 30 km2 area will accommodate more than 200,000 people with a density about 3,750 persons per km2. However, due to a huge number of target population and activities, this new development will give rise to a new urban form as parts of the Aerotropolis. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Conclusion

Our spatio-temporal analysis reveals extensive natural and cultural landscape changes. In effect, suburban sprawl fragmented agricultural patches and diminished ecological value of the pre-existing mangrove forests. Along with intensive industrial development in the case study, fish ponds and shrimp farms have been abandoned due to the environmental contamination and Thailand economic crisis in 1994. The loss of urban agriculture will cause future food crisis. Socio-cultural interactions with the waterways have also diminished as an effect of the degraded water quality. Over the last decade, Suvarnabhumi airport and the planned aerotropolis has been the catalyst for a water drainage megaproject for the area. Aware of the fundamental conflicts in land use and

Figure 7:

The canal is lifted across Sukhumvit highway to drain into the gulf of Thailand. Source: Nasongkhla, 2008.

Figure 8: Proposed master plan for BangPhli-Bang Pla precinct: 1) community centre, 2) new commercial zone, 3) public park, 4) village recreation, 5) cultural centre 6) hotel, 7) condominium 8) semi-detached houses. Source: DTP [2].

Figure 9: Artistic impression of future development in the new towns in Bang Pli (right). Source: DTP [2].

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ecological patterns, Jumsai’s concept of ‘Water-based city’ attempts to mitigate hydrological problem and impacts from mega-projects. While the project is on hold due to political uncertainties in Thailand, further studies in terms of how this development works in detail, environmental and socio-cultural impacts and public participation in the planning process are needed. Moreover, the planning is geared for new inhabitants and hence, the local, indigenous voice has been unheeded and the persistence of their aquatic livelihoods is in doubt. While all is not lost and there are incremental evidences that, countrywide, local rights are improving (Prateepchaikul [20]), this may be much too late. Hough [4] noted that little attention was paid to the understanding of natural processes that contributed to the physical form of the city, which in turn have been altered by the city’s development. In the ideal scenario, natural processes and human interaction with nature and how these natural and human processes will be changed and affected by new development should be clearly examined and understood before any new urban activities are considered. This is in stark contrast with real practices discussed here and planners are often reduced to performing ‘damage control’ against the powerful forces of global economy– of which competitive city branding and modern mega-projects are manifestations. We pose the question: is the notion of ultimate urban sustainability for Bangkok Metropolitan Region merely just that – damage control?

References [1] Asian Development Bank (ADB). Report and Recommendation of the President to the Board of Directors on a Proposed Loan to the Kingdom of Thailand for the Samut Prakan Wastewater Management Project. Bangkok. 1995. [2] Department of Public Works and Town & Country Planning (DPT). Bangkok and vicinities regional plan for 2600 BE. (2057 AD). Bangkok. 2005. [3] Geyer, H.S. Global regionalization: Core and peripheral trends. UK. Edward Elgar Publishing. 2006. [4] Hough, M. City form and Natural Process. New York. Routledge. 1995. [5] McGee, T.G. Metrofitting the Emerging Mega-Urban Regions of ASEAN: An Overview. Paper presented at the conference on managing Mega-Urban Regions in ASEAN Countries: Policy Challenge and Responses, 30 November – 3 December 1992, held at Asian Institute of Technology, Bangkok. 1992. [6] National Economic and Social Development Board (NESDB). Suvarnabhumi Aerotropolis Development Plan. An executive report by TEAM Consulting Engineering and Management Co., Ltd., Asian Engineering Consultants Corp., Ltd., Management Solutions International Ltd. and Shankland Cox Asia Ltd. 2003. [7] National Economic and Social Development Board (NESDB). Study for the Action Plan for Development of the Suvarnabhumi Aerotropolis. An executive summary report by The Mekong Environment and Resource Institute. Bangkok. January 2005. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

216 The Sustainable World [8] Panitchpakdi, K. Exploring Multi-habitations along the Eastern Corridor of Bangkok Metropolitan (Chapter 10). Endogenous Development for Sustainable Multi-Habitations in Asian Cities (eds R. Perera , P. Pradhan, T. Fujii and K. Takahashi), Asian Institute of Technology, Bangkok. pp. 33-59. 2004. [9] Samutprakan Province. Culture, historical evolution, identity and local wisdom of Samutprakan. Almanac Committee for commemoration of King Bhumibol Adulyadej. Department of Fine Arts. Bangkok. 1999. [10] Sukhum, P. From Yomrat to Sukhumvit: Circumstances through four reigns. Chulalongkorn University Press. Bangkok. 2004. [11] UNEP/WHO/HABITAT/WSSCC. Guidelines on Municipal Wastewater Management: A practical guide for decision-makers and professionals on how to plan, design and finance appropriate and environmentally sound municipal wastewater discharge system, UNEP/GPA Coordination Office, The Hague. 2004. [12] Kasarda, J.D. Aerotropolis: Airport-driven Urban Development. Cities in the 21st Century. Washington D.C. Urban Land Institute. 2000. [13] Kittiprapat, S. The extended Bangkok region: Globalization and sustainability (Chapter 12). Globalization and the Sustainability of Cities in the Asia-Pacific Region. (eds), Lo, Fu-Chen and P.J. Marcotullio. United Nations University Press: Tokyo: 364-396. 2001. [14] Bangkok Post. Cabinet decision slammed: Suvarnabhumi city unsuited, unwanted http://www.bangkokpost.net/News/23Jun2006_news11.php 2006. [15] Choiejit, R. and Teungfung, R. Urban growth and commuting patterns of the poor in Bangkok. http://www.worldbank.org/urban/symposium2005/ papers/choejit.pdf 2003. [16] Hongthong and Srimalee. Sumet: it’s against nature http://www.nationmultimedia.com/2005/10/20/headlines/index.php?news= headlines_18923754.html 2005. [17] Jumsai, S. A planner's take on Suvarnabhumi http://www. nationmultimedia.com/2006/08/28/opinion/opinion_30012103.php 2006. [18] Nation. SUVARNABHUMI: Airport set to be the 77th province. http://www.nationmultimedia.com/2005/10/18/headlines/index.php?news= headlines_18900651.html 2005. [19] Pantumsinchai, P. Environmental Concerns for Suvarnabhumi Airport and Aeropolis. Environmental Engineering Association of Thailand Yearbook and Directory. Bangkok. 2006. [20] Prateepchaikul, V. Rare triumph for the little people http://www. bangkokpost.com/opinion/opinion/137087/rare-triumph-for-the-little-people 2009. [21] Srimalee, S. City plan could see prices double http://www.nation multimedia.com/2006/06/26/business/business_30007280.php 2006. [22] Rüland, J. (ed), The Dynamics of Metropolitan in Southeast Asia. Singapore. Institute of Southeast Asian Studies. 1996. [23] www.Paknamweb.com

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Public participation in urban noise prevention Z. Baros1 & L. Dávid2 1

Institute of Agroinformatics and Rural Development, Károly Róbert College, Hungary 2 Department of Tourism and Regional Development, Károly Róbert College, Hungary

Abstract The so-called ‘soft factors’ are playing an increasing role in urban planning. Alternative strategies based on these can include bottom-up initiatives in which citizens intend to find solutions to noise-related problems in their settlement through their participation and in accordance with their requirements. This paper intends to give a brief introduction to the role of individuals regarding their participation in such programmes, based on the literature available and the results of a questionnaire survey carried out in the Town of Debrecen (East Hungary). The results of the survey indicated that the overall picture of the residents’ opinions on noise pollution is rather contradictory: they basically seem to perceive the impacts and the relevance of this issue, however, in general, the respondents did not recognise their own roles in resolving the problem itself – neither as ‘polluters’ nor as ‘endurers’. Keywords: noise nuisance, sustainable urban development, liveability, mental infrastructure, public participation, noise prevention programmes.

1 Introduction Humankind seeks better quality and more secure housing. On the basis of the available literature, it is quite difficult to define better quality housing. One aspect, however, is clear, a healthy physical or built environment is a necessary precondition for the viability of settlements [1]. The condition of the environment (i.e., air, soil, water, noise, etc.) is, in addition to the quality of life, one of the main factors influencing urban tourism [2], a sector considered to be a major priority in the economic development of the town of Debrecen, which is the focus of this study. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100201

218 The Sustainable World Noise nuisance is one of the most severe problems impacting urban residents. According to estimations by the OECD, more than half of the citizens in Europe live in noisy environments and about one third of them are exposed to high noise levels at night causing sleep disturbances [3]. Noise management is gaining increasing prominence as a factor in the protection of the urban environment today. As a consequence, it is now an integral part of all environmental impact assessments [4]. Environmental noise is recognised as an indicator of the quality of the environment [5] and integrated urban development strategies place great emphasis on the management of noise-induced environmental problems. Successfully combating noise pollution thus represents a major step towards the establishment of an urban environment that provides an adequate quality of life [6].

2 Sustainable urban development, quality of life and noise nuisance According to Juhary-Koroknay [7], residents’ level of comfort in a given district depends on the following factors: protection of the individuals including protection against noise impacts; adequate living conditions; and the establishment of symbiosis. The first factor, namely, the desire for a peaceful and quiet residential environment or an improved level of acoustic comfort motivates the majority of intra-urban movements in residential areas. This had been a decisive factor already in the late 1980s, accounting for 15% of movements from the city centre of Cologne to its environs [8]. The specific ‘noise characteristics’ of the residential area and workplace [9] are created jointly by various sources of noise. Most public opinions on the environment of residential areas and factors influencing property prices (i.e. the quality of the living environment, the age and construction of the property) are directly or indirectly linked to the noise characteristics of the area [10]. The overall view of the acoustic comfort or, in a broader sense, on the characteristics of the noise conditions can contribute to the district’s image, its attractiveness and the property prices and influences perceptions of liveability [6]. This last is one of the four main development objectives of the World Bank’s new urban strategy, developed at the turn of the millennia [11], whose strategic central objective is support of sustainable urban development. Most of the criteria focus on social sustainability with a lesser concern for sustainability of environmental conditions. Comparing these to the factors applied to benchmark social sustainability (i.e., Sustainability Value Map) developed by Butters [12], it can be concluded that, in addition to security, the only other common factor is ‘quality of life accessible for all’ (Fig. 1).

3 Methods The following sections include a review of the roles of three potential actors (i.e. the municipality, civil organisations and the individuals) in sharing WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 1:

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Social dimensions of sustainable urban development and its relationship to public participation in solving environmental problems [6]. *Dimensions of sustainable urban development according to the World Bank [11]; **Main development measures to be taken in order to achieve ‘liveability’, according to the World Bank [11]; ***Social dimensions of sustainable development according to Butters [12]; ****Steps of public participation in the management of noise nuisance related problems (modified after Bonacker [13]).

responsibilities for noise pollution abatement and a discussion of the results of a questionnaire survey of the opinions of residents on noise nuisance, which was conducted in the Town of Debrecen (East Hungary) [10]. The survey included questions on the type and level of disturbance caused by noise as experienced at the respondent’s home, workplace and in the street and where in the town the highest noise-levels were experienced. Questions were also asked about the most important sources of noise emissions, and on the level of noise pollution contributed by transportation. The time and duration of noise nuisance and potential ways of eliminating the existing problems were included in the set of questions (Table 1). A representative sample of 909 respondents was selected from typical builtup districts throughout the town. In total, 169 streets were classified, partly by studying transportation networks and partly from our own experience, into three categories by road traffic intensity (with high, intermediate and low traffic) and their proximity to other sources of noise (railway, industrial facilities, etc.). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

220 The Sustainable World Table 1:

Main topics of the questionnaire applied [10].

The level of noise-related disturbance The source of noise judged to be the most relevant and most disturbing Disturbances caused by transportation The time and duration of the highest and lowest disturbance/the period the situation exists The impacts of noise-related disturbances on the life of the respondents The noisiest locations of the town Noise nuisance and abatement at the workplaces The health impacts of noise Possibilities for noise mitigation and the measures taken

Dwelling 

Workplace 

Street 

















    

According to local people, the Town of Debrecen can be referred to as a noisy Hungarian town. Disturbances caused by road traffic are evident throughout, especially along the main transportation routes. The duration of noise nuisance experienced in residential areas is considerable to which must be added noise at the workplaces and in the street. The effects of perceived noise nuisance on the quality of life is represented by occasional or regular (not necessarily frequent) sleep disturbances, primarily among the residents living near roads with severe traffic [10].

4 Potential actors to manage urban noise as an environmental conflict Environmental noise as a problem is local in terms of its management but is largely non-local in its origins. However, it can be tackled and successfully prevented when thoughtful problem management is implemented at the local and international levels [14]. Moreover, putting forward the principles of subsidiarity and joint responsibility is demanded increasingly by both the EU and the Hungarian legislation [15]. Questionnaire surveys with a high number of respondents can be useful for urban planning and development in indicating areas where the implementation of noise prevention measures are most demanded by the inhabitants. These data can provide important guidelines in developing urban environmental programmes, which in the long run, can address relevant urban environmental problems at the local level [10]. 4.1 Municipalities In addition to the road traffic noise, the so-called ‘disco-issue’ or the clamour arising from places of entertainment at night combined with the noise of patrons’

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Public opinions on the role of initiator in the management of noiserelated problems in Debrecen (%) [6].

vehicles is an issue in nearly all municipalities [16]. The results of the survey indicated that more than 70% of the respondents expected such noise-related disturbances to be solved by the municipality [6], fig. 2. However, at the present time, municipalities do not have the power to combat these disturbances through legislation, as this power is reserved by central government. In effect, stricter noise abatement regulations than that currently legislated by central government can only be introduced by the municipalities if the actual framework had been previously defined by law or governmental decree. At present, this is not the case [17]. 4.2 Civil organisations In Hungary, since the regime change, civil organisations have become relevant social and economic influences active in environmental protection. This is further supported by their role in networking, knowledge and capital. The application of the principle of subsidiarity also underlines the necessity for civil organisations’ involvement in the management of the local environmental problems. Despite the above and for a number of other reasons, this social intertwining and division of labour is in its very early stages. It is also evident that, in many cases, civil organisations are regarded as a tool not as partners by institutes functioning in the field of environmental development [18]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

222 The Sustainable World The minimal role of civil organisations is indicated by the fact that they were marked as potential initiators (in the category ‘Others’) by only approximately 2% of the respondents [6] (Fig. 2). 4.3 The individuals One of the subjective features of towns is the awareness of the local people [19]. The way residents manage their potentials and problems, how they establish their environment and atmosphere and how they develop their lives is termed as the town’s mental infrastructure by Kiss [20]. According to this author, instead of the ‘hard’, technical factors, the emphasis should be focused on these ‘soft” factors in planning, strategy and programme development. Such alternative strategies based on ‘soft’ factors can be the basis of bottomup initiatives in which residents create their own living environment by participation, cooperation with each other and with the aid of professionals. Such joint initiatives can establish community ‘life’ [1]. Worldwide, an increasing number of initiatives focus on growing public participation in environmental impact assessments partly because it has been recognised that dialogue ensures a more detailed knowledge on environmental impacts and can contribute to tackling related conflicts and practical problems [21]. The individual’s capacity for participation (i.e., the extent and way of participation) will be, on the one hand, influenced by his/her knowledge on noise nuisance influenced by access to relevant information and his/her level of interest. This latter is influenced by the (individual and community) identity and, as part of it, the level of environmental consciousness (Fig. 1). Prior to structured public involvement, it is important to survey opinions on the relevance of noise nuisance as an environmental problem affecting them. With these data in hand, effective action plans can then be developed. On the basis of the results of the questionnaire survey, the following can be claimed [6]: a. How important is noise nuisance apparent around the individuals? Seventy-four per cent of the respondents are disturbed to some extent in their dwellings by noise. It was concluded that the most important source of noise nuisance (26.1%) was traffic noise. In addition, dust and air pollution from traffic were also indicated as problems (Fig. 3). Finally, to the question whether noise can harm human health, only 7.7% of the respondents answered ‘no’ and a further 6.9% marked ‘don’t know’. Apparently, they are aware of the consequences and experience them during their every-day lives. b.

How the respondents see their roles in relation to the problem? On the one hand, it is interesting that for transportation within the town, 34.5% uses their own car, and 51.9% use public transportation and 15.2% cycle or walk. This high use of public transport is not due to environmental awareness but rather to low income. Less than half of the respondents (43.6%) expressed the intention to minimise noise emissions during their everyday activities. This is a criterion for even

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fewer (just over 20%) when purchasing technical appliances. The overall picture is even less encouraging when the individual is seen as the ‘endurer’ of noise levels, as approximately two thirds (61.2%) make little effort to reduce their exposure to the harmful effects of noise.

5 Public participation Participation can be ensured in many ways (workshops, round table meetings, Internet forums, etc.); however, formal involvement of the public should be preceded by appropriate information to select affected target groups [13] and a survey of their awareness and sensitivity to noise nuisance (Fig. 1). By being familiar with public opinion, the features and reasons underlying noise-related problems can be systematically explored and followed up by developing strategies to address the most significant and relevant areas of noise abatement. Knowing the attitude of respondents enables those areas where public involvement could be most effective to be defined [6]. The overall picture drawn from the results of the questionnaire survey carried out among the citizens of Debrecen is rather contradictory. Citizens basically

Figure 3:

Opinions on the negative impacts of road traffic as according to the public (%) [6].

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224 The Sustainable World perceive the relevance of the issue and are aware of its impacts but they do not recognise their own role in solving it – neither as ‘emitters’ nor as ‘endurers’ [6]. A more detailed statistical analysis of the survey data is beyond the scope of this article, and the above discussion is simply a summary of the main conclusions the aim of which is to emphasise the importance of public participation. What could be the objectives of such an urban community noise prevention programme? Providing and extending the information on the health impacts of noise, noise-related complaints, noise levels and regulation, learning about a settlement’s mental noise maps, strengthening the cooperation of professionals and laymen or even influencing/altering the individual’s transportation, consumption and behavioural habits. An effective way of achieving an improved noise environment could be the presentation of the advantages resulting from noise abatement, the introduction of improved noise insulation techniques or noise standards for buildings, and, finally, a demonstration of noise nuisance as an externality of transportation and, through this, better accounting of the total social costs of transportation. As a consequence of the above, it is important to implement the integration of individual and social responsibility as part of communicative-collaborative urban ecological planning [20]; i.e. as an environmental conflict, noise pollution should be the focus of the highest possible level of public involvement. In this way,, the quality of environment, both in the narrow (residential area) and the broader sense (settlement) could be improved, which would contribute to achieving one of the major objectives of urban planning, namely “a decent quality of life for all” (Fig 1). By such efforts towards a healthier urban environment, the social dimensions of sustainable development can be significantly strengthened [22, 23] as well as advancing the realisation of a settlement’s ecological sustainability (Fig 1).

References [1] Meier, R.L., Ecological Planning, Management, and Design, 2003 – Online manuscript: www.ced.berkeley.edu/pubs/faculty/meier_richard/ecoplanmgmtdes/ [2] Michalkó, G., The Theory and Practice of Urban Tourism, MTA Földrajztudományi Kutató Intézet: Budapest, 168 p., 1999. (in Hungarian) [3] Nardo, M., Noise Pollution: an Overview of Management Strategies. International Journal of Environmental Technology and Management, 4 (4), pp. 300-322, 2004. [4] Buna, B., Experiences of Noise Impact Studies in Hungary. Assessment of Environmental Impacts, ed. Flórián Gy., a TEM 13, Közlekedéstudományi Intézet: Budapest, pp. 21-29, 1994. (in Hungarian) [5] Hatta, L., The Impacts of Noise on Humans, OMIKK Környezetvédelmi füzetek, 27 p, 2000. (in Hungarian) [6] Baros, Z., Public Participation in Urban Noise Prevention. Proceedings of the 2nd Conference on Urban Environment (Debrecen, 27-28th Nov. 2009), WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[7]

[8] [9] [10]

[11] [12] [13] [14] [15]

[16] [17] [18]

[19]

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Debreceni Egyetem Tájvédelmi és Környezetföldrajzi Tanszék: Debrecen, pp. 94-99, 2009. (in Hungarian) Juhary-Koroknay, A., The Relationship between the Quality of Homes and the Acoustic Comfort. CD-proceedings of the Noise Prevention Seminar – The Actual Issues of Noise Prevention (Debrecen, 8-10th Nov. 2006), OPAKFI, 2006. (in Hungarian) Penn-Bressel, G., Verkehrslärm und Wohnstandortverhalten. Informationsdienst un Mitteilungsblatt des deutschen Volksheimstättenwerks, 41, pp. 145-148, 1988. Fodor, I., Environmental Protection and Regionalism in Hungary. Dialóg Campus Kiadó: Budapest-Pécs, pp. 224-235, 2001. (in Hungarian) Baros, Z. & Gajdátsy, P., Public Opinions on Road Transport Induced Noise Nuisance in the Town of Debrecen. Proceedings of the 1st Conference on Urban Environment (Debrecen, 8-10th Nov. 2007), Kossuth Egyetemi Kiadó, Debreceni Egyetem: Debrecen, pp. 134-139, 2008. (in Hungarian) World Bank, Cities in Transition. World Bank Urban and Local Governments Strategy, World Bank: Washington, 2000 Butters, C., A Holistic method of Evaluating Sustainability, 2004. Online. www.gaiaoslo.no/artikler.html Bonacker, M., Participation Process according to Directive 2002/49/EC. CD-proceedings of Forum Acusticum (Budapest, 29th Aug-2nd Sept 2005). Budapest, 2005. (in Hungarian) Bite, P. & Póta Gy., EU Guidelines and their Enforcement in the Transportation Induced Noise Prevention in Hungary. Közlekedéstudományi Szemle, 51(7), pp. 241-256, 2001. (in Hungarian) Hungarian Academy of Sciences, Section of Engineering Sciences, Complex Committee of Acoustics, Environmental Noise Prevention in Hungary and its Development Strategy with Special Focus on the EU Requirements, Budapest, 45 p, 2003. (in Hungarian) Dávid, L. et al. (ed), The Environmental Programme of the North Great Plain Region in Hungary, Észak-alföldi Regionális Fejlesztési Ügynökség: Debrecen, 150 p, 2003. (in Hungarian) Vizeli, S., The Role of Municipalities in Noise Prevention. CD-proceedings of the Noise Prevention Seminar – The Actual Issues of Noise Prevention (Debrecen, 8-10th Nov. 2006), OPAKFI, 2006. (in Hungarian) Bucher, E., Civil Organisations for the Development of the Urban Environment – with examples from the County of Baranya. CDproceedings of the 3rd Hungarian Conference of Geography (Budapest, 67th Sept. 2006), 2006. (in Hungarian) Bujdosó, Z., The Urbanization in Hungary during the last decade- is it an economic interest or a question of prestige to be graded a town in our country nowadays? Cross-Border Co-operations – Schengen Challenges, ed. Süli-Zakar, I., Kossuth Egyetemi Kiadó: Debrecen, pp.232-237, 2004.

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226 The Sustainable World [20] Kiss, A., Conscious Urban Development. Landscape, Environment and Society – Honorary Studies for Prof. Ilona Kevei-Bárány, Szeged, pp. 363372, 2006. (in Hungarian) [21] Soneryd, L. & Weldon, S., Noise and newts: Public Engagement in the UK and Sweden. Environmental Impact Assessment Review, 23, pp. 17-37, 2003. [22] Swedish Council for Sustainable Development (SCSD). Make Your Municipality Sustainable (An Introduction to Local Tools and Working Methods for Sustainable Development). Online. www.hallbarhetsradet.se/ upload/publikationer/Make_your_muni_webb.pdf [23] Puczkó, L. & Rátz, T., The Impacts of Tourism - An Introduction. Häme Polytechnic, Finland, 406 p, 2002.

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Development of a unified treatment system for public use of discharged water from a Korean apartment complex for urban infrastructure regeneration C. Choi1, K. Park1, W. Park2 & H. Park2 1 2

KIUSS, KAIST, Korea Department of Civil & Environmental Engineering, KAIST, Korea

Abstract The purpose of this study was to enhance major economies and compatibilities of the system, comparing the differences of footprints between outdated and updated systems. In addition, the research provided ways to verify the effluent quality during the pilot-plant scale operation of a unified treatment system (MBR and Coagulation-LPCF) and estimate the great economical efficiency in the proper construction and operation. As the results of a real pilot plant, the effluents contained low concentrations for BOD, at 3.3 mg/L, followed by 7.2 mg/L COD, 8.47 mg/L T-N and 0.1 mg/L T-P. The MBR-LPCF system was reported to occupy a plot of 384m2, which had a two times lower square compared to the outdated system (RBC; Rotating Biological Contactor). What is more, by comparing prices, the reclaimed water system experienced a decrease of nearly 76% in a unit cost of tap water involving facility renovation and operation. Consequently, if the MBR-LPCF system starts to be operational in an apartment complex, it can significantly not only enhance the amenity of the housing complex, but also increase green efficiency to decrease the use of water resources. Keywords: urban infrastructure regeneration, reclaimed water and water recycling.

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1 Introduction In order to point towards green growth, technological innovations have been introduced and defined as an ascent work in terms of increasing recycling, renewable energy and sustainable thriving development [1–3]. The targets of these technologies can be matched to the needs of the urban infrastructure systems concerned. From a practical point of view, this ensures that the design can be adapted successfully to each unit of a housing complex. Hence, it is expected that the new design using reclaimed water will bring considerable advantage in water spaces and facilities, which provide an amenity for local residents in a housing complex. The results of the study have shown that the unified treatment system will derive potential benefit from discharging water, purifying rainwater, ground water and wastewater to the apartment complex. The new system is a winning combination process of MBR (Membrane bioreactor) and LPCF (Lifted pore control fibre) filter and both of them use filtration after biological treatment and coagulation [4]. It results a massive increase in the recycling rate of producing reclaimed water for public use and improvement in effluent’s water quality in a complex. In this manner, effluent quality, footprint and economical efficiency should be investigated ahead of the application as the new system is adopted. There are the regenerable facilities of 109,508 sites (>10m3/day), including 45,938 plants not in use at a building and APT complex because of the operation of municipal wastewater treatment facility [5]. These facilities can be fully used for both water recycling and unified treatment system for rainwater, groundwater and wastewater by a simple renewal in each and every complex. It leads to an increase of recycling rate producing reclaimed water for public use. In this way, effluent quality, footprint and economical efficiency should be investigated ahead of the field application of the new system. Therefore, this study helps to enhance the economical and compactable system, compare the differences of footprints between outdated and updated systems, verify the effluent quality through the pilot-plant scale operation of new system and estimate the great economical efficiency in constructing and operating.

2 System configuration The combination process of MBR and LPCF can also obtained with the new system in which they both use filtration after biological treatment and coagulation process. In the course of this operation, an in-line device is installed before the LPCF process to address the coagulation process. While MBR focuses particularly on detection and removal of the organic matter, SS (suspended solid), nitrogen and bacteria by assimilation and separation, LPCF removes the fine SS, phosphate and bacteria by coagulation and filtration. Hence, The MBRLPCF system is to be expected to meets the standards of quality required for the reclaimed water and also achieves both compactness and economy of which set up the system.

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Figure 1:

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Introduction of unified treatment system for reclaimed water production.

MBR

LPCF

Figure 2:

Table 1:

Field plant of a unified treatment system.

Permeate concentration of a unified treatment system.

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3 Field application 3.1 Pilot test The pilot plant of this system was conducted at O WWTP (waste water treatment plant). The experimental results obtained in the real pilot plant indicates very low concentrations of BOD, COD, Cl-, T-N, and T-P in the treated effluent at 3.3 mg/L, 7.2 mg/L, 124.1 mg/L, and 8.47 mg/L, 0.1 mg/L, respectively. In particular, both SS and Coliform outcome showed diminished concentrations in the samples at 0 mg/L. It can be seen that every concentrations of effluent meet the water quality standards for the reclaimed water. However, chromaticity is not appropriate for the target, because this system is constituted with two step filtration and filtration process which can merely remove the chromaticity of influent. Therefore, the system is pressingly in need of an additional process to solve this problem. The real photo and the concentrations of field plant are described in detail below. 3.2 Space estimation To investigate the field applicability, it is necessary to examine carefully the possibilities that the system could reside in the real sewage treatment facility of an apartment complex. The process is RBC (Rotating Biological Contactor) operated with two tanks. The MBR-LPCF system is expected to be occupied by comparing 384 m2 of the new system with 702 m2 of outdated system and all this proves that recent development is more compactable than that system remains unrepaired. It proves that new system is more compactable than old one.

4 Economic analysis and benefit According to the results from the economic analysis of the reclaimed water usage between MBR-LPCF process and tap water, a unit cost of reclaimed water

Figure 3:

Plane figure of a unified treatment system compared to RBC in the field.

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Figure 4:

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Adaptable water facilities for an amenity enhanced apartment complex.

including facility renovation and operation is 0.13USD/m3 which could be compared with 0.55USD/m3 of tap water providing a cost for the tap water rate, water pumping, tax and maintenance of municipal sewer treatment facility. This means that 50,545USD/yr could be saved and MBR-LPCF application for reclaimed water is remarkably successful in an apartment complex. By the use of reclaimed water, water spaces can be recovered to make use of waterfalls, aquatic-ecological parks, foot spa, artificial waterway, etc. Eventually, it improves an urban green efficiency and provides an amenity for local residents.

5 Conclusion Through the pilot test, it represents that the unified treatment system can be adopted to produce the reclaimed water. From the estimation of present occupied space for H apartment complex, the new system clearly shows that it is more compactable than the ordinary one before. As the result of economical analysis, a unit cost of reclaimed water including facility renovation and operation is 0.13USD/m3 which is better to compare 0.55USD/m3 of tap water. It goes without saying that the results helped the system reach a consensus on the plan for future municipal wastewater infrastructure by means of increasing the recycling rate of wastewater, making various water-friendly spaces for urban regeneration. Therefore, it is possible to provide an amenity for local residents as well as increase green efficiency towards a decrease in the use of water resource.

Acknowledgement This research was supported by a grant (07-UR-BO4) from the High-tech Urban Development Program funded by the Korea Ministry of Land, Transport and Maritime Affairs.

References [1] Ha S., Housing regeneration and building sustainable low-income communities in Korea, Habitat International, Vol. 31, 116-129, 2007. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

232 The Sustainable World [2] Zhang J., Cao X., and Meng X., Sustainable urban sewerage system and its application in China, Resources, Conservation and Recycling, Vol. 51, 284293, 2007. [3] Patsy H., The institutional challenge for sustainable urban regeneration, Cities, Vol. 12, No. 4, 221-230, 1995. [4] Park W., Choi C., and Park H., Development of water reuse system for urban public use by membrane bioreactor and coagulation-lifted pore control fiber filter, Conference of Korean Society on Water Quality, 149150, 2009. [5] Korean Ministry of Environment, Statistics of wastewater, 2007.

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Transformative temporary use Z. Kotval, P. Machemer & J. Mullin Michigan State University, USA University of Massachusetts-Amherst, USA

Abstract Communities employ land use planning as a way to standardize how a community looks and to ensure that land uses are distributed in an efficient and ethical manner. A temporary, seasonal, or interim use is in effect for a defined purpose and a set period of time, after which it expires. Finding productive, temporary uses for underutilized (e.g., park, sidewalk) or vacant land and buildings can reverse disinvestment, foster a sense of community, curb crime, save on maintenance costs, spur economic activity for surrounding businesses, create market demand, and raise property values. Temporary uses can be an effective community and economic development tools. This guide explores four increasingly popular temporary uses: events, urban agriculture, building reuse, and street vending. Keywords: temporary, seasonal, interim, use, planning, economic, development, events, reuse, vending.

1 What is a temporary use? Throughout the United States, in community after community, there is increasing interest in revitalizing older, built-up areas. The motivation comes from many sources, including the smart-growth movement, the desire to protect green areas, and the need to maximize infrastructure investment. It also comes from the need to maximize the tax reserves: vacant land pays very little. Planners have many means at their disposal to stimulate interest in these vacant areas, but enabling active temporary use is one that is becoming increasingly popular and which, to date, has received only limited attention. The purpose of this paper is to describe and analyze temporary uses and explain how they can be of economic benefit to smaller communities struggling to create vitality and maximize their tax bases.

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234 The Sustainable World Communities employ land use planning as a way to standardize how a community looks and to ensure that land uses are distributed in an efficient and ethical manner. Most land uses are permanent and can only be changed through official planning processes (e.g., a comprehensive development plan or master plan), but residents can also petition to have their land uses changed. Increasingly, however, communities are turning to temporary, seasonal, or interim use. As the name implies, a temporary use is in effect for a defined purpose and a set period of time, after which it expires. It is a land use, event, or structure that is in place for a short period of time. Temporary uses can transform any vacant space, such as an abandoned lot, a public park, or a sidewalk, giving it a productive use. The best temporary uses are often ones that are created with a specific community’s needs in mind. 1.1 Planning and implementing temporary uses Temporary uses can be planned, financed, and operated by municipalities, independent parties, or both. Both entities can support temporary-use goals and bring external money into city businesses. Independent-party uses may be attractive to cities because they do not require city capital or manpower, but they bring in less revenue. (The revenue they do bring in comes primarily from fees, such as application fees.) For cities with limited budgets and planning staff, it is often more realistic to encourage outside parties to plan, finance, and implement temporary uses. This method is often the best of both worlds for a city, because it can bring in uses without investing man-hours or city capital. To establish a successful temporaryuse program in this manner, a city must be willing to be flexible and may need to waive site rental fees. Temporary uses do not necessarily need to be “something to do.” They can also include the establishment of places that create visual interest, meeting places, or identifiable landmarks. Artistic creations can easily, and sometimes inexpensively, serve all of these functions. This type of temporary use includes, for example, the establishment of a place to display sculptures, large installations, murals, or other art forms. This type of use can add definition and curb appeal to underutilized areas and create a sense of unity for a community. 1.2 The importance of temporary uses Many cities have experienced or are experiencing disinvestment, which has left them with areas of underutilized, or vacant, land and building space. Vacant land is not only a sign of disinvestment but can also attract activities that threaten the community’s health and safety. Finding productive temporary uses for vacant land and buildings can reverse this trend and instead foster a sense of community. By providing vacant or abandoned lots and buildings with a use, it also spares the community the financial drain of needing to maintain them. In addition to creating a productive use, curbing crime, and saving on maintenance costs, other possible benefits of temporary uses include:

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     

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revenue for the community income for the businesses and residents in the community development of interest and investment in an area increased standard of living market demand to incubate future permanent uses

safe, affordable activities for citizens Aside from these benefits, temporary uses can also spur economic activity for surrounding permanent businesses by attracting likely shoppers to the area. This in turn can increase tax revenue and household incomes. In economics, it is called the agglomeration principle. The concept is that the more thriving businesses that are located together, especially if they sell similar goods, the more they all prosper. Small businesses usually think vendors take away their business, but in fact sometimes the reverse is true. Temporary uses can create long-term benefits as well. By retaining and leasing an open lot for temporary uses, a city can create revenue and increase interest in the area. Increased interest may result in increased property values, making the lot more valuable for sale and development in the future. Because of these economic benefits, independent planning and research firms are now beginning to recommend temporary uses. Nor should temporary uses be considered only as an option for periods of disinvestment. They can enhance the overall atmosphere and vibrancy of any city and can help develop and incubate new businesses in any economic climate. Temporary uses can be a great way for cities to ensure economic diversity and help prevent future disinvestment.

2 Types of temporary use What follows is not an exhaustive inventory of temporary uses in a community, but rather an overview of four common and increasingly popular ones: events, urban agriculture, building reuse, and street vending. 2.1 Events It is often hard to tell the difference between a temporary use and a temporary event. Events are temporary uses that require temporary space and borrow or rent use from another permanent use (e.g., a carnival on a parking lot). Temporaryuse events can be a onetime occurrence; however, the most successful events often turn into permanent, annual events such as festivals. 2.2 Urban agriculture In some cities vacant land is very common, but there is not a demand for many types of temporary use. However, almost every urban area can benefit from some type of urban agriculture, and its popularity is increasing. The most common type, community gardens, not only provide healthy, fresh food, but can also WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

236 The Sustainable World improve appearances in blighted neighborhoods, add green space in urban areas, and cultivate a sense of belonging, community attachment, and self-sufficiency among residents. Detroit is among the many cities in which community groups are promoting urban gardening and providing residents with resources. Programs such as the Gardening Resource Program, which provides resources and helps with organization of gardening projects, can work with local governments to explore funding options as well as resource sharing for water use. 2.3 Building reuse As useful as temporary-use events or urban agriculture can be for vacant open land, they do not address the challenge of vacant buildings. By partnering with nonprofits and other entities that deliver community programming, a municipality may bring life to otherwise vacant buildings and pique interest in available real estate. The Open Studio Program in the city of Chicago is a successful case in point. Begun in 2003 as a joint project of the Department of Planning and Development and the Cultural Resources Department to create a new temporary use in a vacant retail building in downtown Chicago, the Open Studio Project continued its work through December 2009. This program supplied studio space (on a monthly rotation) and a stipend of $500 to artists who were accepted into the program. In exchange for the space and the stipend, the artists agreed to work in the studios and provide full access to the public, who were encouraged to come and watch the art being created. Eventually the building was sold in and the program moved to its second location. 2.4 Street vending Once viewed as an illegal nuisance, street vending is now becoming a valuable temporary-use choice and an economic asset to cities. Street vending supplies convenient shopping choices, adds vibrancy to city streets, and offers people the opportunity to own their own business. There are some common concerns or misperceptions associated with street vending, but if those concerns are addressed, the result can be a successful experience for vendors, permanent business owners, residents, and shoppers. Managed correctly, street vending can offer a city the following key benefits. 

Financial: Street vending can be a huge economic asset to an area. Recent data shows that street vendors had an average wage of $13.91 per hour and mean annual earnings of $28,940. In cities such as New York, Philadelphia, and Washington, DC, vending carts averaged revenues of $250,000 or more



Entrepreneurial: Street vending offers opportunities for people who might not otherwise be able to own their own business or work at all to become entrepreneurs. This includes people with both mental and physical disabilities. Permanent business owners, especially retail

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business owners, are often concerned that vendors selling similar goods and not paying for store space will undercut their sales. This is almost never true. In fact, as the economic agglomeration principle recognizes, the more thriving businesses there are in one area, the more they all prosper, especially if they are selling similar items. 

Safety: Research has shown that crime and vandalism are reduced simply by the presence of people. By drawing people to the streets, vending can create a safer environment. It is also true that increased numbers of people on sidewalks can create overcrowding, which can force people to walk in the streets, creating potentially dangerous conditions. This can be remedied by proper cart zoning, including regulations that limit the size, location, density, and setbacks of carts.



Aesthetic: Historically, street vendors’ carts have been considered eyesore. Today, however, cities may regulate the kind of cart, cart materials, and method of displaying goods to ensure an aesthetically pleasing and standard appearance. Street vending regulation codes should be clear and specific regarding location of carts, what can be sold, kinds of carts, safety and storage of goods and carts, permit costs, insurance, and methods for enforcement.

3 Factors to keep in mind While there are many ways to implement temporary uses in a community, there are a few factors that are germane in all cases. 3.1 Insurance It is important for communities to evaluate the safety of each temporary use and to identify possible safety concerns, both to keep the public safe and to protect the municipality from liability or litigation. One way communities can release themselves from liability is by obtaining appropriate insurance. The insurance should cover third-party bodily injury, property damage, assumption of legal claims, and, in the case of insurance for events, event cancellation. Events as diverse as fairs, festivals, consumer shows, fundraisers, dances, meetings, luncheons, and parties can be covered by event insurance. Other temporary uses, such as street vending, can make use of other sorts of insurance. For example, communities may require that private users such as street vendors carry their own insurance. When vendors provide their own insurance, the premiums should be assessed on a per-cart basis and include such features as occurrence and aggregate limits, medical payments, and theft and personal-injury coverage. Alternatively, a community can acquire a citywide insurance package that private entities buy into. Vendors wishing to participate simply contact the insurance company, pay their premium, and are added to the policy. This system ensures premiums are consistent and reasonable. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

238 The Sustainable World 3.2 Safety Temporary uses can help reduce blight and crime in cities, but it can be difficult to draw nonresident visitors into an area to utilize temporary uses and start the cycle of rebuilding if the perception is that crime is high in the area. It is imperative to have a solid marketing plan in place and to increase safety measures and police visibility. If safety measures are implemented successfully, the chances for return visitors, positive feedback, and word-of-mouth promotion will be much higher. In the past several years, Detroit has been working to provide city residents and visitors with safe, fun entertainment. Through the success of events such as the Downtown Hoedown, Freedom Festival Fireworks, and other concerts, more and more people can be found enjoying downtown Detroit. The list of safety measures below, originally intended for such events as the Freedom Festival Fireworks, can easily be adapted for any type of event:

     

Enforce curfew for persons under the age of 17 Close viewing sites when capacity is reached Limit access to surrounding roads, parking lots, and parking structures Forbid pets, alcohol, and contraband Increase lighting in viewing areas with floodlights after dark Install stationary cameras to monitor crowds and determine the desired capacity of certain areas



Establish a location that children separated from their family or group can be taken to for reuniting Other safety measures can be established for other sorts of temporary use. For example, safety measures for temporary use of a vacant building might include clearly marked exits and portable fire extinguishers. 3.3 Zoning/regulations

Traditionally, zoning has treated temporary uses as necessary nuisances that needed to be allowed but were to be limited so that they did not overstay their welcome (e.g., Christmas tree lot). Although limits and restrictions on temporary uses are still valid, current thinking supports zoning in a more welcoming way than in the past. Most zoning laws contain language that regulates all temporary uses in general terms. The laws should also cover:

    

Traffic access to and from the site Traffic control on the site Off-street parking Handicapped parking Buildings, tents, structures, fences, and screens WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Outdoor lighting, illumination, and electrical wiring Litter control Noise control and sound amplification Site security, maintaining order, and public safety

4 Planning principles Temporary uses represent an important tool for city planners. However, if they are to be effective, they must be guided by a set of working principles. We believe the following six can help create strong, sustainable, healthy communities when incorporated into a municipality’s master plan or comprehensive development plan. Temporary uses are a cost-effective way for communities to meet their development goals. 4.1 The temporary use must reflect the character of the place in which it is established For example, a temporary beach bar complete with sand might be a reasonable temporary use in an area of active nightclubs or restaurants, or even in a warehouse district. In the first instance, it works because it fits in. In the second instance, when carefully designed, it would do no harm. On the other hand, placing such a use along the gold coast in Newport, California, would diminish the cultural and historic character of that special place. 4.2 There should be a detailed examination of the activities associated with the temporary use It is all too easy for temporary uses to shade off into not-quite-legal activity. Everyone has seen vendors selling “knock-off” goods, or items in unmarked boxes. (Where did they come from?) Because the operations are temporary, they can easily close up shop and move on without a loss of investment. The community must ensure that shady transactions are not occurring. 4.3 Temporary uses that are unique should be encouraged: they may represent the future of the marketplace For example, we have noted Tibetans selling homemade woolen hats while performing music along a busy shopping street, fashion designers strutting their wares with boxes of the items nearby, and gourmet hamburgers of Kobe beef at the edge of a park. The character of the sellers, the unique products, and the sense of color that they bring add immense value to the urban space. 4.4 Rules and regulations must be established to govern temporary uses The rules should include how long the use can operate and the activities that will be allowed. With activities that relate to food, there must be careful health WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

240 The Sustainable World inspections. Just because a use is temporary does not mean that the municipality can relax its health and safety responsibilities. On the other hand, nor does it mean overzealous enforcement. There is something special about pushcarts, street venders, and blanket spreaders. There is something good that comes out of using church and school parking lots to bring revenue to these institutions, and something positive about the vitality that a haunted Halloween castle brings to a downtown in October. These uses need to be regulated, controlled, and monitored in a way that nurtures them and encourages them to flourish. 4.5 Temporary uses must complement but not compete with permanent businesses This issue often becomes contentious, particularly when dealing with farmers’ markets or with flower sellers. It is recognized that farmers’ markets often compete head to head with supermarkets. Farmers’ markets pay few taxes and little rent for the use of a parking lot or for retail operating costs. Supermarkets, on the other hand, are fully taxed (property, sales, excise, etc.). Similarly, flower sellers typically will be offering yesterday’s flowers (rapidly fading) at a bargain rate. The purchaser does not realize that the flowers are old; he or she only knows that a dozen roses cost only $10.00 in the street but $20.00 from the florist. Because of these conflicts of interest between temporary and permanent vendors, is essential that the rules of engagement are carefully established. For example, in the case of the farmers’ market, the products allowed for sale should only be local and fresh. With that limitation in place, most permanent market stores will recognize the value of these special goods and welcome the farmers’ market to the area. They know that the customers attracted to the farmers’ market will also visit their stores. Thus, both entities gain. In the case of the flower seller, if he or she clearly notes that the product is “yesterday’s flowers” and the business is located away from the front door of a permanent florist, then arguments will be less likely. One of the best examples of a “yesterday’s” or “over-fresh” market that we have visited is Boston’s Haymarket. Centuries old, it opens twice weekly and provides great bargains in a crowded, colorful atmosphere. No one would call it elegant or serene, but everyone considers it vibrant, colorful, and a place for fun. Located along Boston’s oldest block of buildings, it is historical in its own right. It proves that temporary markets that complement permanent markets provide economic value to the community. 4.6 It makes sense to plan for and stimulate temporary uses according to the seasons and the big events that occur in a community For example, in Boston/Cambridge, there are four big events that occur each year: First Night (New Year’s Eve), the Boston Marathon (April), the Boston Pops music series (July), and the Head of the Charles (October), the largest twoday rowing event in the world. Each of these is unique and each is an excellent place to create pop-up markets that might sell items related to the event.

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5 Conclusions We are convinced that temporary markets can be of tremendous value to cities and towns of all sizes. They are vibrant, exciting, and often reflect new markets. They provide opportunities for new businesses at low risk and can help to stabilize shopping areas in transition. They can complement existing markets and bring new customers to an area. Above all, when carefully monitored and nurtured, they can be transformative.

References [1] Art21 (2007). “Maya Lin.” Available at www.pbs.org/art21/artists/lin/ card2.html. [2] Ball, J. (2002). Street vending: A survey of ideas and lessons for planners. Chicago: American Planning Association. [3] City of Chicago. “Open Studio Program.” Available at egov.cityofchicago.org/city/webportal/portalContentItemAction.do?blockNa me=Public+Art%2fI+Want+To&deptMainCategoryOID=&channelId=0&pr ogramId=0&entityName=Public+Art&topChannelName=SubAgency&cont entOID=536946729&Failed_Reason=Invalid+timestamp,+engine+has+been +restarted&contenTypeName=COC_EDITORIAL&com.broadvision.sessio n.new=Yes&Failed_Page=%2fwebportal%2fportalContentItemAction.do&c ontext=dept. [4] Compuware Sports Corporation (2010). “Drive-in theaters: Compuware arena.” Available at www.compuwarehockey.com/drivein.html. [5] Haydn, F., & Temel, R. (Eds.). (2006). Temporary urban spaces: Concepts for the use of city spaces. Berlin: Birkhauser. [6] Lev, L., & Stephenson, G. Local Businesses Benefit From Farmers’ Markets. Portland, OR: Oregon Farmers’ Markets Association, 2002. [7] Open Air Cinema (2010). Available at www.openaircinema.us/.

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Challenges in managing infrastructure for urban tourism: a comparative study of three Asian cities J. Jamil & M. S. Puad School of Housing, Building & Planning, Universiti Sains Malaysia, Malaysia

Abstract There has been tremendous competition between Asian countries in promoting their tourism sector since the economic crashes of 1986 and 1997. Terrorism, which haunts Western nations, has spread to Asian countries. This greatly affects the notion held by the world at large of Asia as the ‘Worlds Paradise’. As such, the level of competition between neighboring countries in the ASEAN block of nations, such as Indonesia, Thailand, Vietnam, Philippines, Singapore, Cambodia and Malaysia, has increased. Investments in tourism related infrastructures are important in generating tourist arrivals. It not only provides enough infrastructures, but also has to make sure that it is first class infrastructure for tourist satisfaction. In the situation on the factor of provision cost, high demand from the consumer, suitability of the location and the efficient management of the operator are the important aspects needed for action to be taken by the infrastructure executive agency. The effective infrastructure contributes to the best service and affects the growth of our local tourism sector. This paper will present how and how far cities in the ASEAN have to take action towards the infrastructure management council and the impact towards the tourism factor in their countries. Are there any ways and strategies in managing and maintaining infrastructure to sustain the city tourism? Keywords: infrastructure, management, tourism, sustain.

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1 Introduction The tourism industry is the second main sector in Malaysia. The government spent RM330m in 2005 in developing this sector. Island tourism is the favored choice by the European and American tourists. However, the increase of the infrastructure and service facility in the city has encouraged city tourism to be the second choice after tourism based on nature and eco-tourism. The emerging tourists from Asia, such as those from Korea, Japan, East Asia, West Asia, Taiwan and China, spell opportunity to the tourism sectors in South East Asia, especially the ASEAN countries, such as Indonesia, Cambodia, Thailand and Malaysia. Infrastructure development and public amenities in various economic sectors help the growth of the tourism sector. The provision of a number of city facilities, physical infrastructure, service and management shows status of the city or tourism destination in the country/city [1]. Malaysia has the best infrastructure in South East Asia and cities of Georgetown, Kuala Lumpur, Malacca and Johor Baharu have first class infrastructure. Not less than that, tourism islands in Malaysia, such as Langkawi, Tioman and Redang, have always had a large allocation to develop the infrastructure. Similarly, as in the cities and the tourism destinations in Malaysia, it is the tourism sector that supports the provision of the infrastructures and sophisticated services in the region.

Figure 1:

Map of the South East Asian region.

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2 Study issue Infrastructure and services in the tourism sector in cities in Malaysia is the best in South East Asia, but somehow the number of foreign tourists is still low when compared to the other four ASEAN countries (Thailand, Cambodia, Singapore and Indonesia). Georgetown, formerly famous as ‘Hong Kong Malaysia’ but now the Penang Road, has barely any visitors in the evening. Kuala Lumpur somehow still sustains its sector with the commercial center and Langkawi can attract domestic tourists during school holidays and celebrations. These three locations are destinations that provide the best and most sophisticated facilities in Malaysia, even in the ASEAN. Even though the journey from the Phnom Penh to Angkor Watt takes more than six hours through 60 feet width ‘highway’, it attracts the arrival of tourist at a rate of more than 500 visitors per hour. The difference indicators, such as images, fame, services, suitability and originality, are the determining factors that could attract foreign tourists to visit the tourism destination. Could this statement prove to be accurate by fact and information, rationale and responsibility?

3 Significant issues The competition in the international market today will soon be more competitive, especially between the neighborhood countries, such as Singapore, Thailand, Indonesia and the Philippines, which have the same tourism product as Malaysia. The existence of the tourism countries, such as Vietnam, Myanmar and Cambodia, not only provides interesting and competitive tourism products, but also offers cheaper services and has romantic and mysterious destinations that give stiff competitive [2]. a) Images from several cities in the ASEAN, as tourism destinations, are not as obvious compared to other destinations in other countries, such as Paris, London, Beijing, Sydney, New Delhi, Cairo, and Rome. The support provision infrastructures in those countries are obviously sophisticated. b) Weather, safety, culture and season are the factors influencing the tourist trend movement in Malaysia and South East Asia. Due to this issue, during the (monsoon) raining season the tourist alternative will be to concentrate on the tourism cities. The capacity to provide the best infrastructure and service in the city to the foreign tourists gives challenges to the administration and management of the city. c) How far the cities in the ASEAN could be pursued as the destination of tourism cities and how could this be sustained so that it is comparable to the destination in other countries? d) Do originality and image of the tourism product in ASEAN cities satisfy the tourist demand? Efficiency in infrastructure facility and the

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246 The Sustainable World satisfaction in terms of need and expectation, however, are the main factors that attract foreign tourists. e) Malaysia’s neighboring countries, namely Thailand, Indonesia and Cambodia, have the ‘Wonder of the World’ destinations, such as Angkor Watt, Menam Chao Phraya and Danao Toba. Are there any attractive elements available in Langkawi or other islands in Malaysia?

4 Study requirements 1. To identify the existing scenario of infrastructure and facility management system in three ASEAN cities and to explore the change in trend of products these cities offered. Analysis on the suitability of the infrastructure and facility management system to support the industry is also being carried out. 2. To identify the role of infrastructure in ASEAN cities and how it could help to increase the arrival of local and foreign tourists. 3. To analyze the direction of managing ASEAN cities and to clarify whether the cities could compete themselves and their position be sustained with other European cities.

5 Research scope Research involved three countries, Thailand, Cambodia and Malaysia, and the cities involved are Bangkok, Phnom Penh and Georgetown. 5.1 Phnom Penh Phnom Penh is located in the south-central region of Cambodia, at the confluence of the Tonlé Sap, Mekong, and Bassac rivers. Administratively, Phnom Penh is a municipality standing at 375 square kilometers and is governed with a status that is equal to the provinces of Cambodia. The municipality is subdivided into seven administrative divisions called Khans (districts). All Khans are under the governance of the Phnom Penh Municipality, which is further subdivided into 76 Sangkats (communities), and 637 Kroms (villages) [3]. The municipality is governed by the Governor, who acts as the top executive of the city and manages the general affairs as well as overlooking 27 Administrative Departments. As of 2008, Phnom Penh had a population of 1,325,681 people, with a total population density of 4,571 inhabitants per square kilometer (11,839/sq mi) in a 290 km2 (112 sq mi) city area. Annual population growth in the city over the period 1998-2008 is 2.82% [4]. 5.2 Bangkok The city of Bangkok is the capital, largest urban area and primary city of Thailand. It has its own public administration and governor. In the span of over WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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two hundred years, Bangkok has been the political, social and economic center of not only Thailand, but also for much of South East Asia and Indochina as well. Its influence in the arts, politics, fashion, education and entertainment, as well as being a business, financial and cultural center of Asia has given Bangkok the role of global city. It is the world’s 22nd largest city by population with approximately 15 million people [5], with a vibrant mix of Western, Indian and Chinese people. The capital is part of the heavily urbanized triangle of the central and eastern region of Thailand. Bangkok is subdivided into 50 districts (khet or amphoe), which are further subdivided into 154 kwaeng (or tambon). Each district is managed by a district chief appointed by the governor. There is also an elected Bangkok Metropolitan Council, which has power over municipal ordinances and the city’s budget. The government of Bangkok is called the Bangkok Metropolitan Administration or the BMA. 5.3 Georgetown Georgetown was founded in 1786 by Captain Francis Light, a trader for the British East India Company, as a base for the company in the Malay States. The town was built on swampy land that had to be cleared of vegetation, leveled and filled. The original commercial town was laid out between Light Street, Beach Street, Chulia Street and Masjid Kapitan Keling Street. Due to strict rent controls, Georgetown retains many of its colonial-era shophouses to this day and is often considered an architectural gem. Since the repeal of the rent controls in 2000, many pre-war buildings have given way to new high rises. On 7 July 2008, Georgetown was, together with Malacca, formally inscribed as a UNESCO World Heritage Site. It is officially recognized as having a unique architectural and cultural townscape without parallel anywhere in East and Southeast Asia [6]. Georgetown, Penang, has more than 200 years of urban history and the largest collection of heritage shop houses in Southeast Asia. Upon examination of records on property transaction, rent-control records, development applications and demographic trends, no conclusive evidence was found that this Act was instrumental in protecting heritage buildings. Instead, it was the unintentional effects of various development policies that saved Georgetown’s urban heritage [7]. The tourism industry in Penang was badly affected by the tsunami tragedy in terms of hotel occupancy rates, tourist arrivals and the performance of tourism related businesses during the first quarter of 2005. However, signs of recovery have been observed from January to September 2005 [8].

6 Research method A continuous inventory and visual analysis have been started since June 2003 with regards to the changes and trend of infrastructure management on those three ASEAN cities; however, an in-depth study was started in June 2006. The aspects of analysis involved were: WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 2:

INFRASTRUCTURE/ FACILITIES/ SERVICES/ PRODUCTS

OPERATOR

Research method.

     

Main infrastructure/ road/ jetty  Support Infrastructure  Transportation  Products  Accommodation  Facilities 

   

Owner of the Hotel  Agency (public/ private)  Supportive & Service Sector  Promotion 

 Domestic   International   Regular Commuter/ Local 

TOURIST

Figure 3:

Research focus.

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a) History and heritage of the cities. b) Urban design, architecture, land use planning and economic activities. c) Infrastructure facilities and services provided in the cities, inter cities and tourism destinations and the support facilities. d) Operation methods, management and maintenance of the infrastructure facilities by the executive agency and the operator. e) Relation between the infrastructure facilities with the city/rural tourism destination from the perspectives of service, comfort, safety, time and cost to the tourist. The questionnaire method, conservation by trends, secondary information checks and field census will be conducted during the study. Study duration: June 2006–Feb 2008.

7 Research focus The research focuses on three components in the tourism sector, they are: tourist, tourism operator and product and tourism facilities.

8 Research findings 8.1 Malaysia’s role towards developing the tourism infrastructure a) Infrastructure and Nature Tourism infrastructure supports the creation of community facilities and services that otherwise might not have been developed. It can bring higher living standards to a destination. Benefits can include upgraded infrastructure, health and transport improvements, new sports and recreational facilities, restaurants, and public spaces, as well as an influx of better-quality commodities and food [9]. Tourism base needs in developing the facilities and infrastructure have emphasis more in cushioning to the environment. Besides tightening the existing rules in conjunction of protecting nature, rules and regulations and specific criteria are being enacted to ensure infrastructure development for tourism does not affect the sensitive tourism surroundings, such as rivers, seashores and beaches. At the same time, there are efforts by the government to identify new tourism products based on nature and journey interest, especially in the tourism context based on agriculture and ecology. b) Air Transportation The growth of air transportation that was underway contributed to the development of the tourism industry. The spread of local airways have prescribed the fixed cost, which is affordable and offers the best service to the consumer, and will encourage the arrival of the tourist, especially from the major market countries and potential new markets. The

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250 The Sustainable World operation of low-cost carrier Air Asia and Fire Fly have triggered encouraging growth of tourists’ travel, domestically and internationally. c) Land Transportation The growth of the tourism industry was encouraged by the development of the various modes of transportation. The construction of the highway and new main roads encourages people to drive during their holiday and facilitates public transport inter the main city and resort. It is expected that the private sector will be encouraged to invest in new vehicles and efficient machinery and tools that give services to the growth of this industry. In the city of Georgetown alone, there are approximately 600 taxi operators that provide private transportation services and they have to compete with public transportation services, such as buses and trishaws and other modes of transportation. d) Upgrading the Rest & Retreat Facility (R&R) The government and private sector had been developing a sophisticated and modern R&R area. The North South Highway Corporation has provided a R&R every 600km along the highway and is very effective and gives positive impacts for the domestic tourist and the long distance traveler. A study found that in the holiday season, school holidays and during weekends, more than 30% of users utilize the R&R. That means the demand of the R&R is exceeding the offer limit. e) Train Service To encourage tourists to use trains as one of the transportation modes, Keretapi Tanah Melayu Berhad (KTMB) has improved the itinerary and the service quality. Varieties of travelling packages for users, such as students, families, agencies, individuals and foreign tourists, have been prepared. Long distance travel to Bangkok from Johor Baharu, Kuala Lumpur and Penang give alternatives to the tourist who prefers land transportation because of the safety, comfort and lack of time-pressure. 8.2 Comparative study a)

Function and land use activity: Travel and tourism normally promote substantial investments in new infrastructure, most of which help to develop the living conditions of the host country as well as the stay conditions of tourists [10]. The optimum urban space usage was found to be more economic, even though there is no detailed planning in Phnom Penh. This involves building and land space, and space utilization according to need and market. Almost 70% of the city areas are fulfilled by the commercial activities that attract tourists because of the cheap goods cost. Even though Georgetown is one of the oldest cities in Malaysia, various changes have been implemented towards the progression of the city through the Structure Plan Program until 2010, yet the city’s heritage is not threatened by it.  

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   Figure 4:

 

Land use activities in Georgetown, Bangkok and Phnom Penh.

   Figure 5:

  

  

 

Different standards of infrastructure for the three cities.

b) City facilities and services: This represents the image of the city, which provides first class, second class or lowest standard facilities. It also shows the urban community image. Bangkok itself shows its own urban image based on the concepts of religion, culture and lifestyle. The various modes of transportation found in the city of Bangkok have made travel easy for tourists, allowing them to arrive at their destinations in a safe and timely manner. The standard of facilities shows the urban image (this often happens with the unsystematic urban spaces). As mentioned by Mathieson and Wall [11], the number of roads and vehicles in Los Angeles exceeded the tourism infrastructure in the city and surrounding areas. Due to this fact, as can be studied in Georgetown, the excess provision of infrastructure not only adds to city congestion, but it also adds to the complexity in management. c) Facilities and urban service management: Urban management gives impacts to generating urban economic activity, community activities and urban image. Georgetown and Bangkok would be able to provide the first class facilities starting from roads, street furniture and the public urban facilities. Phnom Penh, however, provides the basic urban facilities that have been provided by Georgetown and Bangkok in the last two decades. Basically, 90% of the roads and streets of Penang and Georgetown are of the standard equivalent to other rich cities, such as Tokyo, Seoul and Shanghai. d) Building form and structure: This is the influence and history element; religion and lifestyle gives an impact to the architecture of the buildings. The pressure from current market demands is to demolish heritage buildings and artistic worth and build new buildings with function and economic values. Cities in Asia still WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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e)

f)

can sustain their building like European countries. Historical and heritage buildings in Georgetown and Bangkok have still been sustained until now. In Phnom Penh, buildings and hotels still retain the French architecture portion, at the very least in the façades and rooftops. Freedom of movement, activities, form and color shows the image of the cities. An economic activity is managed by the structure and layout of the city. Carrying capacity can be said to be the maximum number of people who can use a destination without an unacceptable change taking place. Attracting a large number of visitors is not an end in itself [12]. Circulation and movement of the urban community and tourists are influenced by the building layout, architecture, history and culture, uniqueness and originality of the architecture, access to facilities, safety and comfort. The facilities and attractive products are used to generate the arrival of tourists and encourage them to continue their visit to the city. Some highlights from the result of the comparative study are discussed in the conclusion below.

9 Conclusion Rhythm, rules, community movement and activities are influenced by the layout of the buildings, activities and municipal function. The efficient management through infrastructure and city facilities provides opportunities for visitors to involve themselves in the tourism activities. In ASEAN cities, the management of Phnom Penh and Hanoi are apparently different compared to the management of Kuala Lumpur, Georgetown and Bangkok, which have been declared as destinations that have the best infrastructure in Asia. However, the arrival of foreign tourists to Phnom Penh and Hanoi are increasing and competing with the established cities. This has proved that destination that give satisfaction and attraction are given more priority by tourists. Almost 70% of the areas in Georgetown, Bangkok and Phnom Penh are commercial areas, where only Georgetown and Bangkok could still sustain the heritage city status, following the UNESCO requirement and guidelines. Bangkok could portray its own image as a tourist city compared to Georgetown and Phnom Penh, which reflects the

   Figure 6:

  

 

The design concept of buildings in Bangkok, Phnom Penh and Georgetown.

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colonial architecture for its building and infrastructure. The provision and maintenance of urban infrastructure in Bangkok and Georgetown follows the standard planning guidelines (ACT 172: Town & Country Planning Act 1995, as for Malaysia), whereas basic requirement infrastructure provision has been imposed in Phnom Penh. Gazette planning and building by-laws, the Urban Structure Plan 2020 and the National Urbanization Policy 2008 are some of the strategies taken by Georgetown City Council and Bangkok Metropolitan Authority to plan, control and manage their urban infrastructure in sustaining a successful urban tourism industry.

References [1] Nangia, R. R. Cross Border Infrastructure in Market Economy, 12-24 Mac 2006. Economic and Finance Institute, Phnom Penh, Cambodia. [2] Ness, D. Smart, sufficient and sustainable infrastructure systems, UN Expert Group Meeting Bangkok, 11-13 June 2007. Institute for Sustainable Systems and Technologies/School of Natural and Built Environments, University of South Australia, May 2007. [3] Phnom Penh (last modified on 3 September 2009). Wikipedia Online. http://en.wikipedia.org/wiki/Phnom_Penh (Assessed online: 28 October 2009) [4] H.E. Kep Chuk Tema, Governor of Municipality of Phnom Penh. Speech at the Inauguration of Gate Way and Park, the North of Wat Phnom, March 22, 2007.http://www.phnompenh.gov.kh/english/2007/March/March-222007a.html [5] Bangkok (last modified on 14 September 2009). Wikipedia Online. http://en.wikipedia.org/wiki/Bangkok (Assessed online: 7 October 2009) [6] George Town, Penang (last modified on 27 July 2009). Wikipedia Online. http://en.wikipedia.org/wiki/George_Town,_Penang (Assessed online: 2 October 2009) [7] Lee L.M. Politics and performance: the implications of emerging governance arrangements for urban management approaches and information systems. Habitat International, 32(3), pp. 293-304, 2008. [8] Penang Progress Report (2007). Visitor Arrivals to Penang. Tourism Malaysia, Penang, 2007 [9] Doswell, R. Tourism: How Effective Management Makes the Difference, Oxford, Boston, Butterworth-Heinemann. 1997. [10] Bull, P. Tourism in London: Policy changes and planning problems, Regional Studies. pp. 82–85, 1997. [11] Mathieson, A., & Wall, G. Tourism: Economic, physical and Social Impacts, New York: Longman Scientific & Technical. 1982. [12] Mason, P. Tourism Impacts, Planning and Management. Oxford, Butterworth–Heinemann (Elsevier), pp. 196, 2003.

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A regenerative high-rise tower in Shreveport, Louisiana for community renewal international M. Garrison School of Architecture, The University of Texas at Austin, USA

Abstract Zero Net Energy Buildings are increasingly being designed and constructed in response to the demand for sustainable buildings. But, we must now go beyond merely sustaining our environment for future generations we must provide regenerative designs that restore our natural environment. This paper will document the design of a regenerative high-rise tower in Shreveport, Louisiana, which will serve as a facility to train individuals in a non-profit organization’s renewal strategies and demonstrate by example the pedagogy of regenerative design. The 16-story structure – built in the 1950s and named the Petroleum Tower, reflecting the commodity that then ruled the local economy – was vacant and asbestos-laden when given to the non-profit Community Renewal International (CRI) in 2001. In 2006, funded by a grant from the U.S. Environmental Protection Agency, workers removed the asbestos. Through a follow up grant from the U.S. Department of Energy to support the design process of a new CRI headquarters building, the University of Texas at Austin School of Architecture completed architectural design studies for the building renewal. The principles of this new design include: day lighting, envelope configuration, building integrated photovoltaic systems, green surfaces, ventilation strategies, advanced mechanical cooling systems, regenerative elevator systems, energy management systems, water harvesting, grey water systems, trigeneration systems and a combined heating, hot water and power biodiesel plant. Keywords: high-rise tower, regenerative design, renewal.

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1 Introduction Shreveport, Louisiana was one of the original U.S. oil-boom cities, with oil discoveries dating back to the 1870s. The oil industry brought great wealth to Shreveport but in the 1980s, the oil and gas industry in northwest Louisiana suffered a large economic downturn, and many companies cut back jobs or went out of business. Shreveport suffered severely from this recession, and many residents left the area. In the 1980s and 1990s Shreveport experienced both a mass exodus of businesses from the downtown area and a lot of decay, crime, unemployment and other problems in low-income, inner-city neighbourhoods. The substantial population decline of the 1980s and early 1990s contributed to a realization that city leaders needed to establish programs of community renewal. In 1994 Shreveport Community Renewal, a faith-based nondenominational and non-profit organization was established under the direction of Rev. Grady S. "Mack" McCarter, with the goal to reduce social isolation in distressed areas of Shreveport, and adjacent Bossier City and to disseminate its model of renewal to other cities. In January 2008, Shreveport-Bossier Community Renewal changed its name to Community Renewal International (CRI) to reflect the organization's growing local, national and international focus.

Figure 1:

Petroleum tower.

Figure 2:

CRI tower renewal design (Namit).

2 Community renewal international tower In response to the success of CRI programs, McCarter and his staff have initiated plans to convert a donated, vacant downtown Shreveport office building into a WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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facility to train individuals in the organization's renewal philosophy and strategies. The CRI program calls for a headquarters building to be a demonstration of renewal, a symbol that reflects the purpose and spirit lifting qualities that inspire rebuilding quality communities. Community Renewal International will bring civic leaders from across the nation and the world to Shreveport to learn more about building and restoring safe and caring communities. The Centre will serve as a comprehensive facility providing training and technical support for community leaders who want to apply the model established by Community Renewal International in their own city. The building will house offices, conference centres, classrooms, a library, museum, gift shop, guest rooms for overnight accommodations and support facilities. The building itself, the historic Petroleum Tower, is also a symbol of renewal by using solar panels, taking advantage of day lighting, recycling its wastewater and incorporating other energy-efficient measures the building is designed to connect green building and community renewal. The self-sustaining building is expected to be the first in Louisiana to earn a platinum-certified rating, which is the highest Leadership in Energy and Environmental Design (LEED) standard. The CRI regenerative design process began with a decision to forego construction of a new facility in favour of renovating an existing structure. The existing Petroleum Tower was gutted down to its concrete frame, preserving the embodied energy in the existing concrete structure. Starting from a standard energy code based design strategy for the 16-story, 140,000 square foot tower and 140,000 square foot addition; a baseline building energy performance standard load was calculated at 500 tons (12,000 BTUH/ton) of HVAC load and 500 kW of power load. This baseline is the energy load that would normally be required to support the environmental technologies needed to keep the building occupants comfortable and productive in the hot and humid northwest Louisiana climate. It is the primary goal of the design team to greatly reduce this load through energy conservation and green building design in order to achieve both power and conditioning through on-site sources so that the building could go beyond being a Zero Net Energy design and could generate excess power and water to feed back into the city grid. With “energy conservation first” as a major green building goal for the CRI tower, the design team employed six major strategies to achieve a regenerative building design. The first strategy was to reduce the lighting load of the building by 50% through a combination of more energy efficient lighting systems, direct/indirect lighting design strategies and the extensive control of day lighting. In combination these technologies reduced the power load of the building to 429 tons of HVAC and 250 KW of power The second strategy of energy reduction was to reduce the HVAC load by an additional 20% through enhanced building orientation and building envelope configuration. A second 140,000 square foot tower and service core are to be added adjacent to the existing 140,000 square foot Petroleum Tower. Carefully proportioned and massed the new CRI tower design aesthetic breaks the building’s mass into smaller components to be respectful of the building’s historic downtown context. The composite tower’s new iconic form will then be WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 3:

Building orientation (Pearson & Lee).

Figure 4:

Envelope configuration (Crum, Buono & Cheng).

achieved by replacing the existing steel and glass curtain wall with a combination of well oriented Building Integrated Photovoltaic (BIPV) panels and high-performance smart double-glazing curtain wall technologies that are self-shading and permit enhanced day lighting while preventing unwanted heat and glare through a process of refracting the changing angles of sunlight. The new interiors will have a reduced glass-to-core depth to enhance delighting. In combination these technologies will reduce the HVAC load of the building to 343 tons and lower the power load to 305 kW. The third process of energy reduction includes a combination of more enhanced building envelope designs including an additional 11% reduction in the building HVAC load through the use of ventilated double-envelope facades, and an additional 10% reduction in HVAC through the use of natural ventilation when the exterior climate is within the bioclimatic comfort zone. When the prevailing breeze is inadequate for ventilation, solar-induced stack ventilation coupled with a groundwater source heat exchanger will be facilitated through a solar chimney chase adjacent to the building core. In addition there is another 8% HVAC reduction through the use of extensive green roofing and green vertical surfaces that also reduce the urban heat island effect. In combination these technologies reduce the HVAC load of the building to 190 tons and the reduction in HVAC load will correspond to a reduced power load down to 200 kW. The fourth process of energy reduction features state-of-the-art, mechanical systems including, a 30% HVAC reduction through the use of heat pump technology in combination with a district hot water loop and a four-pipe fan coil

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Figure 5:

Building section (Pearson & Lee).

Figure 6:

261

Stack ventilation (Nolan & McDaris).

unit located in each hotel room to provide individual comfort control. In addition another 20% HVAC reduction can be achieved through the use of filtered under floor displacement air conditioning with personal environmental control at each workstation in the office floors. These systems are combined with energy recovery ventilation systems to assure adequate levels of fresh air. Acting together these energy-efficient mechanical systems will reduce the HVAC load to 100 tons and lower the power load to 130 kW. The fifth strategy achieves an additional 20% in energy savings through a computer-controlled Energy Management System (EMS). This system combines computer control with network lighting control, chillers, fans, vents, alarms, hotel key control and other information and environmental control systems to improve efficiency. Utilizing a basement data centre the building tenants will have more bandwidth capacity to accommodate smarter information systems and network growth. In combination this smart technology will reduce the HVAC load to 80 tons and reduce the power load to 120 kW. The sixth strategy for saving energy employs the use of energy-efficient equipment including efficient hotel room appliances, energy star kitchen equipment, efficient office equipment and regenerative elevator equipment systems. These systems can reduce the building power load down to only 100 kW. To meet the remaining required on site energy demands of the CRI tower, a 2-megawat low-emission trigeneration (combined heating, power and hot water) biodiesel plant that provides a clean, efficient power will be located on the rooftop of the CRI tower. The trigeneration plant will provide all the hot water needs and excess electrical power will be feed into to the municipal electrical

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Figure 7:

Green roof and vertical green walls (Gilliam, Foursquare).

grid. The CRI tower is also designed to save millions of gallons of water annually due to the installation of a gray water recycling system that collects and stores rainwater, bathroom grey water, recycles wastewater, collects cooling coil and district steam condensate, and recycles this water for use by the cooling tower and for flushing toilets. An under-slab drainage system captures water that infiltrates under the slab on grade, and that water is recycled into the gray water system.

3 Conclusions With the addition of on site combined heating and power plants Zero Net Energy buildings will become more ubiquitous in large buildings. The CRI tower design will go beyond ZNE, moving toward regenerative design, because it will feed power back into the utility grid and will serve as a model to regenerate downtown Shreveport, Louisiana. Intelligent application of advanced regenerative technologies for the CRI tower in conjunction with innovative environmental systems results in significant energy savings as well as an improvement in renewing communities. The design of the CRI tower is poised at a time of transformation in energy policy and architectural design in which integrated approaches to regenerative technologies enable new degrees of environmental response and ecological effectiveness. When designed carefully, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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regenerative designs will not represent additional life cycle costs, because operational costs will be lower, and utility energy costs can be reduced compared with conventional solutions. Given the current urgency on land use impact, pollution concerning material and energy resources, life cycle costs, and renewability, it is time to initiate comprehensive and wide reaching initiatives for conservation, renewable design innovations and regenerative technologies in the built environment. Cities across the world are already building their own programs based on the Shreveport model. Community Renewal initiatives are now underway in Austin and Abilene Texas; Baton Rouge, La.; Knoxville, Tenn., and other cities. And in Cameroon, Africa, the chiefs of five remote villages have united to bring Community Renewal to their corner of the world. Community Renewal has signed a cooperative agreement with OCCAM, the Observatory for Cultural and Audiovisual Communication, making CRI the community-building model for the Info poverty Programme worldwide. OCCAM, is a charter office within the United Nations, and coordinates information on alternatives to poverty.

References [1] Chen, Allan, The New York Times Building: Designing for Energy Efficiency Through Daylighting Research, Science Beat, Berkeley Lab, February 17, 2004. [2] Garrison, M., Regenerative High-Rise Designs for the CRI Tower, School of Architecture, The University of Texas at Austin, 2010. [3] GBD Architects, Oregon Sustainability Center: The World’s First Urban High-Rise Net Zero Living Building, The Oregon Way, Portland Ore. 2009. [4] Kwok, A., Zero Net Energy Workshop and Design Charrette, The University of Oregon Department of Architecture and the Center for Housing Innovation, Portland, Oregon. 2009. [5] Laing, A. and Duffy, F., New Environments for Working: The Redesign Of Offices And Environmental Systems for New Ways of Working, Taylor & Francis Group, 1998. [6] Lyle, J. T., Regenerative Design for Sustainable Development, Wiley & Sons, 1993. [7] Sinclair, R., Phillips D. and Mezhibovski V., Ventilating Facades: Pearl River Tower, ASHRAE Journal, April 2009. [8] Smith, A., The Architecture of Adrian Smith, SOM: Toward a Sustainable Future, Images Publishing Group Pty Ltd. 2007. [9] Transsolar Climate Engineering, High Comfort Low Impact, FMO Publishers, 2009. [10] Wood, A., ed. Best Tall Buildings 2008: Ctbuh International Award Projects, Butterworth-heinemann, 2008.

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The eco-unit settlement adapted to the vernacular culture: a case study of dwelling design in the Chaoshan area of Guangdong Province, China Y. Z. Wang1,2 & Y. T. Chen3 1

Department of Civil Engineering, Shantou University, China Huazhong University of Science and Technology, China 3 Shantou Institute of Architectural Design, China 2

Abstract Chaoshan is a Chinese term that is used to describe a unique linguistic and cultural region located in eastern Guangdong, which is a south-eastern province of China. This is a unique region with its own culture that is quite different from its neighbours in the other areas of Guangdong, as well as the rest of China. Because there is a cultural uniqueness in this region, if the eco-architecture with some of its advanced and well-recognised eco-tech features does not respect the existing vernacular culture, it will not be accepted by the local residents. It is very important to find a suitable design of eco-architecture that will truly match the tradition. With an extensive investigation and study of the local culture, we find that the concepts of “compact”, “sharing”, and “autogenous” are best to describe the characteristics of the vernacular culture. To account for these characteristics, we proposed the mode of an “eco-unit settlement” in dwellings that are in harmony with nature in our design process. Using an “eco-unit settlement”, our design of a hillside dwelling in the form of a Lo Shu Square received first prize in an architecture design competition in Guangdong Province in 2006. It has also become one of the programme designs that the government recommends to those residents who are going to build houses themselves. In the present paper, how the dwelling design of the “eco-unit settlement” adapts to the vernacular culture of the Chaoshan area will be discussed. Keywords: vernacular culture, Chaoshan area, eco-unit settlement, dwelling design. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100251

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1

Introduction

Eco-architecture is being promoted in the Guangdong province and throughout China as a component of the policy that was established in order to achieve sustainability [1]. The rationale for its implementation relies heavily on a set of benefits from the conservation of natural resources, which are adapted to the regional cultural identity and the customs of the local residents. Considering some of the common ecological technologies, such as solar energy, water recycling, and others, to duplicate and apply them towards residential use would be unacceptable for some people due to the large differences with the vernacular culture and prohibitive high cost. From a technical and academic point of view, because of the benefits, the residential use of eco-technologies can be promoted easily. However, this is not the case for the average residential house, and is only relevant for the construction of expensive housing in the centre of large cities. The ecoarchitecture that will meet the real needs of the local people in this developing region is still very limited. The use of eco-tech in houses still remains to be implemented in the Chaoshan area. Therefore, we need to approach these dwellings with the appropriate ecological design. The purpose of the present paper is to explore a suitable form of ecoarchitecture in the Chaoshan area that adapts to the vernacular culture. This paper will also focus on three aspects. The first and foremost of these is to understand the characteristics of vernacular culture, followed by the search for the adaptability of the existing eco-tech to the vernacular culture of the Chaoshan people, and lastly our residential design, which is based on the model of an “ecounit settlement” and a set of strategies of design, will be discussed.

2

Vernacular culture in the Chaoshan area

2.1 Chaoshan area In southern China's Guangdong province, the south-eastern region, which is called the “Chaoshan area”, appears to be a very specific and mystical land to the people living outside of this region. The Chaoshan area is known for its long history, encompassing three cities, including Shantou city, Chaozhou city, and Jieyang city. The land area is approximately 10,000 square kilometres and has a population of approx. 14 million. This area of land occupies only one-thousandth of China, but it has 1 per cent of the country's total population, which is almost equal to one-third of the world's Chinese overseas whose hometown is Chaoshan [2]. The Tropic of Cancer crosses this area, where the land is full of fertile fields, and is similar to other regions in southern China due to the role of the "air conditioner" provided by the South China Sea. 2.2 Unique vernacular culture The Chaoshan area developed its unique vernacular culture by being shaped by its geographical environment, natural resources, history, and religion. The WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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vernacular culture has a major influence not only locally but also abroad. For the local culture, whatever the achievements, or the outstanding figures in science, technology, commerce, and other subjects, they are all considered with a distinctive and regional culture imprint. Its cultural character has always been regarded as an important cause for the development of this region.

3 Adaptation to the vernacular culture of eco-tech In the Chaoshan area, the impact of this regional culture is so far-reaching that we can find the core ecological concept from the cultural elements with a careful investigation of the customs, eco-experience of folk house construction, as well as the relationship between daily life and the natural environment. In the present investigation, we will consider and choose the appropriate technologies that can adapt to the Chaoshan culture. 3.1 Value conception of the environment in customs and daily life 3.1.1 Intensive cultivation “Intensive cultivation” is a concept from agriculture in this region. It means conserving land resources and creating for detail. This concept is prominently reflected through their customs and daily life in the Chaoshan area. Due to the contradiction between limited arable resources and a dense population, land is always insufficient. According to the 2007 statistics, Shantou City is only using 106 square metres of cultivated land per capita, which is only 11% of the national average, 34% of the province's average, and far below the United Nations Food and Agriculture determined per capita level of arable land of 533 square metres [3]. The Chaoshan area is so crowded that the land is one of its most important, yet vulnerable, resources. Under the condition of scarcity of land resources, intensive cultivation becomes the inevitable choice of Chaoshan residents to survive. 3.1.2 Group solidarity Emphasising family honour makes the Chaoshan area very impressive in modern society and particularly overseas. Since the Chaoshan area was regarded as wild land in ancient times, its residents are immigrants from the central plains. People have always had to rely on the power of establishing a family for survival and development. This process is very difficult and, therefore, it should be cherished. "Family" represents unity and a sense of security. Generations have been inspired to work hard and love their homes. They lived in units of clans in order to form a large centred courtyard surrounded by closed buildings, a type of "compact enclosure" residence as the basic image of traditional houses, Figs. 1 and 2. These traditional family houses represent a “shrine” - as a family monument - that is a place where Chaoshan locals can perform their religious ceremonies.

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Figure 1:

Figure 2:

A residential area of Tulou in Chaozhou.

Residential group of the “house package” type in Shantou.

3.2 Ecological experience of traditional dwellings From the existing traditional dwellings of vernacular culture, several of the ecological technology ideas are compatible with the traditional concepts [5]. When a traditional dwelling was planned, the occupation of the land and the use of space should be carefully calculated in order to select the best locations and orientation. Its “compact enclosure” design enabled the people who were living together to share resources, and to take advantage of an efficient structure in order to achieve natural ventilation and lighting. As a result of this design, it helped to provide low-cost housing in harmony with nature.

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3.3 Characteristics of combining eco-tech with culture Through the observation of the vernacular culture, we can characterise the type of eco-tech into three concepts, which are “compact”, “sharing”, and “autogenous”. “Compact” means the accumulation of space and the conservation of resources; “sharing” means that the residents can share the cost and benefits; “autogenous” means that the people can coexist with their natural environment without requiring too much power. “Compact”, “sharing”, and “autogenous” are the three core characteristics of combining eco-tech with the local culture in the Chaoshan area currently [2, 4, 6].

4

A residential design based on “eco-unit settlement”

In regards to the previously described concepts with some ecological technologies, we propose the following concept model for the Chaoshan region, in turn calling it an “eco-unit settlement”. The main principles of our model are the following: 1) The individual home is the section of a unit. The standard eco-unit is subdivided into nine sections so that large families can all live together in neighbouring homes. Every household not only has its own utilities, but also shares the environment and facilities with other households within the unit; 2) Each unit uses eco-tech not only in the individual homes but also in the linkages of them all; 3) Several units can form a settlement by the same structure that the individual home uses. This settlement can also be one unit of the next level, and several such settlements constitute a larger settlement, and so on. An eco-unit settlement will show geometric growth. Based on the “eco-unit settlement” approach, we designed the Lo Shu Square form of the hillside residential programme, which was awarded first prize in an architectural design competition in the Guangdong province that was held in 2006. It has become one of the programmes that are recommended by the government to those residents who are going to build houses themselves. 4.1 Individual home The individual home is a section of a unit, as shown in Figs. 3–5. In addition to being able to use them separately, it can also form a unit with others through space enclosure and eco-technology linkages. Our ecological housing design has not only adopted the construction experience of the traditional houses locally, but is also equipped with rooftop solar water heaters, digesters, and other environmentally sound technologies. 4.2 Forming unit 4.2.1 The use of the mountain terrain Most of the Chaoshan area is hilly terrain that is harder to be developed on than housing on flat land. Today, since most of the available flat land is exhausted, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 3:

Residence floor plans.

Figure 4:

Residence elevations.

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Figure 5:

Figure 6:

271

Residence section.

Hillside location.

the development and utilisation of the hillside is essential. Our proposed design uses the hillside to support a compact unit, as shown in Fig. 6. 4.2.2 Lo Shu Square of the layout The overall layout of the design was inspired from the ancient Chinese game of chess that uses the pattern of “Lo Shu Square”. Lo Shu Square is also used in Sudoku (a well-known game today) as shown in Fig. 7. The layout of the land is divided into nine equally sized rectangular grids in order to build houses and courtyards with pools that seem organic and compact. As shown in Fig. 8, the unit is arranged with seven houses, a courtyard, and a pool. The courtyard and pool can be the paradise for adults and children; meanwhile it is the place to use solar energy, breeding animals or plants, and collecting water to recycle.

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Figure 7:

Sudoku in the form of Lo Shu Square.

Figure 8:

The unit in the form of Lo Shu Square.

4.2.3 Benefits of an “eco-unit” The unit will help to conserve natural resources and reduce pollution by using the recommended eco-technologies. These eco-technologies include solar energy, rainwater collection, wastewater treatment, garbage classification placement, as well as animal and plant breeding (see Fig. 9). The people living in these settlements will share the benefits and costs so as to create an autogenous place.

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Figure 9:

5

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The use of eco-technology in the unit.

Conclusions

The imperative ecological architecture, which properly addresses global warming, the consequences of wasteful energy consumption, and the use of nonrenewable resources, has been established. In order to achieve eco-architecture in regions with a unique culture, our designs need to adapt to the vernacular culture. The dwelling design is based on the model of an “eco-unit settlement” that is adapted to the vernacular culture by forming a combination of cultural characteristics with eco-tech. Although our “eco-unit settlement” programme is only an attempt for the Chaoshan area on hillside conditions, we must also face various other problems that require more solutions in reality, if we are going to move in the right direction for progress.

Reference [1] Fang, Z.Y., The Geographical Climatology Research of The Chinese Traditional Ethnic group, Journal of Beijing University of Civil Engineering and Architecture, 2000; (01); 50-59 (in Chinese). [2] Lin, K.L., The traditional houses in the Chaoshan area, Shantou University Press: Shantou, China, 2004. [3] Shantou Municipal Bureau of Land and Resources, www.stgtj.gov.cn/ [4] Cao, W., The search for a new concept of ecological communities and their living environment, Architectural Journal, 2002; (09); 59-61(in Chinese). [5] Chen, Y.T., The architect's other ideological emancipation - on the "open architecture" concept, Architectural Design Management, 2008; (05); 4647(in Chinese). [6] Zhen, Z. & Liu, G., The ecological planning and design for human habitation in the small town of Fujian, Architectural Journal, 2007; (11); 2628 (in Chinese). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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For a rationalized refurbishment of the 1960s-70s towers: the Core-Skin-Shell concept L. Arantes1,2,3, P. Rollet1,2, O. Baverel1,2,4 & D. Quenard3 1

Unité de Recherche AE&CC, France Laboratory CRATerre – ENSAG, France 3 Division Materials, CSTB, France 4 UR NAVIER, Ecole des Ponts Paris-Tech, France 2

Abstract Cities are considered to be energy consumers, because of transport and buildings, which both make up almost 75% of the total energy consumption. In France, the most criticized buildings are the towers built during the 1960s and 70s. This paper aims to show an architectural concept that proposes to consider the sustainable refurbishment of towers, instead of their demolition. This concept is called the Core-Skin-Shell concept. The paper firstly describes the context that leads up to a sustainable renovation of 1960s existing real-estate. Then, it describes in detail the Core-Skin-Shell concept, which is based on a distinction of the building functions into three “stratums”: the Core, which consists of the structure of the building and brings thermal inertia; the Skin, which is a heat shield and which ensures natural lighting and ventilation; and all around them, the Shell, which both protects against outside threats and produces energy from the sun or wind. Thanks to this layering, this concept expects to optimize every function of the building and to solve the two conflicting energy exigencies in buildings: reducing the size of the envelope to minimize heat losses, and increasing it to receive as much renewable energy as possible. To study this concept, a first work consisted of the analysis of a few architectural projects. It revealed some interesting potentials concerning energy production and losses, comfort and even architecture and space qualities. In conclusion, from this analysis, this paper shows that the Core-Skin-Shell concept enables great possibilities in energy saving and comfort in the case of tower refurbishment. Keywords: towers refurbishment, building envelope, optimisation, Core-SkinShell. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100261

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Introduction

Cities are considered to be energy consumers, because of transport and buildings, which both make up almost 75% of the total energy consumption and 47% of greenhouse gas emissions (CITEPA [1]). In France, building stocks include 65% of buildings built before the first French energy policy (1975) [2]. Among existing real-estate, the 1960s housing towers are the most criticized ones, because of two main reasons. These towers were not only made with very little insulation, but they also cumulate architectural, living and social problems. Nowadays, due to these criticisms, only 1% of the French do not see any problem with living in a tower. Thus, more and more projects vote for their demolition, in order to replace them with “better” constructions. This paper is in line with a Final Year Report in Architecture [3] dealing with attractive vertical urban densification. Convinced of towers’ potentialities, it aims to show an alternative concept to tower destructions, and proposes to consider their sustainable refurbishment. This holistic concept is called the CoreSkin-Shell concept. It has a double goal: it firstly aims to contribute to reduce the energetic bill of existing consumer buildings, such as 1960s towers; secondly, it expects to reveal tower dwellings qualities, by improving lighting, atmosphere or simply spaces. 1.1 Preferring tower refurbishment to their demolition The paper firstly describes the context that leads up to a sustainable renovation of 1960s existing real-estate. In France, for a few years, new buildings (which make up every year 1% of building stocks) have been subjected to many regulations, whereas the existing real-estate, which is 30 million accommodations [4], is by far the main energy saving potential sector.

Figure 1:

French heating consumptions for different buildings (CSTB, www.cstb.fr, 2007).

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Consuming almost 350 kWhef/m² a year, the 1960s–70s towers are among the most energy consuming buildings (fig.1). During the post-war years, the priority was mass accommodation rather than sustainability. As a consequence, towers were made with little or even no insulation. Today, towers are thus said to be “energetic wrecks” (ADEME [5]). 1.2 Demolishing towers: a common French process that does not make sense anymore In France, through the policy called “demolishing-rebuilding”, more and more projects plan to demolish several social housings built between 1950 and 1970, in order to solve the urban, architectural and social problems they are charged with: their monolithic forms create a monotonous and repetitive architecture, they are quite isolated from urban centres, and above all, social problems do not stop growing (lack of privacy, urban segregation, insecurity, etc.). However, considering the housing and energy crisis, the demolishingrebuilding policy does not make sense anymore. On the one hand, such demolishing policies induce an important social cost. Five to six millions people are living in 1960s dwelling high buildings (Abbé Pierre Foundation [6]): demolishing their housings would necessitate finding them another accommodation, while France currently suffers from a lack of housing. On the other hand, the demolishing-rebuilding policy leads to many extra financial, energy and ecological costs. The French government spends €167 000 to demolish and rebuild a dwelling (€17 000 for the demolition and €150 000 for the construction), whereas refurbishing would be three to six times cheaper (Druot et al. [7]). In addition, demolitions lead to significant wastes: in the building industry, as 56% of wastes are due to demolitions (ADEME [8]). Considering these facts, how could such a demolition policy be justified? Despite their shortages, the 1960s dwelling towers still store real qualities. Indeed, thanks to their morphology and their size, towers can house a huge number of families, while there is a lack of 800 000 housings in France (Abbé Pierre Foundation, 2009). Moreover, even if the tower typology is very controversial, it offers important spatial and structural advantages: thanks to the height, there is no vis-à-vis and a clear view; towers are surrounded by green spaces; their structure is often sound; their façades are not load-bearing, and thus could be removed and lightened; etc. 1.3 Refurbishing towers: a multiple-interest policy In that context, refurbishing existing real-estate becomes of economical, social, cultural and ecological interest. Nowadays, rehabilitation is booming: between 1996 and 2005, work expenses have risen by 40% only for rehabilitation (CNOA [9]). Most often, the renovation market is motivated by fiscal (reduced value added taxes) or statutory (disabled accessibility) factors. However, it also finds other inducements. First of all, the refurbishment has an ecologically important aspect. It is related to the necessity to reduce greenhouse gas emissions, to which the building industry contributes 20% [10]. The refurbishment could also answer WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

278 The Sustainable World social goals. In particular, architects and other planning professionals are facing some significantly changing lifestyles (population ageing, changing family unit, ecological concerns, etc.). To satisfy these changing mindsets, proposing extending and adapting accommodations is needed, in new as in existing realestate. In this context, the renovation can be judicious and useful.

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The Core-Skin-Shell concept: a holistic optimisation

In this second part, the paper describes in detail the Core-Skin-Shell concept. Nowadays, the façade is considered to be a central and decisive sustainable component (Alexander Tzonis, in Ferrier [11]). Thus, architects face a new ecological and architectural challenge: inventing new building envelopes that fulfil multiple functions at the same time. Henceforth, the façade must be more than an insulating and lighting envelope. It must fulfil extra functions: production of energy, ventilation, distribution of electricity, etc. Every function, which was commonly hidden into sheathings and chimneys, is currently inserted in this area. As a result, building envelopes thicken. However, in view of these new interests, the façade faces two conflicting energy exigencies in buildings. On the one hand, it is important to reduce the size of the envelope to minimize heat losses. On the other hand, increasing it is needed in order to harvest as much renewable energy as possible. The CoreSkin-Shell concept proposes to answer this new double functional constraint. The Core-Skin-Shell concept was first proposed by Daniel Quenard [12]. This concept is a holistic architectural concept, based on the hypothesis of a distinction of the building functions into three “stratums”. 2.1 The Core The Core is the living volume of the building. It usually has an important mass, which brings thermal inertia. It could thus contribute to regulate temperature and inside comfort. Usually, the Core is the structure of the building. The Core of the multi-storey building is shown at the top of the figure 2. 2.2 The Skin The Skin is shown in the middle of figure 2. It is a heat shield that ensures both air tightness and thermal insulation. Moreover, it also provides natural lighting and ventilation, which are two essential indicators of a building’s quality. Thanks to the diversity of its materials, it can create different atmospheres and spaces. It is thus linked with the protection and the comfort of the inhabitants. 2.3 The Shell The Shell surrounds the Core and the Skin. On the one hand, the Shell consists of a shield that protects the building and its dwellings against outside threats. It thus ensures that the building is sound and perennial. On the other hand, it can become responsive and harvest energy from sun or wind. It is shown at the bottom of the figure 2. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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The distinction in three layers (Pélegrin [13]).

3 Two case studies: the refurbishment of the Bois-le-Prêtre Tower and the one of the Three Towers of Grenoble 3.1 The refurbishment of the Bois-le-Prêtre Tower To study this concept, a first work consisted of the analysis of a few architectural projects. Among them, one of the best examples is the Bois-Le-Prêtre Tower rehabilitation and more specifically the proposal of Frédéric Druot, Anne Lacaton and Jean-Philippe Vassal. This project, called “Faire plus par l’extension”, well illustrates the Core-Skin-Shell concept applied to a refurbished tower. 3.1.1 The Bois-le-Prêtre Tower The Bois-le-Prêtre Tower is situated on the boundaries of Paris, Clichy and Saint-Ouen in France. It was built in 1959 by the architect Raymond Lopez. In 1990, it was renovated: the facelift only consisted of adding a little insulation. In 2006, the Paris local authority landlord (OPAC) announced a competition for a second refurbishment of the Tower. This contest is the result of an architectural and energetic inventory of the Tower. Concerning energy consumptions, before any refurbishment, the Tower consumed 250 kWhep/m²Hab per year (Paris local authority landlord, www.parishabitatoph.fr, 2007). It was thus ranked into the E class in the French buildings’ energy performance diagnosis, which corresponds to quite energyconsuming buildings. Then, with regard to architecture and comfort criteria, several criticisms could be made. The structure was sound, the façades were not load-bearing, and the view was clear. The bad points were that the façades were made with asbestos, the dwellings were quite tiny, and most of them were not step-free access served.

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280 The Sustainable World 3.1.2 The project of Frederic Druot, Anne Lacaton and Jean-Philippe Vassal: an illustration of the Core-Skin-Shell concept Considering these reports, the Paris landlord appealed for a total metamorphosis of the Tower. The projects should aim to improve spaciousness and relationships, to diversify typologies and to enhance inhabitants’ behaviours. Among the six teams of architects entering the lists, the team composed of Frédéric Druot, Anne Lacaton and Jean-Philippe Vassal won the competition. With their “Faire plus par l’extension” project, they partly proposed to add huge extensions to the dwellings: either heated extensions on the gable sides, or outside terraces on lateral façades (fig. 3, left). In this project, the Core-Skin-Shell concept is applied in a light way: the project keeps the heavy structural core of the Tower, whereas the skin and the shell are lighter and more transparent (fig. 3, right). The Core includes the framework of the Tower (reinforced concrete floors and bearing walls), lift shafts and stairwells. The Skin consists of the new façades of the Tower. The existing façades are removed and replaced by high picture windows, which open the views. To ensure the thermal insulation, the windows are doubled by insulating curtains. Finally, the Shell consists of a polycarbonate shield that envelops the Tower. Thanks to moving panels, the shell can be manually opened and closed. Quite deep, the shell expects to create extra outside spaces. Moreover, it is supported by a metallic structure. Thus, it does not load the existing building. Thanks to removable curtains, the dwellings can be shaded. In this example, the architects made the choice not to produce energy.

Figure 3:

“Faire plus par l’extension” project: plan (left) and perspective (right).

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Figure 5:

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Perspective view (Druot [6]).

The Bois-le-Prêtre Tower annual consumption before (left) and after (right) refurbishment (Paris local authority landlord, www.parishabitatoph.fr, 2007).

3.1.3 Spaces and energy results Thanks to this layering, the architects succeed in extending the dwellings’ surfaces. They proposed an improving metamorphosis that enhances this Tower’s hidden qualities. Thanks to the extensions, living surfaces are bigger: every dwelling increasing from 24 to 48 m². Moreover, the architects also succeeded in reducing by three the energy consumptions of the Tower: they are now valued at 92 kWhep/m² per year. The Bois-le-Prêtre Tower is thus ranked into B class (fig. 5). However, the architects made the choice not to install energy production equipment, which could have even further reduced the energy consumption. 3.2 The refurbishment of the Three Towers of Grenoble, France A second analysis on the Core-Skin-Shell concept consisted in the conception of an architectural refurbishment project, on the Three Towers of Grenoble. This work was done for an academic work in Architecture dealing with sustainable and attractive urban density (Arantes [1], Chalencon and Hadj Hassine [14]). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

282 The Sustainable World 3.2.1 The Three Towers of Grenoble The Three Towers of Grenoble are three emblematic 28-storied towers in Grenoble. They were built between 1963 and 1967 and designed by the architects Roger Anger and Pierre Puccinelli. Their main characteristic is their rough façades, which avoid vis-à-vis between the dwellings (fig. 6, left). Thanks to this dynamic façade, each tower seems to be made with split-level apartments. Each tower counts around 168 accommodations in a living space of 12 400 m². Notwithstanding, the Three Towers are currently criticized because of their high energy consumption. Because of their roughness (fig. 6, left), the external heat exchange façades are important compared to a smooth façade: the consumptions are assessed at around 264 kWhep/m² per year (Arantes [1]). The main losses are due to the North and South gable openings (fig. 7, left). The Three Towers thus rank in the E class. In addition, spaces are sometimes criticized by some inhabitants: they notably complain of living in some kind of “box”, especially concerning the balconies which are tiny (4m²) and quite enclosed. 3.2.2 “Intensités et extensions”: the refurbishment of the Three Towers of Grenoble Following the broader reflexion on attractive vertical density, five projects have been hatched in order to improve the Three Towers energy consumption and also to provide (outdoors) extra comfort spaces. Among them, the project “Intensités et extensions” (fig. 6 right, 7 right) gives a good architectural compromise. Figure 7 shows a plan of a renovated floor (on the right). For each tower, the project “Intensités et extensions” proposes to keep the existing framework, that is to say the reinforced concrete floors and bearing walls. The stairs are also kept

Figure 6:

The Three Towers before (left [15]) and after (right [1]) refurbishment.

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Plan of a Tower before (left) and after (right) renovation (Arantes [1]).

but their gable walls are enclosed with windows, so that the wind does not come in anymore. External surfaces are thus reduced. All these elements constitute the Core of the tower. The façades are also kept as they were. Only balconies are closed and counted into the inside living space. The whole is insulated at the exterior. Insulated façades and inserted balconies constitute the Skin of the tower. A Shell is proposed all around the tower (fig. 8). This shell creates huge terraces for every dwelling. The terraces are punctuated with some bowwindows. The origin architecture is thus preserved. Concerning the shell, it includes two different elements: a glass and transparent shell all around the tower, and a photovoltaic shield that doubles the glass hull on West to SouthEast façades. Thanks to the glass shield, dwellings and terraces are protected from wind, rain and bad weather. The second shield, made with photovoltaic panels, harvests the sun energy and then produces electricity. During summer, the panels are used as sun shades and protect against direct sun rays and overheating. 3.2.3 “Intensités et extensions”: space and energy results As a result, this project could enhance the living quality on several points. First, by closing the towers’ gables and reinforcing the insulation, this project succeeds in reducing the energy consumptions by 60%. The new consumptions are valued at 107 kWhep/m² per year. This reduction is due to the fact that the “new” tower is more compact than the existing one. In addition, the “form coefficient” also WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 8:

The Shell: the glass hull (left) and the photovoltaic shield (right).

decreases. This coefficient is given by the external façades divided by the heated volume (Ratti [15]). A reckoning shows that the form coefficient for the new project is half the one of the existing tower. These results are related to the reduction of the energy consumption. Second, by creating extra inside spaces, the living heated space rises by 26% and reaches 15 800 m² in a tower. In addition, the Shell is a means to create generous exterior spaces (fig. 8): thanks to the project, 10 000 m² terraces are built in a tower. On average, each accommodation is embellished with a 60 m² panoramic terrace. Third, thanks to many windows and to the shell’s high windows, the dwellings are well-lit and have a clear overall view towards Grenoble and its mountains. The windows of the Skin layer represents 40% of the façades. Forth, the surrounding active shell contributes to reduce the energy consumption of the Three Towers. For one tower, production is assessed at almost 285 000 kWh per year. This production fulfils the electric needs of a tower (specific electricity, artificial lighting and common spaces lighting). 3.3 The Core-Skin-Shell concept’s potentialities Finally, in view of these two architectural examples, this first analysis revealed some interesting potentials concerning energy production and losses, comfort and even architecture and space qualities. 3.3.1 The Core-Skin-Shell applied to renovation: a light intervention Foremost, applying the Core-Skin-Shell concept to the towers’ refurbishment is interesting because it consists of a light intervention, with only few demolitions. By keeping the existing framework and adding an external structure, the works inside the dwellings are negligible. So, the inhabitants can keep on living in their apartment. There is little temporary accommodation, unless a dwelling needs heavy work. 3.3.2 Improving the towers’ energy performances In addition, thanks to the Core-Skin-Shell layering, each layer of the façade can be singly conceived and optimised. In the examples, the Core consists of the

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concrete structure of the tower. Concrete brings thermal inertia and contributes to regulating the temperature inside the dwellings. Concerning the Skin, it can be considered without any outside restraint or contribution (like bad weather, wind or sun): its role is only to insulate the dwellings and it is conceived accordingly. As a result, the architect can adjust its shape and its components. Thanks to these two elements, the 1960s towers’ energy consumptions can be reduced. The Shell takes new technical equipments, which provide a new roughness. These equipments harvest energy from the sun or wind. They actively contribute to reduce the energetic bill of the existing towers. Moreover, the shell also has a passive role, since it creates a buffer zone between it and the skin. So, the temperature gradient and the heating needs are reduced. 3.3.3 Spacious dwellings and extra spaces Lastly, by separating the Shell from the Skin, an extra space can be created. The Shell establishes a semi outside space with comfortable climatic conditions. The atmosphere is temperate, and above all protected from wind and rain. It is a kind of exterior space inside the glass shield, which behaves like a micro climatic envelope. Furthermore, the extra interior-exterior spaces form huge terraces that are still missing in dense urban centres.

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Conclusion

In conclusion, from this analysis, this paper shows that the Core-Skin-Shell concept enables great possibilities in energy saving and comfort in the case of tower refurbishment. Its main advantage is to keep the existing structure, which is important considering the height of towers. Even though such a refurbishment seems to be quite difficult, it is less expensive than a demolishing-rebuilding project (Druot [3]). Many times, the Core of the building exists. An appropriate Skin has to be designed. The Shell must also be totally created all around the tower or only on a part of it. This concept could thus interest people who want to preserve a legacy tower, as is the case for the Three Towers of Grenoble, that have recently been listed in the French “XXth century Architectural Patrimony”. Currently, the Core-Skin-Shell concept is still under study as part of a PhD in architecture, held by Laetitia Arantes and conducted by Hubert Guillaud and Pascal Rollet. It will be more accurately analysed and quantified, in particular concerning energy saving, heating, lighting and air quality.

Acknowledgements This study results from an academic work in Architecture dealing with sustainable and attractive urban density. We would like to acknowledge the two other co-authors of this academic work: Elodie Chalencon and Yacine Hadj Hassine. Moreover, the PhD this paper results from also benefits from the supervision of two French architects: Hubert Guillaud (Architect, HDR - French WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

286 The Sustainable World post-doctoral degree allowing its holder to supervise PhD students, Director of the French Laboratory “Architecture Environnement et Cultures Constructives”) and Pascal Rollet (Architect, MA.Arch.UC Berkeley, professor ENSA Grenoble). We would like to acknowledge them. Finally, this paper has also benefited from comments and corrections from Anne-Monique Bardagot. We would like to thank her.

References [1] CITEPA (Centre Interprofessionnel Technique d’Etudes de la Pollution Atmosphérique), http://www.citepa.org [2] http://www.domelio.fr [3] Arantes, L., Intensités urbaines, La densification verticale comme potentiel architectural éco-responsable, Final Year Report conducted by Pascal Rollet, ENSAG, 445 p., 2009 [4] Quenard, D., Vers l’autonomie énergétique pour se loger et se déplacer?, Univertsité d’été – Sauvons le climat, Cabourg, 2008 [5] ADEME (Agence De l’Environnement et de la Maîtrise de l’Energie), http://www2.ademe.fr [6] Abbé Pierre Foundation, L’Etat du mal-logement en France, annual report, 294 p., 2009 [7] Druot, F., Lacaton, A. & Vassal, J.P., Plus, Les Grands ensembles de lodgements, Territoire d’exception, Editions Gustavo Gili, 264 p., 2007 [8] La Lettre ADEME, n°77, June-July 2001, http://www2.ademe.fr [9] Conseil National de l’Ordre des Architectes (CNOA), “Réhabiliter: un enjeu pour demain”, www.manifesterpourlesvilles.com [10] Tessonniere, F., “La Réhabilitation: une notion essentielle pour le ‘durable’. Exemple de la Cité Universitaire La Colombière, Montpellier”, Séminaire PoSt-FossiLe, 34 p., 2009 [11] Ferrier, J., Architecture = Durable, 30 architectes, 30 projets en Ile-deFrance, 264 p., 2008 [12] Quenard, D., CSSB Project, Core-Skin-Shell Building, CSTB, Feb. 2007 [13] IMPACTE, Innovation Maîtrisée Pour l’Architecture Climatique, la Thermique et l’Environnement, www.chantier.net, 2007 [14] CHALENCON, E., HADJ HASSINE, Y., Tours Eco-Nomes, Nouvelles formes d’habiter en centre urbain dense, Final Year Report conducted by Pascal Rollet, ENSAG, 189 p., 2009 [15] www.grenoblecmieux.com [16] Ratti, C., Baker, N. & Steemers, K., “Energy consumption and urban texture”, Energy and Buildings, Vol.37, Iss.7, pp.762-776, 2005 [17] Fernandez, P., Lavigne, P., Concevoir des bâtiments bioclimatiques, Fondements et méthodes, Editions Le Moniteur, 430 p., 2009

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LABCOG: the case of the Interpretative Membrane concept L. Landau1, J. W. Garcia2 & F. P. Miranda3 1

Department of Civil Engineering, Federal University of Rio de Janeiro, Brazil 2 Noosfera Projetos Especiais, Brazil 3 Petrobras Research & Development Center (CENPES), Brazil

Abstract The Interpretative Membrane concept is a matrix for XXI Century Architecture, because it translates into a paradigm change, not only in architectural concepts but also in the construction processes. Thus, natural environmental actions and those by which human beings “protect” themselves become understood in an interpretative and adaptive relationship. This covering or “skin” is capable of not just protecting, but using forces such as energy to offer more comfortable use for human life and an environmental balance. The LABCOG project was conceived based on environmental and functional constraints where the design sets itself up to meet the needs demanded by the scientific activities that will be performed there. As such, defragmented and dynamic volumetrics arise that explore several angles to optimize the projections and inclinations necessary for eco-efficiency. Keywords: interpretative membrane, LABCOG, ecodesign, evolutionary design, virtual reality.

1 Introduction At the end of XX Century, two factors stood out with regards to the development of contemporary architecture. The first was the use of computational technologies in architectural drawing and the second was a strong demand in relation to environmental issues. It is exactly at the crossing point of these two factors that arises the concept of an interpretative membrane, to which we dedicate this article. With the objective of presenting such a concept, we will WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100271

288 The Sustainable World examine the case of the “Integrated Laboratory of Basic and Applied Research in Computational Systems and Virtual Reality” (known as LABCOG). This is situated in the Technological Park of the Rio de Janeiro Federal University (UFRJ). We opted to examine the “LABCOG” case because this construction is the fruit of an architectural project that has already been elaborated according to the technological and ecological principles mentioned in this article. As will be seen in this case study, these principles converge in what is called ecodesign. Another point that must be emphasized, in addition to the two factors mentioned above, is the architect's role. This has been so altered by technological intervention that, without it, projects such as LABCOG would not have been achievable, neither from the architect cognitive elaboration point of view nor from that of the actual construction. Actually, these projects would be impossible as “idea/creations” and “practice/constructions”. Today it seems that the intelligent software used in architecture and design act like the architect’s real mind and inventive capacity extensions. Moreover, the techno-scientific advances achieved at the turn of this century ended up furnishing civil construction with a series of materials and constructive processes that facilitates the incorporation of ideas elaborated by the architect's inventiveness. This inventiveness evermore mediated by algorithms created in computational environments powered by high performance machines. For this reason technology can be considered as the architect’s creative process co-author.

2 The interpretative membrane concept in architecture The interpretative membrane concept (applied to architecture) can be synthesized in the elaboration of an architectural space that is able to intelligently react not only to external factors (or environmental) but also internal factors (such as man's relationship with that space). In the case limit (this is, where our intentions are directed), the idea is that such reactions are intelligent because the architectural unit stores in its memory passed experiences, in a way to change its future behavior. Therefore, this would be an intelligent machine, in the sense that it can learn from experience and act according to such learning. When we talk of “act”, what we have in mind is the action of something that “covers” the architectural unit, just like a membrane covers a cell. It is this coverage that will make it possible to change the unit form according to the readings made by its sensors over time. It only remains to emphasize still that the core of this membrane concept is the interpretation notion. By the same token, such a notion bases itself on the verification that it is already currently possible, thanks to artificial intelligence, conceive and build an architectural space or a construction that can interpret data originating not only from the outer environment but also derived from its interior. This would be an architecture that would react and would dialog with these variables (whether they were human or non-human).

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3 LABCOG: the membrane concept as an approach to the ecodesign notion In this context, LABCOG was conceived for the purpose of formalizing the first steps of the interpretative membrane idea, since its project was based on the possibilities opened up by architectural technological advances and changes in the level of the ecological conscience that characterized the beginning of the XXI century. To be precise, although LABCOG approaches preliminary aspects of the interpretative membrane idea, we believe that this construction already can be considered as a kind of “state of the art” of this concept. With the outcome, the very elaboration of the project itself incorporated a reading of environmental factors, in other words, this project was intelligently drawn with reactions to the environmental variables incorporated in its own form. Therefore, for example, the notion of ecodesign being present in LABCOG cannot be understood as a mere metaphor of natural forms, in other words, like structures elaborated by humans that just mimic those created by natural evolution. In LABCOG, we did not try to copy specific natural forms that are evolutionary products, but we tried to reproduce its own intelligence that presides over the evolutionary processes. In this sense, we understand the studies concerning the interpretative membrane concept, as well as its applications in the architecture field, can contribute to form a new approach to ecodesign. The description of the LABCOG architectural project will follow made in the light of these considerations.

4 The design program LABCOG The main objective of the building is to house the CAVE (Cave Automatic Virtual Environment) of the Laboratory for Engineering Computational Methods in COPPE/UFRJ (Figure 1), in addition to research rooms, a library, the multimedia room and workrooms to accommodate researchers. Therefore, the project was prepared in order to meet the demand for an attractive advanced virtual reality space like a big “media center”. As mentioned, the adopted program is based on the idea of a building that arises from environmental and functional constraints. Thus defragmented and dynamic volumetrics emerge, which explore various ways to optimize not only the projections but also the slopes required for an eco-efficient building. This justifies the absence of orthogonal planes.

5 Studies using Evolutionary Design The following diagram in Figure 2 seek to explain how we used Evolutionary Design, which is a software that uses algorithms to draw geometric shapes during a time series, being refined into a kind of evolutionary process. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 1:

Figure 2:

Cave Automatic Virtual Environment (CAVE).

Results of the evolutionary design studies.

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The emergence from environmental and functional constraints is through an intensive dialogue with all the actors involved in LABCOG. It is this dialogue that leads to the idea of the membrane. As an example of this pioneering idea, the architecture of the laboratory aims to establish a new coexistence between human society and high-performance, increasingly intelligent and dynamic computers. Furthermore, the intention is to establish mediation with a sustainable environment, historically regarded as an enemy to be controlled. In this sense, the project was designed not to dominate, but to build a conducive dialogue with climatic conditions such as rain, wind and temperature, whose behavior has varied because of climate change. This proposal is a challenge to the XXI Century, as it calls for the construction of a new epistemology, where the laws governing the creation of forms produced by nature are invited to dialogue with the cognitive processes of the architect. We want neither ready made answers nor forms: what is sought here is the way (natural) to obtain forms through a dialogue mediated by intelligence, which criticizes the metaphorized ecodesign (Figures 3, 4 and 5). In this case, the ecodesign dialogue made of responses to nature. Natural forms are not imitated or mimicked, because in truth, the membrane functions as a semiotic machine [1, 2]. In LABCOG the first steps toward this notion of interpretative membrane were made. In this sense, the project sought to build upon the environmental constraints in favor of a sustainable, functional and aesthetically innovative architecture, which is remarkable for its glass and irregular structure, like a cut gem (Figures 7, 8 and 9). A key feature of the laboratory is the quality of the

Figure 3:

The construction (steel structure).

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Figure 4:

The ground floor plan.

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Figure 5:

The mezzanine floor plan.

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Figure 6:

Figure 7:

Digital model of the internal space.

Diagram concept of membrane.

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Figure 8:

295

Photograph of the LABCOG perspective.

internal environment by creating spaces that go beyond the usual sound and thermal comfort, an atmosphere conducive to innovation and the work of collective creation, with emphasis on common areas marked by the continuity of the building (Figure 6).

6 Conclusions The Integrated Laboratory of Applied and Basic Research in Computer Systems and Virtual Reality (LABCOG) is situated in the Technological Park of the Rio de Janeiro Federal University (UFRJ). The project is based on the opportunities offered by technological advances in architecture and changes in the level of ecological consciousness that characterized the beginning of the XXI Century. This convergence suggests the emergence of a new conceptual field, whose epicenter, in architecture, can be designated as “interpretative membrane”. The assumptions involved in this approach are as follows: (a) Innovation aesthetics, featuring architecture as the enabler for a differentiated experience of spatiality. Architecture conforms to the result of the functional and the natural needs of the dynamics between man and nature. (b) Inter-relationship between man and nature, enabling the optimization of environmental factors in favor of an “environmentally integrated architecture”, where the user and their needs are the parameters used by the ecoefficiency of a configuration of a space in an architectural unit.

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Figure 9:

Digital model of the building.

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References [1] Charles Sanders Peirce, Christian Kloesel & Nathan Houser – The Essential Peirce, vol. 1: Selected Philosophical Writings (1867-1893). Indiana University Press. 1992 [2] Antônio Machuco Rosa – O Conceito de Continuidade em Charles S. Peirce. Braga, Gulbenkian, Fundação para Ciência e Tecnologia. 2003.

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Study of the traditional tabique constructions in the Alto Tâmega region J. Pinto1, H. Varum2, A. Cepeda1, P. Tavares3, J. Lousada4, P. Silva1 & J. Vieira1 1

ECT, Departamento de Engenharias, Universidade de Trás-os-Montes e Alto Douro, Portugal 2 Departamento de Engenharia Civil, Universidade de Aveiro, Portugal 3 CQVR, Universidade de Trás-os-Montes e Alto Douro, Portugal 4 ECA, Departamento Florestal, Universidade de Trás-os-Montes e Alto Douro, Portugal

Abstract Tabique constructions can be found almost everywhere in Portugal. In fact, it is one of the most used traditional building techniques using raw materials, such as earth and wood, particularly for interior partition walls. A tabique constructive element can be described as a timber structure, more or less complex and robust, filled and plastered on both sides by a composite earth based material. The Trásos-Montes e Alto Douro region is the northeast region of Portugal where the tabique heritage is very vast/the most significant. Tabique can be found in many kinds of constructions, from the very simple rural dwellings to more important buildings and constructions, such as castles, villas, etc. Many of the existing tabique constructions present an advanced stage of deterioration, partially justified by the maintenance knowledge and practice that has been lost over time about these techniques and their rehabilitation procedures, due to the fast introduction of new materials in the construction. Considering this, research work has been developed with the main objectives of studying the building process of tabique construction elements, typifying dimensions of tabique walls and their components, and characterizing constitutive materials. Within this research project, it was intended to create a knowledge base that can guide and stimulate future rehabilitation actions in this field. At the first stage, this study was developed at one of the six council associations of the Trás-os-Montes e Alto Douro region, namely the Alto Tâmega. A selected group of constructions, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100281

300 The Sustainable World representative of the existing heritage in the region, were studied in detail. The results of their characterization can help one to recuperate/recover the practice knowledge concerning this traditional eco-construction technique, supporting the rehabilitation of the existing construction heritage, but also its eventual application in new construction. Keywords: sustainability, raw materials, tabique, composite timber-earth construction elements, characterization, rehabilitation.

1 Introduction The most popular traditional Portuguese building techniques that use earth as a building material are taipa, adobe and tabique [1]. A tabique wall is formed by a timber grid-structure filled and plastered on both sides by an earth-based mortar. This research work is focused on the study of the tabique technique in the region of Trás-os-Montes e Alto Douro. This is the northeast region of Portugal, where this traditional Portuguese building technique has a significant incidence. Taking into account that the traditional technical knowledge has been lost, and that there is still a lack of scientific studies and work on this subject for the aforementioned region and also that traditional tabique constructions show generally an advanced stage of deterioration, this research work is justified, intending to guide and support future conservation and rehabilitation actions on this huge architectural heritage. From preliminary research works [1], it was concluded that due to the diversity of tabique solutions and to the size of the region, it would be convenient to divide the above region in sub-regions, making it feasible for this study to be highly supported by field work, understanding the local particularities. Thus, the Trás-os-Montes e Alto Douro region was divided into six sub-regions, which are Alto Tâmega, Terra Quente Transmontana, Terra Fria do Nordeste Transmontano, Vale do Douro Norte, Vale do Douro Sul and Vale do Douro Superior. The tabique constructions of the Vale do Douro Sul sub-region [2] and Vale do Douro Norte [3] were already studied and reported. Meanwhile, a study of tabique constructions in the sub-regions of Terra Quente Transmontana and Terra Fria do Nordeste Transmontano are being developed. This research work is related to the sub-region of Alto Tâmega. To achieve the objectives of this work, several technical visits to this sub-region were done in order to locate and select representative tabique constructions, to collect data on the selected buildings and the related construction details. All the information collected was organized in appraisal worksheets. For each construction studied, material samples were collected, whenever it was possible, for the experimental material characterization. For this region, it was found that the most common use of tabique construction technique was in interior partition walls, but it can also be found in exterior façade walls. The most common solution of the existing tabique constructions are detached houses with two floors and, generally, these constructions show an advanced stage of deterioration, which can dangerously develop until the total construction loss. From the research done on the selected representative constructions, it was concluded that the most common materials WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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used are the pinus pinaster for the timber structural elements and earth for the mortars covering the timber structure.

2 Municipal Association of Alto Tâmega and location of the constructions studied The Municipal Association of Alto Tâmega (MAAT), Fig. 1a, is one of the six Municipal Associations that form the Trás-os-Montes e Alto Douro region. It has a 2922 km2 area. These six Municipalities of the MAAT are Montalegre, Chaves, Boticas, Valpaços, Vila Pouca de Aguiar and Ribeira de Pena, Fig. 1b. Through this research work it was possible to notice that there are tabique constructions all over MAAT. However, it is in the urban centres where it is more commonly find this type of traditional Portuguese construction and, in particular, in Chaves city. One hundred tabique constructions were used as study cases. The number of tabique constructions that were selected for this study in each Municipality was: 5 in Montalegre (constructions #84 to #88); 64 in Chaves (constructions #1 to #64); 7 in Boticas (constructions #89 to #95); 19 in Valpaços (constructions #65 to #83); 4 in Vila Pouca de Aguiar (constructions #96 to #99); 1 in Ribeira de Pena (construction #100). The number of tabique constructions studied in each municipality is proportional to the construction density in the MAAT sub-region. It is evident that the likelihood of finding this type of traditional Portuguese construction is higher in Chaves city. Fig. 2 shows examples of the studied tabique constructions, which were in total 100. As can be observed from the images in Fig. 2, a large variety of architectural solutions can be found in the existing tabique constructions in MAAT. Fig. 2 also includes the coordinates of the buildings location.

3 Description of the tabique constructions As stated previously, in Portugal the tabique construction is spread out along different parts of the country. However, this Portuguese traditional construction

a) MAAT`s location

Figure 1:

b) Municipalities of MAAT

MAAT and its Municipalities.

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1

41° 44' 15,62"

7° 27' 57,30"

26

Latitude

41° 44' 19,03"

Longitude

7° 28' 04,02"

51

Latitude

41° 44' 20,47"

Longitude

7° 28' 12,40"

Nº of the construction

Longitude

Nº of the construction

Latitude

Nº of the construction

Nº of the construction

a) Examples of the constructions studied

76

Latitude

41° 36' 21,74"

Longitude

7° 18' 38,86"

2

41° 44 '14,81"

7° 27' 56,38"

27

41° 44' 19,16"

7° 28' 04,20"

52

41° 44' 19,69"

7° 28' 11,65"

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41° 36' 21,89"

7° 18' 37,38"

3

41° 44' 14,82"

7° 27' 55,86"

28

41° 44' 19,29"

7° 28' 04,46"

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41° 44' 19,87"

7° 28' 11,04"

78

41° 36' 23,17"

7° 18' 37,19"

4

41° 44' 14,98"

7° 27' 55,71"

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41° 44' 19,60"

7° 28' 04,92"

54

41° 44' 19,66"

7° 28' 11,59"

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41° 36' 23,41"

7° 18' 37,29"

5

41° 44' 15,23"

7° 27' 55,50"

30

41° 44' 16,74"

7° 27' 59,55"

55

41° 44' 18,95"

7° 28' 10,59"

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41° 36' 24,13"

7° 18' 34,46"

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41° 44' 15,94"

7° 27' 54,71"

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41° 44' 16,25"

7° 27' 58,77"

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41° 44' 25,87"

7° 28' 12,85"

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41° 36' 08,45"

7° 18' 30,70"

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41° 44' 17,04"

7° 27' 55,41"

32

41° 44' 19,33"

7° 28' 06,05"

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41° 44' 26,04"

7° 28' 12,69"

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41° 36' 26,02"

7° 18' 30,56"

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41° 44' 20,97"

7° 27' 54,49"

33

41° 44' 19,09"

7° 28' 06,36"

58

41° 44' 27,06"

7° 28' 13,61"

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41° 49' 30,22"

7° 47' 28,92"

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41° 44' 21,89"

7° 27' 50,90"

34

41° 44' 18,80"

7° 28' 06,63"

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41° 44' 24,35"

7° 28' 09,06"

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41° 49' 30,87"

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41° 44' 22,92"

7° 27' 45,36"

35

41° 44' 18,55"

7° 28' 06,99"

60

41° 44' 26,23"

7° 28' 17,29"

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41° 49' 30,05"

7° 47' 31,40"

11

41° 44' 25,47"

7° 27' 42,12"

36

41° 44' 19,28"

7° 28' 06,85"

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41° 44' 27,28"

7° 28' 23,18"

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41° 49' 25,87"

7° 47' 30,89"

12

41° 44' 26,22"

7° 28' 03,53"

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41° 44' 19,64"

7° 28' 06,50"

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13

41° 44' 25,89"

7° 28' 03,43"

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41° 44' 20,32"

7° 28' 06,03"

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41° 44' 24,54"

7° 28' 05,87"

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41° 41' 17,70"

7° 40' 14,04"

14

41° 44' 25,13"

7° 28' 03,33"

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41° 44' 20,10"

7° 28' 05,69"

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41° 36' 50,20"

7° 16' 27,98"

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41° 41' 17,67"

7° 40' 13,81"

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41° 44' 24,59"

7° 28' 03,27"

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41° 44' 19,51"

7° 28' 06,27"

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41° 44' 24,17"

41° 36' 48,48"

7° 28' 08,79"

7° 16' 26,87"

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41° 49' 22,44"

41° 41' 15,59"

7° 47' 33,46"

7° 40' 07,19"

16

41° 44' 24,25"

7° 28' 03,20"

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41° 44' 19,21"

7° 28' 08,05"

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41° 36' 47,53"

7° 16' 29,73"

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41° 41' 15,84"

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41° 44' 23,93"

7° 28' 03,11"

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41° 44' 16,93"

7° 28' 09,03"

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41° 44' 23,67"

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41° 41' 16,78"

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41° 44' 23,36"

7° 28' 02,99"

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41° 44' 17,14"

7° 28' 09,89"

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41° 36' 24,42"

7° 18' 34,52"

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41° 42' 39,35"

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7° 28' 02,67"

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7° 28' 10,11"

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41° 44' 19,07"

7° 28' 02,86"

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41° 30' 01,94"

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41° 36' 24,96"

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100

41° 44' 00,99"

7° 28' 09,63"

b) Location of the constructions (coordinates)

Figure 2:

Tabique constructions used as study cases.

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technique is more commonly found in the north and, in particular, in the region under study in this research project. The existing tabique construction were built mainly during the XVIII and XIX centuries, and it started to fall into disuse in the beginning of the XX century, when the reinforced concrete and the ceramic bricks were introduced in the construction. The most common structural solution for buildings is composed by external granite stone masonry walls and interior/partition tabique walls, Fig. 3a. Meanwhile, building structural solutions using tabique in exterior and interior/partition walls for the upper floors can be also found in the region, which is of particular interest for this study, Fig. 3b. A tabique constructive system can be found in several building components or elements such as interior/exterior walls, balconies or even chimneys (see examples in Fig. 4). Based on the data collected from the one hundred tabique constructions used as study cases, Fig. 2, during the fieldwork of this research, it was possible to conclude that: i) An expressive amount of the constructions (about 50%) require a conservation process since they are very deteriorated; ii) Frequently, these constructions are dwellings of 2 floors (about 70%); iii) The adoption of tabique walls in the ground floor was normally avoided, in particular, concerning exterior tabique walls; iv) White wash, zinc plate, ceramic tiles and slate boards are finishing solution options for exterior tabique walls commonly adopted. However, white wash was the finishing option most frequently chosen (65%).

a) Exterior granite masonry walls

Figure 3:

a) Interior wall

Figure 4:

b) Exterior tabique walls

Two examples of tabique dwellings.

b) Exterior wall

c) Veranda

d) Chimney

Examples of tabique building components.

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4 Characterization of the timber structural system in tabique walls The reported research work done in the framework of this project, mentioned above, show that it is not common to find uniform dimensions of timber elements. From the inspections done, it was observed the typical details, as well as component dimensions, of this type of structural system, schematically represented in Fig. 5. In figure, A represents the width of the vertical timber element, B is the existing gap between vertical timber elements, C is the width of horizontal timber elements, D is the gap between horizontal timber elements, E is the thickness of horizontal timber elements and F is the thickness of the vertical timber elements). For the studied constructions in the MAAT Municipal Association, representative dimensions of these components were collected. From the studied constructions in the MAAT region, the following average values for the geometry of the tabique system were derived: i) for exterior tabique walls: A=17.67cm, F=2.10cm, B=2.33cm, C=3.30cm, E=1.67cm, D=3.00cm; ii) for interior/partition tabique walls: A=19.00cm, F=1.98cm, B=1.99cm, C=3.53cm, E=1.42cm, D=2.37cm. Timber samples (10 as a total) were collected during the fieldwork and tested in the Laboratory of the Forest Department, of UTAD University, in order to identify the typical wood species used to build the timber structural system of tabique walls. The results obtained indicate that, basically, pinus pinaster species was used and, only occasionally tilia cordata species was used. It should be stated that these both two species can be abundantly found locally. It was also noticed that these timber samples generally showed a good conservation condition, which indicates that the earth based mortar used as a finishing has a function of biological protection of the timber structural system.

A B C D

E

F

Figure 5:

Detail of the typical timber structural system of a tabique wall.

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5 Identification/characterization of the earth-based mortar Unfortunately, it was only possible to collect mortar material samples in seven of the studied tabique constructions. A granulometric analysis was done at the Material and Soil Laboratory, of UTAD, using the mortar samples collected. Examples of analysis results are presented in Fig. 6, which show that the soil typically used for the production of these earth-based mortars in the MAAT region was approximately composed by 80% of sand and 20% of silt and clay. In order to identify the chemical elementary composition of the earth based mortar samples collected, scanning electron microscopy/energy dispersive spectroscopy (SEM/EDS) tests were performed at the Microscopic Electronic Unity of the UTAD. Similar tests have already been done in the framework of other research projects [2] and [3], to characterize the available and used materials for the local traditional earth constructions. The results obtained by the SEM/EDS test are presented in table 1.

SAMPLE 1 amostra 1 SAMPLE 3 3 amostra SAMPLE 44 amostra SAMPLE 6 6 amostra

Figure 6: Table 1: Chemical element (%) Fluorine (F) Sodium (Na) Magnesium (Mg) Aluminium (Al) Silicon (Si) Chlorine (Cl) Potassium (K) Calcium (Ca) Titanium (Ti) Iron (Fe) Copper (Cu)

1 -0.85 0.99 17.58 30.62 0.47 1.78 45.11 -1.93 0.67

Granulometric curves. Results of SEM/EDS tests.

2 1.95 0.61 1.15 26.59 58.14 0.14 8.10 0.27 0.44 2.56 0.05

3 1.19 0.33 0.51 10.86 82.40 -2.19 0.33 0.18 1.62 0.39

Sample # 4 3.01 1.01 1.52 26.96 48.97 0.20 3.47 10.18 0.32 4.22 0.14

5 2.93 0.60 2.20 23.71 50.44 0.53 9.39 0.85 1.20 8.15 --

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6 2.60 1.08 2.78 28.45 45.95 0.46 5.14 6.39 0.85 6.30 --

7 2.48 1.00 1.07 28.67 54.74 0.75 4.78 2.38 0.47 3.11 0.55

306 The Sustainable World The SEM/EDS results obtained confirm that the earth-based mortar used in tabique traditional constructions of MAAT is either a natural mixture of sand and clay, since the main chemical elements detected in the samples were Silicon and Aluminium (samples 2, 3, 5 and 7) or an earth based mortar since the percentage of Calcium was detected in an expressive amount in some samples (samples 1, 4 and 6). This last consideration is justified because limestone is uncommon in this region of Portugal, which also indicates that lime was used.

6 Main conclusions In the Municipal Association of Alto Tâmega abundant examples of tabique construction can be found. The Trás-os-Montes e Alto Douro region has a valuable heritage of this type of traditional Portuguese construction, which uses basically natural and local building materials such as stone, timber and earth. This fact associated to the required small amount of energy consumption in the building construction with this technique may classify the tabique system as a very sustainable building option, which should be preserved, but should also give guidance for the development of modern sustainable building solutions. The data collected during the fieldwork contributes to the characterization of this type of construction. An expressive amount of the existing constructions require urgent conservation measures, since they are very deteriorated. Frequently, these constructions are dwellings of 2 floors. The ground floor location of tabique components was normally avoided. White washed tabique components was a very common finishing solution. The structural timber system of a tabique wall usually does not present wood elements with regular dimensions, and uses locally available pinus pinaster species. However, typical details and component dimensions of the internal timber structure of tabique, for exterior and interior/partition walls, were proposed, based in the most commonly observed detailing and in the average dimensions obtained through the fieldwork. The results of the testing campaign for mortar characterisation indicate that, commonly, the mortar used was composed mainly by natural materials, representing the common practice at that time.

References [1] Carvalho, J., Pinto, T., Varum, H, Jesus, A., Lousada, J. & Morais, J., Construções em tabique na região de Trás-os-Montes e Alto Douro. Proc. of the 4th International Conference on Structural Defects and Repair, CINPAR 2008, Aveiro, Portugal, eds. H. Varum, F. Carvalho, A. Costa, A. Bertini & P. Stepánek, ISBN 978-989-95695-3-9, 2008. [2] Martinho, J., Gonçalves, C., Magalhães, F., Lousada, J., Vieira, J., Varum, H., Tavares, P. & Pinto, J., Construção de tabique no Vale do Douro Sul. Proc. of the VIII Seminario Iberoamericano de Construcción con Tierra (VIII SIACOT), Tucumán, Argentina, CRIATIAC: FAU, UNT, pp. 514521, 2009. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[3] Pinto, J., Varum, H., Cruz, D., Sousa, D., Morais, P., Tavares, P., Lousada, J., Silva, P. & Vieira, J., Tabique Construction Characterization in Douro North Valley, Portugal: A First Step to Preserve this Architectural Heritage. Proc. of the 2nd WSEAS International Conference on Urban Rehabilitation and Sustainability (URES'09): Environmental Science and Sustainability, Baltimore, USA, eds. M. Jha, C. Long, N. Mastorakis & C.A. Bulucea, WSEAS Press, ISBN 978-960-474-136-6, pp. 48-53, 2009.

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The new national environmental management: Waste Act; a shift in waste management approach in South Africa O. Baloyi & K. Masinga Department of Environmental Affairs (DEA), South Africa

Abstract South Africa has been in the process of strengthening its regulatory framework through the development of legislation, regulations, norms and standards to facilitate better management of waste. One such legislation is the National Environmental Management: Waste Act, 2008 (Act No. 59 of 2008) which led to the adoption of a new approach in waste management. Traditional ways of dealing with waste have a considerable environmental footprint, not only from landfill methane emissions but also from the energy and raw materials needed to collect and move it around. It is estimated that South Africa generates millions of tons of waste from household, commerce and industry. Although current data on waste flows is incomplete, it was estimated that for the between March 2006 to April 2007, about 24,115,402 tons of general waste was disposed of in landfills during that year (DEAT, 2007). This figure will increase as waste services are extended, and necessitate a significant increase in the recycling rate and greater diversion of waste from landfill through waste to energy recovery, treatment and reuse programs. Currently, much of this waste ends up in waste landfills where it biodegrades and generates methane gas which contributes to the total greenhouse gas emissions leading to climate change. In July of 2009, the new Waste Act which governs waste management in South Africa came into effect. This landmark legislation seeks to address the problems South Africa has over waste by instituting mechanisms of waste avoidance, minimisation, reuse, recycling, recovery, appropriate collection, transport services and environmentally sound treatment and disposal. Interestingly, the new Waste Act also introduces an element of remediation of contaminated land, a new provision in waste management legislation in the country. With the firm legislative foundation and

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312 The Sustainable World implementation thereof, South Africa will build healthier communities, a cleaner environment and a more prosperous and successful life for everyone. Keywords: waste, waste hierarchy, regulations, waste strategy, waste licence, waste information, reuse, recycling, disposal.

1 Overview of waste management legislation in South Africa Waste management in South Africa, similarly to many other parts of the world particularly Southern Africa, has always been one of the very important elements of economic growth yet the least prioiritised. This was in terms of resource allocation as well as the regulatory provisions governing waste management in the country. It has however, along with global trends, gained prominence as more awareness on the impacts on the environment and human health has been achieved as well as recognition of the possible benefits which can be attained when waste is managed in a sustainable manner. Waste legislation was fragmented, with waste falling under the portfolios of different government departments such as Department of Health (health care waste), Minerals and Energy (mining waste), Transport (transportation of hazardous waste), Environmental Affairs (municipal and industrial waste) to mention a few. Following the promulgation of the National Environmental Management Act (NEMA) in 1998, which is the framework legislation which covers all environmental aspects, the White Paper on Integrated Pollution and Waste Management was introduced in the year 2000; preceded by the first National Waste Management Strategy published in 1999. These developments introduced a paradigm shift from the traditional waste disposal based approach of waste management, to a more preventative and integrated approach of waste avoidance, reuse and recycling, commonly known as the waste hierarchy approach. The fragmentation of legislation presented loopholes and coordination challenges in terms of compliance monitoring and enforcement and necessitated a need to come up with an integrated piece of waste legislation. Despite the resistance form some sectors of government, business and non government organisation, the new National Environmental Management: Waste Act, hereinafter referred to as the “Waste Act”, was promulgated and came into effect on 1 July 2009, a big milestone for waste legislation in the country. It is important to mention that environmental management in general and waste management in particular, is provided for in the Constitution of the country, section 24 of which states that everyone has a right to an environment that is not harmful to their health and well being and that the State must ensure that the environment and people are protected from pollution and ecological degradation through passing legislation and promoting sustainable economic development. The Waste Act is mainly based on the waste hierarchy approach and it prioritises waste avoidance, reuse, recycling, recovery of energy, treatment and safe disposal as a last resort. Another important element which is new in waste legislation is the provision for remediation of contaminated land which is linked to the “polluter pays principle” and is illustrated in figure 1 in order of prioritisation. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 1:

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Waste hierarchy (source: NWMS 2010).

The Waste Act is housed under the national Department of Environmental Affairs, which is lead sector Department but work very closely with departments of Water Affairs, Transport, Trade and Industry, Cooperative Governance, Minerals, Energy, Human Settlement, Agriculture, and Education as waste is a cross cutting area of responsibility. Waste services are however provided by local government with provincial government having a concurrent role with national government of providing policy and legislative framework on waste management. 1.1 Waste generation The new waste legislation comes in a country where generation of waste per capita was estimated at an average of 0.4 kg per day according to the State of the Environment Report (2006). As at 1997, waste generation in South Africa amounted to approximately 533 million tons per annum (MT/a) of which the majority comprised mining waste (88%) while domestic and trade waste represented 1.5% and sewage sludge 0.1% (DWAF, 2001). These findings are illustrated in Figure 2. The State of the Environment Report (DEAT, 2006) suggests that approximately 15 Mt/a of general waste is generated while the research paper towards the development of the National Waste Management Strategy (Purnell, 2009) estimated that general waste (domestic and trade waste) disposed at landfills in 2006/7 amounted to 24.1 million tons/annum. With the increase in population growth rate and society becoming more affluent; the amount of waste generated are growing as well as the complexity of waste streams, with the introduction of waste streams such as waste electronic equipment for example.

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314 The Sustainable World 3.9% 0.1%

3.1%

3.8% 1.5%

Mining Domestic and Trade Agriculture and Forestry Sewage Sludge Power Generation Industrial

87.6%

Figure 2:

National waste generation rates in South Africa in 1997 (source DWAF, 2001).

2 The new approach to waste management 2.1 Definition of waste The definition of waste has been and is still one of the controversial elements of waste legislation in the country and in many countries, in that some sectors look at it in an economic approach i.e. if it has value then it is not waste, whilst others base the definition on the basis of potential environmental impact if not properly managed. The Waste Act introduced a definition of waste, which went through extensive consultation with all sectors. Importantly for industry, the by products and activities that fall outside the definition of waste are treated outside the provisions of the Act. The definition of waste, as per the Waste Act, is as follows: “waste” means any substance, whether or not that substance can be reduced, re-used, recycled and recovered – (a) that is surplus, unwanted, rejected, discarded, abandoned or disposed of; (b) which the generator has no further use of for the purposes of production; (c) that must be treated or disposed of; or (d) that is identified as a waste by the Minister by notice in the Gazette, and includes waste generated by the mining, medical or other sector; but (i) a by-product is not considered waste; and (ii) any portion of waste, once re-used, recycled and recovered, ceases to be waste;

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Given the exclusion of by-products, their definition in terms of the Waste Act is also important: “by-product” means a substance that is produced as part of a process that is primarily intended to produce another substance or product and that has the characteristics of an equivalent virgin product or material; Due to differentiated interpretation of the legislated definition, the Department of Environmental Affairs has published an interpretation document in order to clarify this matter and to ensure that there is uniformity in the interpretation across the country. Although the definition of waste covers all waste, the new Waste Act does not apply to radioactive waste, explosives, mining stockpiles and residue deposits and disposal of animal carcasses as these are already covered in other legislation, a leg to stand on for most critics of the new waste legislation. 2.2 Adopted regulatory tools in the new Waste Act The Waste Act is framework legislation, meaning that it provides an overall framework for waste legislation in the country and gives the government powers to pass regulations for various elements of waste management. This is because waste streams require various approaches and therefore a one size fits all approach could have unintended impediments or consequences. This relates to for example; regulatory provisions for waste tyres cannot be applied in the regulation of industrial effluents or waste oil. The Act adopts an array of tools which can be applied in waste management which range from very strict tools such as declaration of priority waste and listing and licensing of waste management activities to self and co-regulatory measures such as setting of norms and standards and Industry Waste Management Plans (IndWMPs). The tools are briefly described below: 2.2.1 Norms and standards National norms and standards provide the foundation of the regulatory system. The Waste Act allows for an integrated system of mandatory and non mandatory norms and standards across the national, provincial and local government. Norms and standards provided for in the Act include: a)

Classification of waste.

b) Planning and delivery of waste management services. c)

The storage, treatment and disposal of waste (including the planning and operation of waste treatment and waste disposal facilities).

d) Contaminated land and soil quality etc. Norms and standards will mainly promote environmentally sound handling and management of waste, and might not have a requirement to undertake an environmental impact assessment process and apply for a waste license, depending on the assessment on a case by case basis. The aim is to minimise the legislative burden on industry and encourage the movement towards waste WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

316 The Sustainable World reduction, reuse, recycling and recovery of waste in an environmentally sound manner. The Department is currently developing a series of norms and standards with an aim to de-list some of the activities from Waste Management Activity List, which lists activities that cannot be undertaken without a waste management authorisation (e.g. storage of waste, landfill gas extraction, acceptable use of certain waste streams) and until such time that these are implemented, it remains a mystery whether it would be beneficial. Standards for the domestic waste collection have also been developed to assist local government in providing uniform if not consistent services across the board. This approach will however, require government to also strengthen its compliance and monitoring arm to ensure that the norms and standards are adhered to in order to prevent environmental damage. 2.2.2 Waste information system One of the biggest challenges in waste management is lack of accurate and reliable waste information to aid proper planning for both government and industry. The web-based South African Waste Information System (SAWIS) was developed prior to the promulgation of the Waste Act and relied on voluntary registration and reporting. This system incorporated in it lessons learnt from countries such as Denmark, Swaziland etc and attempts to make reporting as cost effective as possible for the facilities required to report. Registration and reporting to the waste information systems, be it at national or provincial level, is now a mandatory requirement and it is expected that it will improve the reporting rate which will allow for the publication of annual waste reports. There is however a need to undertake a baseline studies as a basis for trend monitoring going forward. 2.2.3 Industry Waste Management Plans Industry Waste Management Plans (IndWMPs) are the main co-regulatory instrument within the waste management system. They describe the waste related issues within an industry, and specify how the industry will address these issues, giving specific actions, targets and timeframes. Part 7 of the Waste Act, section 28 to section 34, sets out the requirements for IndWMPs, which may be prepared on a mandatory or voluntary basis. The Minister of Environmental Affairs (hereinafter referred to as ‘the Minister’) may request an IndWMP for waste generating activities that affect more than one province or which occur in more than one province. The provincial Member of Executive Committee (MEC) may request an IndWMP for waste generating activities within the province, provided that such a plan has not already been requested by the Minister. Industry may also prepare and submit plans on a voluntary basis. Section 30 (2) of the Waste Act indicates the information that the Minister or MEC may specify in requesting an IndWMP. In these plans, Industry is required to address matters such as waste streams produced, how they intend implementing waste minimisation strategies, how they intend financing take-back initiatives to ensure that they take responsibility of their products post consumer stage and set targets for minimisation and diversion from landfills. IndWMP are currently at a very initial stage and but have been positively welcome by industry as an appropriate WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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co-regulatory tool which will somewhat recognise some of the efforts already in place prior to the promulgation of the Waste Act. The initial prioritised plans include: a)

Tyres industry to manage waste tyres.

b) Paper and Packaging industry to manage packaging and paper waste. c)

Lighting industry manufacturing mercury containing lamps e.g. CFLs.

d) Pesticide Industry to manage residual pesticides and pesticide containers. It is envisaged that further plans will be submitted by industries on a voluntary basis, once the uniform guidelines have been finalised and published by the Minister. 2.2.4 Listing and licensing The Waste Act gives powers to the Minister to publish a list of activities which have or are likely to have a detrimental effect on the environment and specify the requirements for conducting such activities. The published list established two categories of waste management activities, both of which require licensing: Category A: These activities require a basic assessment process as defined in environmental impact assessment (EIA) regulations provided in NEMA to be completed in order to obtain a license for the activity. A basic assessment process is appropriate where the environmental impact of a particular activity is well understood and limited in scope. The list also has thresholds in terms of either the volume of waste or the size of the operational area or full capacity of the facility. Category B: As a licensing requirement, these activities require a full assessment report in terms of the Environmental Impact Assessment regulations. A full assessment process is appropriate where the potential scope and extent of environmental impacts is not well understood, or is likely to be significant. This is mainly for hazardous waste activities or large scale waste disposal sites where the foot print is significantly large. There are plans to publish Category C of the listed activities which will not require a waste license but will be subjected to norms and standards. The process of licensing can be long and expensive but is the most appropriate tool to ensure that all activities can be subjected to some conditions and that the potential environmental impact is mitigated, and where they cannot be mitigated, a license in not issued. 2.2.5 Priority wastes The Waste Act provides for the declaration of priority wastes which must be published nationally. This is one of the more interventionist measures, primarily because the consequent waste management measures can severely limit or prohibit the generation of that waste, may require detailed registration and reporting of it, may limit its import and export, and ultimately culminate in a WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

318 The Sustainable World waste being phased out completely. Currently, no priority waste streams have been published; however, there are existing and potential priority wastes which will be further investigated. Regulations for the prohibition of asbestos have been promulgated in terms of the Environmental Conservation Act (1989) prior to the Waste Act coming into force. These regulations effectively declare asbestos as a priority waste and they remain effective. According to the draft National Waste Management Strategy (2010) wastes to be considered for declaration as priority wastes include polychlorinated biphenyls (PCBs) and mercury waste. Their destruction through treatment processes is difficult and often extremely hazardous. PCBs are classified as a persistent organic pollutant under the Stockholm Convention, to which South Africa has acceded. Mercury on the other hand has a chemical element, most commonly used in scientific apparatus, CFLs and batteries. Mercury is also highly toxic, and can cause severe poisoning, debilitating neurological conditions and in some instances death. Pollution of water sources by mercury causes serious ecological damage. The use of mercury is severely controlled in several countries. 2.2.6 Extended producer responsibility The Waste Act makes provision for the Minister to require any producer to undertake Extended Producer Responsibility (EPR). EPR applies to instances in which the nature of the waste from products is of sufficient threat to require producers to take responsibility for aspects of a products management post consumer. EPR programmes can focus on both the beginning stages of a product’s lifecycle i.e. how to avoid the generation of waste, and on the end stages i.e. how to manage its use and disposal. Whilst there are still challenges and gaps, South Africa has been fortunate to have voluntary initiatives or EPR programmes which are industry led that deal with waste streams such as used oil, waste tyres, e-waste etc. 2.2.7 Remediation of contaminated land As indicated previously, this section is new in waste legislation in the country and provides for the identification and declaration of investigation areas where high risk activities have or are suspected to have occurred. Such areas or sites will then be registered in the national register of contaminated land and the Minister can require the owners or the polluters to undertake site assessment. In instances where land has been contaminated, the polluter will have to remediate such a site at own cost, to acceptable norms and standards. This provision will also be linked to the property registration office whereby the transfer or sale of any land which appears in the register of contaminated sites must be declared as such before a transfer can take place. It is worth while to mention that this provision applies retrospectively, but is currently not in force. It will only be brought into effect once the norms and standards for remediation and soil quality are in place. In a country with a history of high risk activities such as mining of gold and an array of industrial sites which were previously not subjected to strict waste regulation, this section will potentially provide for redress of the past contamination which affect human health, water resources, agricultural land and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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mainly affect the poor who may not be aware of the impacts. Government will, in cases where the polluter cannot be traced, be responsible for remediation of such land, a cost that can potentially cripple the fiscal allocations. This section has obviously received some level of resistance from the ‘would be culprits’ when it is brought into force. 2.2.8 Economic and fiscal instruments The Waste Act provides various legislative measures for the use of economic instruments. These will be applied within the context of the overall fiscal and taxation policy established by the Ministry of Finance, and will require careful consideration of implications. The selection and use of economic measures, including pricing, taxation, subsidies, incentives and fiscal measures will also be aligned with the principles established by NEMA, including the ‘polluter pays’ principle. The Department of Environmental Affairs (DEA) has through the development of the National Waste Management Strategy; identified some of the instruments which could possibly be explored and will be considered for implementation. These are: a)

Deposit Refund Schemes: These schemes are most suitable for products that are easy to identify and handle; feasible to use and/ or recycle; require careful disposal (e.g. batteries); and where cooperation is feasible between producers, retailers and consumers. Deposit refund schemes will be considered for specific waste streams where the private sector is not effectively addressing the issue.

b) Waste Disposal Taxes: Waste disposal taxes address the external social and environmental costs of waste disposal and provide pricing that takes into account the waste generation and disposal decision by private actors. These only impact on waste generation if the generators experience increases in costs. The risk of waste streams being diverted to incineration and illegal disposal are high. Waste disposal taxes require effective regulation and monitoring of landfill sites to be in place. Where a specific waste disposal site is underpriced the capacity to tax a specific site will be considered. c) Product Taxes: Product taxes will be directed at products or materials for which there exists a policy intention to diminish the product or material over time or remove it from use or production. d) Tax interventions for hazardous waste disposal: This will be considered in instances where more effective management of hazardous waste generators is required. The Waste Act also provides for the establishment of recognition programmes for public recognition of significant achievements in the area of waste avoidance, minimisation or other forms of waste management in order to make the public aware of sound waste management practices.

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3 Institutional arrangements and planning matters One of the key aspects for the successful implementation of any legislation is the human and institutional capacity which is put in place. South Africa has been suffering from lack of capacity at local government level and other spheres of government dedicated to waste regulation and management. In a study that was undertaken by the Department of Environmental Affairs in 2007, it was discovered that lack of capacity in government presented the most challenge in terms of waste management. Through the Waste Act, the national department, provincial departments as well as all the local municipalities are required to designate waste management officers. These officers will be responsible for coordination and implementation of the national waste management strategy as well as ensuring compliance to the Waste Act. Over an above that, all municipalities are required to develop Integrated Waste Management Plans (IWMPs) which will address how they intend rolling out waste services to all households, identify infrastructure requirements as well as waste minimisation measures and projects which will be implemented to achieve the objectives of the Act.

4 The National Waste Management Strategy as an implementation instrument The Minister of Environmental Affairs is required by the Waste Act to establish within two years of the Act coming into effect, the National Waste Management Strategy (NWMS). This is a strategy that will address the objects of the Act and will be the main document to guide all sectors on the priorities, objectives and targets for waste minimisation towards the achievement of the waste hierarchy. The draft NWMS (2010), which has been published for public comment already, set a scene for engagement on waste management approaches in the public, private sector arena.

5 Compliance monitoring and enforcement The South African government, through the promulgation of NEMA, introduced a compliance arm called Environmental Management Inspectors (EMIs) and they are already making enroutes in ensuring compliance and bringing to book everyone who is not complying. The EMIs are also monitoring compliance to the provisions of the Waste Act, although there is a need to increase the numbers and offer specialised training relating to waste management. This is a considerable effort that government has put in place which will potentially guarantee consistent compliance as everyone is aware that they can be targeted for inspection unannounced. This effort is also supported by more stringent penalties outlined in the Act with a maximum of R10 million fine or imprisonment period not exceeding 10 years or both and this can be a great deterrent to non

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compliance. It remains to be seen as the Act is implemented whether this perceived deterrent will be a reality.

6 Possible benefits and challenges The implementation of a waste hierarchy approach through the provisions of the Act will have many benefits if implemented effectively and efficiently. The main benefits will emanate from waste avoidance through the implementation of cleaner production strategies at production level to ensure that the generation of waste is avoided and minimised. It is however acknowledged that waste generation cannot at all times be avoided therefore the diversion of waste from landfills which will save airspace and minimise the ecological foot print of these mega waste burial sites, must be prioritised. The associated impacts of landfill sites on water resources, air quality as well as the costs associated with their management will also be averted. The use of raw materials will be optimised through utilisation of recycled material instead of virgin material and through recovery of energy from waste such as in the cement kilns. The reuse of waste which includes acceptable use of coal boiler ash for brick making and other waste streams through industrial waste exchange schemes will also be beneficial. The reduction of the number landfill sites will also contribute climate change mitigation measures the country is committed to. This does not come without challenges, in a country where nearly 50% of the population does not receive waste services and mostly cannot afford to pay for the service. Some of the landfill sites, particularly municipal landfills are still not operated according to minimum requirements and it goes with lack of technical capacity at that level. The limited fiscal allocation to waste management is still a course for concern as well as limited public awareness of waste issues. The drive towards improved waste management practices is however driven by the political will which exists and it is expected that services will be rolled our to all with the promotion of community based waste collection and recycling schemes. These will also contribute to job creation and small business development, as a built-up on the existing initiatives.

7 Conclusion Waste management is one of the unavoidable consequences of any development and the more societies develop and become more affluent, the volume and complexity of waste streams also increases. Coming from a history of fragmented waste legislation, lack of coordination, traditional disposal based waste management approaches and lack of prioritisation of waste management in general; the country has come a long way. The promulgation of the Waste Act has been a great milestone and provides a potential for a change in the approach, particularly promoting the waste hierarchy approach. It would be very interesting to evaluate how the legislative tools such as IndWMP, norms and standards, declaration of priority wastes, listing and licensing etc, will translate into tangible benefits in practice. It is however acknowledged that there is still a long WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

322 The Sustainable World way to go and challenges with fiscal allocations for waste management and capacity at local government level remain amongst key concerns, particularly in relation to provision of waste services to all citizens including the poor and vulnerable. Overtime, the implementation of the national waste information system should provide the basis for evaluation of these interventions to assess whether the approaches are effective. It is simply impossible to say whether the Waste Act has any significant or tangible benefits within only one year of implementation, however, the will and commitment all at levels of society is what will determine its success.

References [1] Department of Environmental Affairs (DEA).2010. National Waste Management Strategy First Draft for public comment. February 2010. Pretoria. [2] Department of Environmental Affairs (DEA).2010. Draft Municipal Sector Plan. Pretoria. [3] National Environmental Management Act 107 of 1998 (NEMA). 1998. Republic of South Africa. Pretoria. [4] National Environmental Management: Waste Act 59 of 2008. 2008. Republic of South Africa. [5] Department of Environmental Affairs and Tourism (DEAT).2007. Assessment of the Status of waste service delivery and capacity at local government level. Department of Environmental Affairs and Tourism, Pretoria. [6] Department of Environmental Affairs and Tourism (DEAT). 2006. State of the Environment Report. Pretoria. [7] Department of Water Affairs and Forestry (DWAF). 2001. Waste Generation in South Africa. Water Quality Management Series. Pretoria. [8] Purnell, G. 2009. National Waste Quantification and Waste Information System Research Paper towards the development of a National Waste Management Strategy. [9] Republic of South Africa (RSA) .1996. The Constitution of the Republic of South Africa, Act No 108 of 1996.

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Methods for sustainable management of secondary resources A. Pehlken, M. Rolbiecki, A. Decker & K.-D. Thoben Institute of Integrated Product Development, Bremen University, Germany

Abstract Dumping secondary raw materials is already forbidden by legislation in Europe. Due to limited resources, especially in high-tech products or the dependency on other countries who provide specific minerals or metals, efficient recycling processes are improving to guarantee a sustainable management of secondary resources with replacing primary resources. We can save our raw materials by either reducing the consumption of primary raw materials or the increased use of secondary raw materials. Processing waste materials ensures the availability of secondary resources. To evaluate the potential of the reusability of materials the knowledge of material flows of recycling processes and their characteristics is essential. For example, the knowledge of the quantity and quality of material flows gives an indication for the assessment of the environmental process performance. The combination of Material Flow Assessment (MFA) and Life Cycle Assessment (LCA) may help to improve sustainable resource management and makes environmental decision making easier. This paper will give an overview on the required information received from recycling processes to build up an environmental management system to serve as a tool for sustainable material management. The main focus lies on the material characteristics, uncertainties and the material’s future potential to replace primary resources. Keywords: material flow assessment, life cycle assessment, sustainable resource management, uncertainty.

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1 Situation of primary and secondary resources Primary raw materials are being exploited and especially Europe depends on imports from other continents. China for example produces 95% of all rare earth concentrates which are commonly used in “high tech” products. Motors for hybrid cars cannot be manufactured without rare earth dysprosium, drilling tools with tungsten tips are vital for the production of compact mobile phones and rare earth is commonly used in high performance permanent magnets. Furthermore, China is the top one mining region for other metallic minerals like Antimony (87% of the world production), Tungsten (84%), Gallium (83%) and Germanium (79%) for example. To guarantee stable production of materials with these ingredients some countries develop “stockpiling-policies” and have always specific raw materials in stock. This is extremely important if the political situation remains unstable in some countries, like Congo for example as the number one world producer of cobalt (36%). Additional there are “critical raw materials” defined which are dependent on the supply and the geological resources and reserves of each material. For example a material is called “critical” if over 60% of its resources gain from one country. In this case the stable supply of this material cannot be guaranteed because it relies on the political situation of one country. Another example of a critical material is the fact that some geological resources last only for a few decades. Therefore, the effort to find solutions to either recycle or substitute this material is very high. According to Ziemann et al. the metals Antimony, Chrome, Germanium, Gold, Niobium can be identified as materials with a high potential to find solutions for substitution (Ziemann et al. [1], Commission of the European Communities [2]). The resource-efficient and recycling-based industry will strike a balance between dematerialization and rematerialization to support the availability of secondary resources (EPA [3]). These secondary resources will enter the common production processes as substitute for primary raw materials. This implies that countries with well managed recycling process will be less dependent on imports (Braungart and McDonough [4]).

2 Material flow assessment and LCA in waste management Life Cycle Assessment (LCA), which is used to assess the environmental impacts of products from cradle to grave, is increasingly being applied to the evaluation of waste management strategies. It should be noted however that there is a fundamental difference between the life cycle boundaries of products and wastes. The life cycle of a product starts with the extraction of raw materials (through activities such as mining, logging, etc.) and ends with the final disposal of a product. The life cycle of a waste on the other hand, starts when a material is discarded into the waste stream and ends when the waste material has either been converted into a resource (such as recycled material or recovered energy) or, when it has been finally disposed of [5].

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Since 1992 the Society of Environmental Toxicology and Chemistry (SETAC) is organizing workshops focused exclusively on uncertainties in Life Cycle Assessments (LCA) (Fava et al. [6]). Modelling recycling processes and the assessment of uncertainty are firmly connected; otherwise the model provides a lack of reliability due to parameter uncertainties. An interest on the credibility of process modelling due to the performed decisions based on the LCA is evident (Pennington et al. [7]). Within recycling processes the known and unknown uncertainties become important parameters to consider. Uncertainties can have many sources and Heijungs and Huijbregts [8] state that the outcome of an LCA is affected by various types of uncertainty, such as parameter, scenario, and model uncertainty. The uncertainty by itself has to be addressed at three places: the input side, the processing side and the output side. The variation of parameters is not always known and coincidental. For example there is data for which no value is available, data for which an inappropriate value is available, and data for which more than one value is available. Due to the fact that residues always vary in their composition and material flow only data ranges can be used as input parameter. A simulation of recycling processes is therefore often difficult. Notten and Petrie [9] substantiate the statement that “different sources of uncertainty require different methods for their assessment”. Therefore, the model relies not only on the quality of the process data but also on the uncertainty assessment. For modelling purposes the acceptable level of uncertainty has to be defined (Clyde and George [10]). Modelling solid waste recycling processes is a challenge because there is few specific data available. Various materials are firmly connected to each other that make an ideal separation success nearly impossible. Useful information can be accumulated with data received from particle size distribution. Assessing the information of the separation for modelling purposes with the availability of data ranges and identifying uncertainties is the focus of this paper. The management of product life cycle includes the best knowledge of processes and their system boundaries. All recycling processes have in common that their input material has already had a whole life cycle and makes it therefore harder to find exact input data for the LCA of the recycling process. Attention has to be paid to uncertainties in performing LCAs in recycling processes. These days life cycles of secondary resources are no longer within the system boundary from “cradle to grave”; instead we have to look at a life cycle from “cradle to cradle”.

3 Modelling recycling processes Modelling recycling processes offers the potential of identifying the processing steps with regard to the main material flows and emissions to reduce the environmental impact and improve the economics. Simulation has to be made available for further investigations. The major problems are the uncertainties on the material composition within the material flows, and in the recycled products; especially regarding their characteristics like size, material combination and distribution. Due to high dynamic uncertainties a complete Life-Cycle WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

326 The Sustainable World Assessment cannot be performed for many recycling processes, but Life-Cycle Thinking may be applicable. The processes with the main influence must be identified and evaluated within the model. A metamodel describes the structure of a model and uses mainly the information generated from processing steps. This results in an abstract combination of the elements of the model and its linkages. Therefore, this technique allows developing the model. Tools to build this model are the LCA software “UMBERTO” to define the mathematical connections between processing steps as well as the programming language “Matlab”. Assessing the information of the processing steps for modelling purposes with the availability of data ranges and the focus on uncertainties is the focus of the research. Uncertainty can be understood as the variation of a parameter in a model. The variation is not known and at random. Modelling recycling processes and the assessment of uncertainty are firmly connected; otherwise the model provides a lack of reliability due to parameter uncertainties. The known and unknown uncertainties of the process become important parameters to consider. Due to the fact that waste materials always vary in their composition and material flows only data ranges can be used as input parameter (Pehlken and Mueller [11]. A simulation of recycling processes is therefore often difficult but a model relies on the quality of the process data. For modelling purposes the acceptable level of uncertainty has to be defined through statistics. A complete separation of waste material components is not possible but quality standards can be met through defining separation grades as categories (high, medium, low). Therefore, the modelling is not related to specific data (numbers) but rather to data ranges (or quality issues). The modelling can help with the decision making process if the uncertainty of the model has an acceptable level. The acceptable level depends on the aim of the modeler and the model user. 3.1 Material characterization for modelling purposes Information of material characterization is essential for estimating the material distribution and the material flow. Processing steps like comminution and the following separation depend on each other and are essential for the separation success. The particle size reduction and the liberation of materials during crushing will both effect the recycling of end-of-life products. Table 1 gives an example on the degrees in separation and crushing. Due to the design and construction of many products it is difficult to measure exact grain sizes of the elements in the product (figure 1). But grain sizes often include the separation of material sizes and there is a correlation between particle size and separation and/or liberation degree. Often the components are well combined and made to never separate by itself due to quality assurance. In future time more attention is paid to an environmental product design that includes the construction of products to have the potential for easy separation.

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Table 1:

327

Degree of separation and crushing (Pehlken and Mueller 11]). Separated Separation Degree of materials

Partly separated Not separated Fine

Crushing Degree

Medium Coarse

Figure 1:

Sample of separated materials from scrap tires after crushing.

3.2 Uncertainty assessment Uncertainties play an evident role in developing a model to assess a recycling process or support a decision based on environmental impacts of processes. Therefore, uncertainties in the process have to be identified and considered as a fact in recycling processes. Possible uncertainty locations are depicted in Figure 2 and represent only sample locations. Far more locations can be found in processes and have to be taken into account while developing a model.

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328 The Sustainable World

Uncertainty

Input

Material composition Constant mass flow

Technical parameters and conditions

Process

Output

Figure 2:

Material liberation influence the material flow

Analysis of materials Sampling

Possible uncertainty locations.

3.3 Developing a metamodel with respect to material flow characteristics Models to predict the material flows AND their properties at the end of the recycling process are essential to close the gap between this information in Life Cycle Management. The developed metamodel (definition: a metamodel represents a model of a model that processes information of a process instead of data) describes a theoretical performance of the model on a high level of abstraction to support the construction of a prediction model for real processes. Complex processes are divided into smaller modules with main effects on the process (modular construction system). Since the functional correlation between modules is often unknown “black-box” models are in use. These “black-box” models have direct or indirect influence on the process step through their input parameters and are therefore important for all following process steps. To obtain the correlation between input and output parameter of the “black box” laboratory experiments help to identify the relevant process parameter. These results can then be transferred to an operating plant to confirm the developed module transfer function. As mentioned above the particle size plays an important role in recycling processes. Scrap tires for example are first crushed and then further processed in other process steps that are mainly dependent on the particle size. In this case the “black box” model depicts the modification of particle distribution with their correlation between the single particle size fractions. Various statistical methods have been tested to fit the best transfer function. Particle size distributions can often follow a normal or Weibull distribution (figure 3). In this case parameter like mean, mean variation or variance of the specific distribution can be easily compared (figure 4) and the data fit can be verified with the Shapiro-Wilk-Test for example. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 3:

Figure 4:

329

Statistical analysis.

Statistical evaluation of crumb rubber experiments.

Alternatively, it is possible to compare the distances of data points of a distribution to each other in a multi-dimensional space. In n-dimensional space the distances for a distribution of n size parameter can be calculated. The reduction to one parameter (distance) will facilitate the comparison of various distributions.

4 Conclusion The focus on the management of secondary resources will increase the coming years. Due to our limited primary resources and the goal to live in a sustainable environment recycling technologies will improve. Materials Flow Assessment and Life Cycle Assessment can support the determination of the future potential of waste streams entering the recycling process. Some material flows are appropriate to replace primary resources without loss of quality (up-cycling). But other materials are only useful for products with minor quality (down-cycling). Some materials are made to never separate by itself and therefore pure material flows are impossible to achieve. A metamodel that considers the fact of material flows of different material properties may help to evaluate the global recycling

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330 The Sustainable World potential. Therefore, material qualities have to be defined to make an assessment of sustainable management of secondary resources possible.

Acknowledgement Part of this work was only possible through funding of the German Research Association (DFG).

References [1] Ziemann, S., Schippl, J., Grunwald, A., Schebek, L. (2010) Verfügbarkeit knapper metallischer Rohstoffe und innovative Möglichkeiten zu ihrer Substitution, Rohstoffeffizienz und Rohstoffinnovationen, Fraunhofer Verlag, Stuttgart, Germany [2] Commission of the European Communities (2008) The raw material initiative – meeting our critical needs for growth and jobs in Europe, Communication from the Commission to the European Parliament and the council, COM (2008) 699, Brussels, Belgium [3] EPA (9). Sustainable materials management: The road ahead (report and appendix – technical support document, Washington DC: EPA, www.epa.gov/epawaste/inforesources/pubs/vision.htm, accessed February 2010 [4] Braungart, M., McDonough, W., Cradle to Cradle. Remaking the Way We Make Things, New York 2002 [5] EPIC-Environment and Plastics Industry Council and CSR-Corporations Supporting Recycling. Integrated Solid Waste Managements Tools: “Measuring the Environmental Performance of Waste Management Systems”. October 2000 [6] Fava, J.A., Jensen, A.A., Lindfors, L., Pomper, S., de Smet, B., Warren, J., Vigon, B., 1994. Life cycle assessment data quality. A conceptual framework. SETAC. Pensacola. USA [7] Pennington, D.W., Potting, J., Finnveden, G., Lindeijer, E., Jolliete, O., Rydberg, T., Rebitzer, G. (2004). Life cycle assessment Part 2: Current impact assessment practice, Environment International 30, 721– 739 [8] Heijungs, R., Huijbregts, M.A.J., 2004. A review of approaches to treat uncertainty in LCA. iEMS Conference Proceedings: Complexity and Integrated Resources Management. Osnabrueck. Germany [9] Notten, P., Petrie, J., 2003. An integrated approach to uncertainty assessment in LCA, International Workshop on LCI-Quality 2003. Karlsruhe. Germany [10] Clyde, M., George, E.I., 2004. Model Uncertainty. Statistical Science (19) No. 1. pp. 81-94 [11] Pehlken, A., Mueller, D.H.; Using information of the separation process of recycling scrap tires for process modelling, Resources, Conservation and Recycling (54) 2009; pp. 140-148; http://dx.doi.org/10.1016/ j.resconrec.2009.07.008 WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Study on coal recovery technology from waste fine Chinese coals by a vegetable oil agglomeration process Q. Wang, N. Kashiwagi, P. Apaer, Q. Chen, Y. Wang & T. Maezono Department of Environmental Science and Technology, Graduate School of Science and Engineering, Saitama University, Japan

Abstract Nowadays, coal production increases continuously due to an increase in mechanization in coal mining and demand in its related fields of application worldwide. Coal production in China is especially an increasing trend and a large amount of waste fine coal is produced. Waste fine coals usually contain large amounts of ash and inorganic sulfur due to non-selective coal mining of the coal. Therefore, waste fine coals are available as a resource and cause spontaneous combustion leading in turn to air pollution because of their coal contents and small particle sizes which increases the surface area liable to be wet and oxidized, and the disposal site of waste fine coals cause land occupation, soil pollution and water contamination. In this study, a vegetable oil agglomeration process was performed for coal recovery from Chongqing Nantong waste fine coals in China. The oil agglomeration process has been used to mineral oil of exhaustible resource. Therefore, in this study, several kinds of vegetable oils are selected as oil agglutinative agents because the vegetable oils which are renewable, available and less-pollutant energy resources. The effects of the parameters including particle sizes, agitation conditions, chemical structure and viscosity of vegetable oils were investigated based on the combustible matter recovery, ash reduction and efficiency index. It was concluded that particle sizes of waste fine coal, agitation rate and agitation time will influence on the recovery efficiency of combustible matter from its original waste coal by the colza oil agglomeration. Furthermore, a wide range of vegetable oil alteration grades including prepared waste vegetable oil samples and therefore, of oil properties, such as chemical WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100311

332 The Sustainable World structural changes and unsaturated carbonaceous functional groups by the oxidation processes in the used waste vegetable oils have to be achieved. Keywords: waste fine coal, vegetable oil, oil agglomeration, combustible matter recovery, China.

1 Introduction The primary energy consumption expands, because it is thought to be an increase in the future by improving the living standard in the world [1]. The recoverable coal reserves are estimated to be about 847.5 billion tons [2] and the prediction of reserve coal production is 133 years [2]. It is thought that coal will be an important energy source because it is excellent in the stability of supply and the economy, more than other fossil fuels, because there is no eccentrically-located source. However, a large amount of waste fine coal (< 500 m) is produced by mechanizing the coal preparation process and mining. Because of the pulverized coal with the small particle sizes in diameter, the handling of waste fine coals is difficult, which contained a lot of minerals and the calorific value is low [3, 4]. The utility value as an energy resource is scarce, thus the a lot waste fine coals have been discarding. However, combustible matter is still contained in waste fine coals, it discards risk of spontaneous combustion, additionally it causes air pollution, water contamination and land occupation. Waste fine coal of production, especially in China, has grown in quantity and this problem has become aggravated. Then, coal clean technology is needed in order that recovery of combustible matter from waste fine coals for reduction of environmental burdens and application of unused resources. There are dry processes and wet processes in clean coal technologies. For example, our previous attempts at air pollution abatement have involved the use of coal-biomass briquettes (BBs) (also called biobriquettes (Wang et al. [5])), which are prepared under high pressure from mixtures of low-rank coal (70–85 wt%), biomass (15–30 wt%), and a sulfur-fixing agent such as slaked lime molar ratio of calcium to total sulfur content of coal. Laboratory combustion experiments have shown that SO2 emissions are reduced by 75–95% during the combustion of BBs as compared with low-rank coal, owing to the following reactions of SO2 with Ca(OH)2 and CaO to form CaSO4 [6]. Beside of these methods, oil agglomeration in wet processes has been also found to be one approach of the effective methods for separating organic matter (coal) from mineral matter (ash). The oil agglomeration processes apply the different surface properties of combustible organic matter and mineral matter in raw coals to coal cleaning technique, separation of coal from mineral matter is achieved due to differences in the surface hydrophobic properties of the organic coal and inorganic ash contents of coal samples. The organic constituents are hydrophobic, while the mineral matter is generally hydrophilic. A suspension of finely ground coal in water is very fast agitated with a small amount of bridging oil. Intense agitation

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Figure 1:

333

Principle and concept of oil agglomeration for coal cleaning.

breaks the bridging oil into fine spherical droplets and allows the hydrophobic coal particles to form agglomerates of oil-coated particles bonded to other oilcoated particles, leaving the hydrophilic mineral particles behind in the water phase. The agglomerates of combustible organic matter can be separated by screening (figure 1) with a sieve from the mineral matter of original waste fine coal. In the past, mineral oil (kerosene) has used oil agglomeration, however, vegetable oils are selected as oil agglutinative agents in this study because the vegetable oils are renewable, available and a less-polluting energy resource. The main object of this work is to recover combustible matter more efficiency by a vegetable oil agglomeration, thus chemical structure and property of vegetable oil, agitation conditions and particle sizes of waste fine coal in China were investigated. The waste fine coal was agglomerated with the used vegetable oil such as colza oil samples heated at the certain frying temperature in the interval times within several days. Thus, a wide range of oil alteration grades and therefore, of oil properties, such as viscosity and unsaturated carbonaceous bonds by the oxidation processes in the used waste vegetable oils were investigated. Structural changes and unsaturated carbonaceous functional groups in the colza oils were monitored by a Fourier-transform infrared (FTIR) technology. Oil agglomeration efficiencies were evaluated by measuring the recovery of combustible matter, ash reduction and efficiency index.

2 Materials and experimental methods 2.1 Waste fine coal samples In this study, the samples of waste fine coals were selected and collected from Chongqing Nantong coal mining in the south-eastern China. Before our experiments, the coal samples were ground to pass through a 75 m sieve. The proximate and ultimate analyses of coal samples were measurement according to the Japanese industrial standard (JIS) method of JIS-M8812.

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334 The Sustainable World From proximate analysis and ultimate analysis of waste fine coal (<75 m), it is revealed that coal contained high ash and sulfur shown in table 1. We also found that there are very good relationship between ash and total sulfur content. Therefore, it is possible that ash and sulfur maybe separated together from this coal sample by the oil agglomeration process. Table 1:

Results of proximate analysis and ultimate analysis (particle sizes of waste coal: <75 m).

2.2 Experiment of oil agglomeration for coal cleaning Schematic diagram of a procedure of oil agglomeration is given in figure 2, and experimental conditions are shown in table 2. The oil agglomeration experiments were carried out in a 500 mL beaker. The products of the two simultaneous agglomeration experiments were poured into the beaker and mixed, followed by the separation of the agglomerates as clean coals. The agglomerates were filtered, dried overnight at the room temperature, washed with ethanol to extract the residual oil, dried at 50°C, and analyzed for ash content in each clean coal. As the results, the resultant agglomeration products were separated from the mineral matter (ash) in waste fine coals below 75 m. Actually, on the industrial application, we should say that the solvent washing step of the agglomerates would not be necessary and the coal/vegetable oil agglomerates could be used directly as fuel because of the less-pollutants in the waste vegetable oils. 2.3 Preparation of simulated waste vegetable oil samples With a point of view for effective utilization of waste vegetable oil, it was necessary to use waste vegetable oil in the experiment of oil agglomeration. Therefore, A prepared simulated waste vegetable oil of viscosity, chemical structures changed with the different conditions in heated-treated times. In the case of heated-treated oil, carbonyl compound and carboxylic acid degraded product of oil are advanced produce. These products are hydrophilic WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 2:

Figure 2:

335

Experimental conditions of oil agglomeration.

Schematic diagram agglomeration.

of

coal

cleaning

procedure

of

oil

behavior, as the result, there may be an adverse effect for efficiency of clean coal by of oil agglomeration, because these products are effective like cross-linker between combustible matter and ash contents. Therefore, for preparing the simulated waste vegetable oil, a commercial colza sample oil was poured into metallic pot about 1.0 L and heated at 180°C for 30 min day-1 by a gas moveable cooking stove during 7 days heating experiment period. These samples in different heated-treated days were used as the coal agglomerating agents in this work to check the availableness and capability of the waste vegetable oil agglomeration. The sample oil heated each day was cooled in the room temperature and restored till experiments of oil agglomeration.

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336 The Sustainable World 2.4 Identification for chemical structure of waste vegetable oil by a FT-IR In order to find changes in chemical structure of waste vegetable oil samples mentioned in section 2.3 based on the Fourier-transform infrared (FTIR) technology, the infrared spectra were recorded using a Model IR-6100 (JASCO Corporation, Japan) interfaced to a personal computer operating with Windowsbased Spectra manager (Version 2). A film of the oil sample was placed between two disks of NaCl. This study is used disk pathlength of NaCl cells of 0.1 mm. The spectra were recorded from 4000 to 400 cm-1, the number of scans being 256 at a resolution of 4 cm-1. The infrared absorption frequencies characteristic of functional groups for the chemical structural elucidation of waste vegetable oil and its original oil were especially observed from the frequencies of 900 to 2000 cm-1. 2.5 Viscosity measurement of simulated waste vegetable oil samples A viscometer (Model VT-04F, RION Co. Ltd., Japan) was used to measure the viscosity of the oils. In this procedure, a disk/spindle is submerged in the oil and the force which is necessary to overcome the resistance of the viscosity to the rotation is measured. The viscosity value (dPas) is automatically calculated on the basis of the speed and the geometry of the spindle. According to previous vegetable oil viscosity values which were determined basing on the Japanese industrial standard (JIS) method of JIS-Z8803, a spindle speed of 62.5 rpm was chosen in this work to carry out the measurements. 2.6 Evaluation of coal cleaning efficiencies by the waste vegetable oil agglomeration The efficiencies of coal cleaning were calculated by the percentages (wt%) of combustible matter recovery (CMR), ash reduction (AR) and efficiency index (EI) from ash content in clean coal [7]. These parameters can be calculated as the following equations (1)–(3).

CMR  100 

CMagglom( wt %)  wtagglom(g ) CMfeed ( wt %)  wtfeed (g )

(1)

 Ashagglom( wt %)  Ashagglom(g)  AR  100  1  CMfeed( wt %)  wtfeed(g)  

(2)

EI  CMR  AR

(3)

Where CM (combustible matter) is calculated as 100-(ash contents), agglom is the weight of agglomeration, feed is the weight of coal sample, and wt gives as the weight unit (g), respectively. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3 Results and discussions Before the evaluation of coal cleaning efficiencies by the waste vegetable oil agglomeration, we have obtained some results from basic experiments for the agglomeration condition decision of particle sizes, agitation rate and time. 3.1 Effect of waste coal sizes in oil agglomeration Figure 3 shows effect of waste coal sizes. As can be seen, CMR is increased with decreasing particle size of waste coal and EI is also shown the same tendency with CMR. These results have possibilities that a lot of coal particles presented in ash, or combustible matter. A high ash content waste coal is mixed and dispersed combustible and mineral matter containing in large coal particles, on the other hand, small coal particles are of combustible matter and less ash. As this reason, we have selected waste fine coal (<75 m) as the waste coal sample.

Figure 3:

Effect of particle sizes of waste coal on the oil agglomeration performance.

3.2 Effect of agitation rate in oil agglomeration Figure 4 shows effect of agitation rate. As can be seen, when the agitation rate accelerates, the increased agitation rate considered to enable more coal particles to stick to colza oil droplets due to increase in the possibility of contact between coal and colza oil. However, further increase in agitation rate to 2000 rpm, resulted in a decrease in ash reduction adversely affecting the selectivity. This may be due to the trap of mineral particles into the agglomerates as a consequence of excessive turbulence induced in the system [8, 9]. In addition, increase in 2500 rpm may be due to break of aggregates to contact an increase with the aggregates and stirring blade, because the increment of agitation rate may also increase the collision chances of granulated aggregates with each other. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

338 The Sustainable World 3.3 Effect of agitation time in oil agglomeration The impact on coal efficiency of agitation time is investigated. This result shown in figure 5. As can be seen, in the case increasing agitation time than one, CMR is slightly increased, AR is not shown a huge shift was observed.

Figure 4:

Effect of agitation rate on the performance of oil agglomeration process (agitation time: 5 min).

Figure 5:

Effect of agitation time on the performance of agglomeration process (agitation 5–25 min).

CMR was increased, because of between aggregate particles and coal to increase the agitation time, due to an increase in collisions between oil droplets and coal particles, which may be considered that stimulated the growth of particles [8, 9]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3.4 Viscosity investigation of simulated waste vegetable oil The tendency of coal cleaning efficiencies influenced by colza waste oil viscosity was investigated. The result is shown in figure 6. The viscosities of the different waste oil samples increased slightly with increasing the heated-treated time period because some of antioxidant was contained in the original commercial colza sample oil. The other authors reported that increment of heated time of waste vegetable oil could to extremely increase the oil viscosities [10] and there are correlations between oil agglomeration capability and the oil viscosity as well [11]. Therefore, the heated-treated time in this study may be shorter than other studies, in which we can consider that oxidation in the oil was not prompted so much. As the results, CMR, AR and EI as the coal cleaning efficiencies were not influenced and changed obviously in these experiments.

Figure 6:

Viscosity influence on the performance of agglomeration process (agitation rate: 2000 rpm, 5 min).

3.5 Changes in chemical structure of simulated waste vegetable oil samples based on FT-IR spectra The Fourier-transform infrared (FTIR) technology has been commonly used for the structural identification or qualitative determination of the fingerprint of organic compounds, because some groups of atoms display the specific characteristic vibrational absorption frequencies in this infrared region of the electromagnetic spectrum [12]. Spectra in the mid-infrared region have well resolved bands that can be assigned to functional groups of the components of the oil samples. The exact location of the corresponding bands depends on the influence of the rest of the molecule. The infrared absorption frequencies

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340 The Sustainable World Table 3:

Functional groups and modes of vibration in the FT-IR of oil samples.

Frequency (cm-1)

Functional group assignment

3008

1738

C-H stretching vibration of the cis-double bond (=CH) asymmetric and symmetric stretching vibration of the aliphatic CH2 group Ester carbonyl functional group of the triglycerides

1463

Bending vibrations of the CH2 and CH3 aliphatic groups

1235 and 1166

Stretching vibration of the C-O ester groups

723

Overlapping of the CH2 rocking vibration and the out-ofplane vibration of cis-disubstituted olefins

2928 and 2856

Figure 7:

FT-IR spectra of simulated waste vegetable oil samples.

characteristic of functional groups afford a useful and valuable tool for the chemical structural elucidation of waste vegetable oil was investigated by a FTIR. The analytical evaluation of the colza oil spectra is given table 3. Figure 7 shows spectra of oil samples stretching vibration of the C-O ester groups at 1166 cm-1. As can be seen the infrared absorbance of spectra was inconsiderably increased when sample oil was heated-treated. In this case, heated-treated temperature of 180°C, the heated oil is more oxidized than WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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original oil, the oxidation of sample oil was slightly undergoing evolution. The aggregating effect may be attenuated as agglomerating agent of vegetable oil, because of these products may have amphipathic property. However, CMR and AR of coal cleaning efficiencies did not change much effectively. However, the other author was reported that there are correlations between oil agglomeration capability and chemical structural of waste vegetable oil [10]. In this study, waste vegetable oil of experimental condition can be considered to be used as an aggregating agent of oil agglomeration for waste fine Chinese coal cleaning.

4 Conclusion In this study, effect of agitation rate, agitation time, oil property for clean coal efficiencies on the vegetable oil agglomeration to recover combustible matter more efficiently from waste fine coal was investigated. The agitation rate and agitation time were indicated to affect clean coal efficiency. These conditions needed optimization in order that efficiently oil agglomeration technology conducted. Investigation of efficiency of oil property was used that the oil preparation poured a commercial colza oil into metallic pot and heated sample oil at 180°C for 30 min day-1 by a gas moveable cooking stove during 7 days heating experiment period. The heated-treated time considered that oxidation was only slightly facilitated by the analysis of FT-IR in this study. The viscosity and chemical structural in waste sample oil did not show much effect about the CMR, AR and EI as well. This result can indicated that waste vegetable oil may be used as an aggregating agent for oil agglomeration, which just to pass the preprocess filtration of food residue. However, in fact, used waste oil on the industrial process is longer term, thus there are the future subjects, heated-treated time to vegetable oil is extended and a wide variety of oils are used on our further applicable experiments for waste fine Chinese coal cleaning.

Acknowledgement Some works of this study were supported by the Special Funds for Basic Researches (B) (No. 19404021, FY2007–FY2009 and No. 22404022, FY2010– 2012) of Grant-in-Aid for Scientific Research of the Japanese Ministry of Education, Culture, Sports, Science and Technology (MEXT), Japan.

References [1] World Energy Outlook 2007 - China’s Energy Prospects, ISBN: 978-92-6402730-5, IEA. [2] Agency for Natural Resources and Energy, annual report about energy 139144, 2009 (in Japanese).

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342 The Sustainable World [3] M. I. Alonso., A. F. Valdés., R. M. Martínez-Tarazona., A. B. Garcia., Coal recovery from fines cleaning wastes by agglomeration with colza oil: a contribution to the environment and energy preservation, Fuel Processing Technology, 75, 85-95, 2002. [4] Adolfo F. Valdés., Ana B. Garcia., On the utilization of waste vegetable oils (WVO) as agglomerants to recover coal from coal fines cleaning waste (CFCW), Fuel, 85, 607-614, 2006. [5] Q. Wang, G. Lu, K. Sakamoto, T. Maruyama, H. Kim, I. Naruse, S. Hatakeyama, T. Mizoguchi, R. Luo, M. Kamide, Studies on combustion and sulfur fixation characteristics of coal-biomass briquette. Earozoru Kenkyu (Journal of Aerosol Research) 15(4), 364-371, 2000. (in Japanese with English abstract). [6] Kimiko Yamada., Atsuyuki Sorimachi., Qingyue Wang., Jing Yi., Shuqun Cheng., Yanrong Zhou., Kazuhiko Sakamoto., Abatement of indoor air pollution achieved with coal–biomass household briquettes, Atmospheric Environment, 42, 7924-7930, 2008. [7] A. B. Garcia. M. Rosa Martínez-Tarazona., Jose M. G. Vega., Cleaning of Spanish high-rank coals by agglomeration with vegetable oils, Fuel, 75, 885-890, 1996. [8] A. Gurses., K. Doymuq., S. Bayrakceken., Selective oil agglomeration of brown coal: a systematic investigation of the design and process variables in the conditioning step, Fuel, 75(10), 1175-l 180, 1996. [9] E. Sahinoglu., T. Uslu., Amenability of Muzret bituminous coal to oil agglomeration, Energy Conversion and Management, 49, 3684-3690, 2008. [10] Adolfo F. Valdés., Ana B. Garcia., A study of the evolution of the physicochemical and structural characteristics of olive and sunflower oils after heating at frying temperatures, Food Chemistry, 98, 214-219, 2006. [11] Adolfo F. Valdés., M. Dolores Gonzalez-Azpiroz., Calros G. Blanco., Ana B. Garcia, Experiment prediction of the agglomeration capability of waste vegetable oils (WVO) in relation to the recovery of coal from coal fines cleaning wastes (CFCW), Fuel, 86, 1345-1350, 2007. [12] Maria D Guillen., Nerea Cabo., Infrared Spectroscopy in the Study of Edible Oils and Fats, J. Sci Food Agric, 75, 1-11, 1997.

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Liquefaction processes and characterization of liquefied products from waste woody materials in different acidic catalysts Q. Wang1, Q. Chen1, P. Apaer1, N. Kashiwagi1, H. Kurokawa1, K. Sugiyama2, X. Wang3 & X. Guo4 1

Department of Environmental Science and Technology, Graduate School of Science and Engineering, Saitama University, Japan 2 Hachinohe National College of Technology, Japan 3 Center for Environmental Science in Saitama, Japan 4 School of Environmental and Chemical Engineering, Shanghai University, China

Abstract The liquefaction process is one of the promising techniques for effective utilization of woody biomass, for the lignocelluloses can be converted to liquid reactive material, as eco-polymeric materials. Japanese cedar (Cryptomeria Japonica), as an abundant waste softwood material, was selected and used in our wood liquefaction experiment. In order to investigate the basic characteristics and potentially harmful metal contents, the composition and metal elements of waste woody samples had been determined, and based on the methods of Japanese Industrial Standard (JIS) and by an ICP-AES, separately. Then the waste woody samples were liquefied by a phenol wood liquefaction according to the orthogonal test L9 (34), in order to obtain relatively less residue by different reaction conditions. It is thought that sulfuric acid plays an important role in retarding the condensation reaction during the acid-catalyzed phenol liquefaction because of the dehydration, and it can be summarized that the most influential factors of the wood liquefaction conditions were obtained within the setting ranges on four factors and three levels by using the orthogonal tests. In the acidic catalyst comparison experiment, as a result, when using concentrated sulfuric acid as the strong acidic catalyst, the minimum of residual content had reached 9.71%. According to these experimental results, the new liquefied samples WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100321

344 The Sustainable World demonstrated the relationships between some characteristics of liquefied products from waste woody materials through analyses of Japanese phenolic resin industry testing series such as viscosity, nonvolatility and so on. The results showed that whether the viscosity or novolatility the greatest changed of the liquefied materials had taken place in reaction time during the 6 hours. In addition, in order to find some structural changes and to clarify the mechanism of respective products, the analysis by combined phenol and free phenol was carried out in our further studies. Keywords: waste woody materials, liquefaction, phenol, liquefied products, orthogonal test, viscosity, acidic catalysts.

1 Introduction In China and Japan it is estimated that more than a million tones of timber wastes is generated each year [1]. Construction woody wastes have become the major source of solid organic wastes [2]. Waste management is becoming more important against the alarming warning signals in industry and to people’s lives. Reuse and recycling to reduce the wastes are considered as the only methods to recover those wastes, such as timber waste. On the other hand, the polymeric material can be far more seriously damaging in the natural environment, because it is difficult to be degraded in a short period of its life time [3]. The technologies of liquefaction can convent biomass resources into eco-polymeric materials which can replace the pre-polymer which is made from oil resource [4], and solvent liquefaction is one of the effective methods as a solution to the problem [5]. The acid catalyst can degrade the woody components to small ingredients, and then these ingredients react with phenol to form a derivative and dissolve in the liquefaction solvent. Lin et al. used GG guaiacylglycerol-β-guaiacyl ether, as a lignin model compound, carried out the relevant research about liquefaction reaction mechanism of lignin compounds in the presence of sulfuric acidic catalyst [6, 7] and without catalysts [8, 9]. They had also attempted to clarify the reaction mechanism of cellulose with phenol under the acid-catalyzed conditions. It was found that the yield ratio of various compounds in the end reaction product is greatly dependent on the reaction conditions, i.e. phenol/cellobiose ratio, concentration of acidic catalyst, reaction temperature, and reaction time. Therefore, by controlling these reaction conditions, it is possible to adjust the structure and properties of the end liquefaction products [10]. Yamada et al. [11] reported that the acid catalyzed liquefaction of cellulose with polyhydric alcohols includes complicated reaction where cellulose is decomposed to glucose, the glucose transforms to 5-hydroxymethylfurfural. However, Ono et al. [12] reported a possible chemistry of phenol assisted liquefaction: cellulose is degraded to cello-oligosaccharides and glucose by sulfuric acidic catalyst, then its pyranose ring structure is subject to decomposition and then recombination of its decomposed fragments and phenols would occur in the process of phenol liquefaction. Zhang et al. [13] researched the liquefaction mechanism of cellulose in phenol. They indicated the pyranose that decomposed from cellulose WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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could combine with phenol to form a hydroxyl benzyl form derivative. Lee and Ohkata [14] indicated wood could be rapidly liquefied at the supercritical temperature. Under this condition, over 90% of wood was liquefied within 0.5 min, as the new liquefaction methods. In our study, we found that reaction time is the most important factor in the process of liquefaction according to the result of orthogonal tests, in spite of acidic catalysts used as another important factor. Especially, the extremely rapid and complex changes had taken place during the first 2 hours. A better understanding of liquefaction process and characterization of liquefied products should be informed through a series of experiments and analysis. In addition, the heavy metal elements such as Cr, Cu and Pb which sourced from chemical preservatives had been tested for the environmental impact assessment, because the liquefaction reaction carried out in strong acidic conditions.

2 Materials and methods 2.1 Materials and different acidic catalysts The Japanese cedar (Cryptomeria Japonica), as the waste woody materials of the thin woody materials and construction woody materials, had been collected from the campus of Saitama University and waste wood processing factories in Kanto region of Japan. The air-dried samples were milled in smashing equipment and retained at the size ranges of 10-100 mesh screens were used for the test. All the flour samples of woody materials were dehydrated in an oven at 107°C for 24 hours. The main different acidic catalysts such as H2SO4 (95%), H3PO4 (85%), phenol and other reagents were prepared with analytical grade reagents in accordance with the Japanese industrial standard (JIS) supplied by Wako Pure Chemicals, Co. Ltd., Japan. 2.2 Chemical composition of liquefied woody materials The composition analysis of liquefied woody material had divided into three parts. In the industry analysis, the test of ash which is the residue powder left after the combustion of wood is performed according to JIS-M8812. The moisture content of wood is determined by measuring the weight loss after drying the sample at 105°C in an oven. Moisture content is determined on a separate portion of the sample not used for the other analyses. Volatile matter is tested by heating the wood sample to 900°C under carefully controlled conditions and measuring the weight loss. The fixed-carbon contents in woody materials were determined by subtracting the percentages of moisture, volatile matter, and ash from each sample. The second part of analysis was elemental analysis which according to JIS-M8813 by the CHN coder (Model MT-5, Yanaco Co. Ltd., Japan). At the part of component quantitative analysis, wood extraction procedures in 1% NaOH extract most extraneous components, some lignin, and low molecular weight hemicelluloses and degraded cellulose. The solubility of woody material in EtOH/benzene (benzene is a known carcinogen; WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

346 The Sustainable World toluene can be substituted) in a 1:2 volume ratio will give a measure of the extractives content. The wood meal is refluxed 6 hours in a soxhlet flask, and the weight loss of the extracted, dried woody material is measured. Holocellulose is the total polysaccharide (cellulose and hemicelluloses) contents of woody material, and methods for its determination seek to remove all of the lignin from woody material without disturbing the carbohydrates. Alpha cellulose is obtained after treatment of the holocellulose with 17.5% NaOH. Cross and bevan cellulose consists largely of pure cellulose, but also contains some hemicelluloses. It was obtained by chlorination of wood meal, followed by washing with 3% SO2 and 2% Sodium Sulfite. The lignin contents of waste woody materials presented in the tables are Klason lignin, the residue remaining after solubilizing the carbohydrate with strong mineral acid. The usual procedure was to treat a shorter method treats the sample with 72% H2SO4 at 30°C for one hour, followed by an hour at 120°C in 3% H2SO4. The analytical results of the waste woody materials used in our experiments were summarized in table 1 and table 2. Table 1:

Industrial and elemental analysis (wt. %) of waste woody materials.

Analysis of waste woody materials Ash VM M FC 0.6 79.1 7.7 12.6

C 48.9

Elements analysis H N 6.1 0.4

O 44.6

VM: Volatile Matter, M: Moisture, FC: Fixed Carbon.

Table 2:

Composition analysis (wt. %) of waste woody materials. Composition analysis

Carbohydrate Solubility a

Holocellulose a Cross and Bevan Cellulose b Alpha Cellulose c Klason Lignin 1%NaOH EtOH/Benzene

Liquefied woody materials 55 43 29 27 12.81 3.25

Holocellulose is the total carbohydrate content of waste woody materials. Cross and Bevan Cellulose is largely pure cellulose but contains some hemicelluloses. c Alpha Cellulose is nearly pure cellulose. b

2.3 Heavy metal analysis in thin and construction woody materials by an ICP-AES The heavy metals such as Cr, Cu, and Pb which are sourced from wood material had been tested, because the liquefaction reaction is carried out in strong acidic conditions. The inductively coupled plasma atomic emission spectroscopy (ICPAES Optima 5300 DV, Perkin Elmer Co., Ltd., Japan) analysis had been using as the analysis project, the two kinds of woody material were digested with concentrated HNO3 (3ml) and HF (3ml), then the solutions were heated to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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dryness on an aluminum heating block at 100°C. After 1h adding HNO3 (10ml) and HF (2ml), these extract solutions were left overnight on a heating block, and the temperature raised slowly to 200°C and heated to dryness. The residue in the tubes was then leached with 0.1N of HNO3, and made-up to final volumes of 50 ml sample to analysis the heavy metal ions. 2.4 The orthogonal test L9 (34) using in the liquefaction of woody materials An orthogonal test L9 (34) design was used for optimization the extraction conditions of liquefaction of waste woody materials in the present sulfuric acidic catalysts. In this study, the setting conditions were carried out at reaction temperatures of 140°C, 150°C and 160°C, the ratio of phenol and air-dried waste woody materials were 1:3.0, 1:3.5 and 1:4.0, extraction time 1.5, 2, 2.5 and additive weight of catalysts 6, 8 and 10 (wt.% of solvent) respectively on the basis of the single-factor test. Table 3 shows the experimental conditions for the extraction of liquefaction. It is according to the other experimental conditions which are usually used in the wood liquefaction experimental. We considered that high temperature will affect the volatile of phenol, and the lower temperature will affect the speed of experimental liquefaction. Other experimental factor will follow interrelated factor such as selected liquefaction temperature. In this orthogonal test, we hope to found out the better factors in these factors and the optimal conditions in setting conditions. Table 3:

Experiment factors and levels for orthogonal test.

Variable A: Extraction temperature (°C) B: Extraction time (hour) C: Ratio of phenol and air-dry wood D: Additive weight of catalysts (wt %)

Level 1 140 1.5 1:3.0 6

Level 2 150 2.0 1:3.5 8

Level 3 160 2.5 1:4.0 10

2.5 Characteristics of phenol liquefaction of woody materials 2.5.1 Comparison experimental of different acidic catalysts Experimental liquefaction of waste woody materials were carried out by varying the weight charge ratio of wood to phenol with 1/4 and the reaction temperature at 150°C by oil bath. Into a 500ml three necked flask equipped with stirrer. In addition, the same weight ratio of wood/phenol/H2SO4, HCl and H3PO4 were used in the comparison experimental. The content was heated in 2 hours. Otherwise, the characteristics of produce research experimental was liquefied for 6 hours with two kinds of acidic catalysts; we tested the residues, viscosity, nonvolatility, combined phenol and free phenol at every hour to evaluate the correlation. 2.5.2 Measurement of liquefaction residue The liquefied woody material was weighted and diluted with methanol, and Whatman filter paper was used to collect the liquefied residue. The liquefied WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

348 The Sustainable World residue was dried in a heating oven at 105°C in 24 hours and calculated the residues by equation (1). Liquefied residue (wt %) = (Residue /Raw material) ×100%

(1)

2.5.3 Viscosity measurement of liquefied waste woody materials The viscosity of liquefied woody materials was measured with a Viscometer (Model VT-04F, RION Co. Ltd., Japan) by each hour within 6 hours in 300ml standard beaker at 25±3°C. The viscosity is measured using a special mechanism to obtain direct readings in decipascal-seconds (dPa.s) (accuracy: within ±10% of meter indication, rotating velocity of the rotor: 62.5rpm). 2.5.4 Nonvolatility in the liquefied waste woody materials About (1.5-3.0)±0.5g of liquefied waste woody materials were weighted and dried using a oven at 180±1°C by 1 hour according to JIS-K6910 to remove the un-reacted phenol and nonvolatility in the liquefied waste woody materials can be calculated by the following equation (2). Nonvolatility (wt %) = (Residue after oven-dry /The sample)×100%

(2)

2.5.5 Combined phenol and free phenol in the liquefied woody materials The combined phenol and free phenol were used to show the phenol existing in the liquefied waste woody materials that were combined with wood components or free in the system [5], respectively. Both the combined and free phenol was calculated from the nonvolatile content in the liquefied wood. The combined phenol was calculated by subtracting the content of wood used in the liquefaction system from the nonvolatile content after liquefaction. The free phenol (unbound phenol) was calculated by subtracting the content of combined phenol from the content of phenol used in the initial liquefaction system. The combined phenol and free phenol can be expressed as the following equation (3) and equation (4), respectively. Combined phenol (wt %) = [Nonvolatility – w/ (w+p+c) ] ×100% Free phenol (wt %) = [p/ (w+p+c) –Combined phenol] ×100%

(3) (4)

Here, w: weight of woody material, p: phenol weight, and c: catalyst weight.

3 Results and discussions 3.1 Comparison of heavy metal analysis between thin woody material and construction woody material (Liquefied woody materials) Analytical results of the heavy metal concentrations in the thin woody materials and construction woody materials are showed in figure 1 by ICP-AES analysis. It shows that the arithmetic means of Co, Cr, Cu, Ni and Pb are 0.02, 0.04, 0.14, 0.04 and 0.09 mg g−1 of sample, respectively, both of woody material have the nearly concentrations of these heavy metals. These metals are a cause of environmental pollution, meanwhile, an amount of concentrated acidic catalyst WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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was used in the liquefaction process, the reaction between the catalyst and heavy metals, which may come from wood preservatives, was considered in the liquefaction system. Klok and de Roos [15] showed that heavy metal contamination can induce two major effects on the ecosystem level: (a) accumulation of e.g. Cr can lead to risks of secondary poisoning, while (b) organism disappears even at low levels of Cu in soil. The conditions would occurred if the product of liquefied woody materials should been landfilled in soil. In order to further understand the state of these metals after liquefaction, ion-exchange test will be carrying out to find whether there harmful ions (Pb2+, Cd2+ and Ni2+) would be produced.

Metal elements

Figure 1:

Some metal elements in thin and construction woody materials.

3.2 Influential factors of liquefaction examined by the orthogonal tests In our study, all the influential factors were examined using an orthogonal L9 (34) test design. The total evaluation indexes were used to analysis by the statistical method. The results of orthogonal test and extreme difference analysis were presented in table 4. The liquefied residue from each test in the liquefied products was weighted. As shown in table 4, we can find that the influence to the mean liquefied residue of the compounds decreases in the order: B (extraction time) > A (extraction temperature) > C (ratio of phenol and wood) > D (catalyst weight) according to compare the R values. The extraction time was found to be the most important factor of the yield. In other words, the minimum residue of the liquefied products can be obtained when extraction time, extraction temperature, ratio of phenol and wood, catalyst weight were 2 hour, 150°C, 1:4 and 8%, respectively. However, we cannot get the best extraction conditions only based on these out comes in table 4. Although it can be summarized that extraction time are the most influential factors within the wood liquefaction conditions within the setting ranges on four factors and three levels by using the orthogonal tests. The tangible results provided us with the correct catalyst using in the orthogonal tests, and it should be in the comparison some characteristics of the products in the further experiments. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

350 The Sustainable World Table 4: Sample No.

a b

1 2 3 4 5 6 7 8 9 K1 K2 K3 R

The scheme and analytical values of L9 (34) orthogonal test. A: extraction temperature (°C)

B:extraction time (hr)

C: ratio of phenol and wood

D: catalyst weight (wt.%)

Liquefied residue (wt.%)

140 140 140 150 150 150 160 160 160 38.59 a 37.31 29.62 8.97 b

1.5 2.0 2.5 1.5 2.0 2.5 1.5 2.0 2.5 41.04 31.90 32.58 9.14

1:3.0 1:3.5 1:4.0 1:3.5 1:4.0 1:3.0 1:4.0 1:3.0 1:3.5 39.19 35.59 30.74 8.45

6 8 10 10 6 8 8 10 6 39.17 31.93 34.42 7.24

17.49 10.83 10.27 14.28 11.20 11.83 9.27 9.87 10.48

Kin =∑n i (n=A, B, C, D; i= Level 1, 2, 3) in dashed line. R=max﹛Kin﹜- min﹛Kin﹜(i=1, 2, 3).

3.3 Comparison some characteristics of phenol liquefaction of wood We have chosen three kinds of catalyst in the liquefaction experiments to determine the difference of liquefaction process. In figure 2 which can found that through the use of a concentration of 95% sulfuric acid, the reaction use 10% of the total weight of the reactants, the residual substance at least to 9.71 percent.

Figure 2:

Results of different concentrations of the different acidic catalysts in the liquefaction experiments.

Liquefaction catalyst with hydrochloric acid, the residue rate had increased with the amount of catalyst is decreasing. However, due to hydrochloric acid is highly volatile and the liquefaction test was carried out under atmospheric pressure, hydrochloric acid at high temperature under the action of hydrogen chloride gas in the form of evaporation [16]. The product residue rate of 40% is WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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relatively higher than phosphoric acid and sulfuric acid. When using phosphoric acid as catalyst, the results showed that at the same temperature conditions, the use of phosphoric acidic catalyst on the liquefaction of wood there was significant effects of residue increased with the increase in the amount of catalyst decreases. However, when the catalyst dosage is greater than 7%, then the extent of catalytic has declined. 3.4 Characteristics of phenol liquefaction of woody materials with two different acidic catalysts In order to understand the characteristics of produce in different catalysts, we taken liquefaction experiment for 6 hours with two kinds of catalysts, we tested the residue, viscosity, nonvolatility, combined phenol and free phenol at every hour to evaluate the correlation. The results are shown in table 4, figure 3 and figure 4. Figure 3 shows the properties of phenol liquefied Japanese cedar. The liquefied wood that used H2SO4 as an acidic catalyst had the unliquefied wood residue lower than that used H3PO4 as an acidic catalyst. This result indicated Japanese cedar liquefied with H2SO4 as a catalyst had a better liquefaction reaction than H3PO4. Nevertheless the former had viscosity (950-1000 dPa.s) higher than the latter (90-100 dPa.s) in table 4. Table 5:

Viscosity of liquefied products that used H2SO4 and H3PO4 catalysts in 6 hours.

Time (hour)

1

2

3

4

5

Viscosity of produce in 20135250440600a 23 140 260 460 650 H2SO4 (dPa.s) Viscosity of produce in 8-9 23-25 35-37 60-65 85-90 H3PO4 b (dPa.s) a The weight ratio of phenol/wood/ H2SO4 used for liquefaction was 4/1/0.08. b The weight ratio of phenol/wood/ H3PO4 used for liquefaction was 4/1/0.19.

Figure 3:

6 9501000 90-100

Relationship between liquefaction residues and nonvolatility in liquefied products that used H2SO4 and H3PO4 in 6 hours (wt.%).

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Figure 4:

Calculate values of combined phenol and free phenol that used H2SO4 and H3PO4 in 6 hours (wt.%).

The value would be nearly 10 times higher which had showed that the reaction time in 6 hours. The large amount of H3PO4 catalyst had been used in the experimental liquefaction shown in figure 3. From these results, we can also find that the greatest changes in the viscosity of liquefied products had taken place in reaction time during the 6 hours which used H2SO4. However, it has small changes in the viscosity of liquefied products using H3PO4 as the acidic catalyst. During the first 3 hours, the effect of the acidic catalyst is not very clear in H3PO4 which could be understood from the results given in figure 3. After liquefaction, the nonvolatile contents in the liquefied products were 85.11% for that used H2SO4 in the six hour and 57.34% that used H3PO4. These higher values of nonvolatility might be caused by some of the phenol that would combine with the wood component to form some derivatives [5]. From our experiments, we can also summarize the nonvolatility value has increased with time for H3PO4, increase with time when used H2SO4 as a catalyst. However, we have not calculated the values of combined phenol and free phenol at the first hour for H3PO4, because it also remains many residues after liquefaction which may be unliquefied woody material in the original samples. Zhang et al. [13] indicated the cellulose would be degraded to oligosaccharide and glucose in phenol with an acidic catalyst under the high temperature. The pyranose ring would decompose further and combine with phenol to form their derivatives. The derivatives formed had the hydroxyl benzyl group but not the phenoxyl-form. Because the phenolic functional group that kept in the derivatives had the similar reactivity as phenol. In our study, the combined phenol with H2SO4 is better than used H3PO4, because the more free phenol will be residues in the liquefied products after liquefaction.

4 Conclusion We investigated the heavy metal concentrations in the thin woody materials and construction woody materials. The analytical results have shown us that it had WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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some heavy metals contained in wood such as Co, Cr, Cu, Ni and Pb. The possible resources of these metals may come from preservatives, paint or other chemicals which were used in wood processing. Meanwhile, now a common way of waste disposal is landfill, so it is necessary to be considered that the concentrations of heavy metals would take the reaction with the various catalysts, and the concentrations should be determined before liquefaction. Otherwise, as the new material products, the standard amounts of metals contained should be established before use in order to avoid the soil contamination when it would be landfill in the soil. The results of orthogonal test tell us that the maximum impact factors can be obtained in the setting range value on four factors and three levels. Thus, it is concluded that if we want to find the maximum or minimum environmental impact factors in liquefaction process by the orthogonal test. However, in this study, we cannot get the best extraction conditions by the orthogonal test, because some other impact factors such as stirring speed will also affect the results. Therefore, we cannot recommend that in order to seek the best conditions by only orthogonal test. On other words, the minimum residual value in liquefied products is what we want, and the orthogonal test can help us to demand and choose better factors in less experiments. The effect of sulfuric acid as the acidic catalyst is obviously better than phosphoric acid, which could be known by some properties of viscosity, nonvolatility, combined phenol and free phenol. This may be due to the role of sulfuric acid is a strong acid, but we need to analyze the performance of the liquefied products in our further studies. In other words, we cannot say this kind of acidic catalysts is most suitable for the liquefaction of woody materials, the performance of their products will also decide the catalyst.

Acknowledgements Some works of this study were supported by the Fund of the FY2009 Research Project of Innovative Research Organization, Saitama University, Japan. The authors also acknowledge Japanese Ministry of Education, Culture, Sports, Science and Technology (MEXT) of Japan for providing the Special Funds for Basic Researches (B) (No. 19404021, FY2007~FY2009 and No. 22404022, FY2010~2012) of Grant-in-Aid for Scientific Research.

References [1] R. S. Lu et al., A Vital Way of Saving Wood: Utilization of China Urban Waste Wood, Wood industry, Vol, 20, 2006 (in Chinese). [2] Wang Q. et al., Study on char-biomass briquette of pyrolyzed materials from industrial organic wastes, Proceedings of International Conference of Renewable Energy 2006, P-B-25, 1135-1140, 2006. [3] C. Yoshida et al., Preparation of carbon fibers from biomass-based phenol formaldehyde resin, Journal of materials science, 40, 335-339, 2005.

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354 The Sustainable World [4] F. Behrendt et al., Direct liquefaction of biomass, Chem. Eng. Technol. 31, 667–677, 2008. [5] W.J. Lee et al., Novolak PF resins prepared from phenol liquefied Cryptomeria japonica and used in manufacturing moldings, Bioresource Technology, 99, 7247–7254, 2008. [6] L.Z. Lin et al., Liquefaction mechanism of [beta]-O-4 lignin model compound in the presence of phenol under acid catalysis. Part 1. Identification of the reaction products, Holzforschung, 55, 617–624, 2001a. [7] L.Z. Lin et al., Liquefaction mechanism of [beta]-O-4 lignin model compound in the presence of phenol under acid catalysis. Part 2. reaction behaviour and pathway, Holzforschung, 55, 625–630, 2001b. [8] L.Z. Lin et al., Liquefaction mechanism of lignin in the presence of phenol at elevated temperature without catalysts. I. structural characterization of the reaction products, Holzforschung, 51, 316–324, 1997a. [9] L.Z. Lin et al., Liquefaction mechanism of lignin in the presence of phenol at elevated temperature without catalysts. II. Reaction pathway, Holzforschung, 51, 325–332, 1997b. [10] L.Z. Lin et al., Liquefaction mechanism of cellulose in the presence of phenol under acid catalysis, Carbohydrate Polymers, 57, 123–129, 2004. [11] T. Yamada et al., Characterization of the products resulting from ethylene glycol liquefaction of cellulose, J Wood Sci, 47, (6), 458–464, 2001. [12] H. Ono et al., Dissolving Behavior and Fate of Cellulose in Phenol Liquefaction, Trans. Mat. Res. Soc.Japan, 26, (3), 807–812, 2001. [13] Y.C. Zhang et al., Characterization of liquefied product from cellulose with phenol in the presence of sulfuric acid, Bioresource Technology, 97, 313– 321, 2006. [14] Lee, S.H., Ohkata, T., Rapid wood liquefaction by supercritical phenol, Wood Sci. Technol. 37, 29–38, 2003. [15] Klok, C. and de Roos, A.M., Population level consequences of toxicological influences on individual growth and reproduction in Lumbricus rubellus (Lumbricidae, Oligochaeta), Ecotoxicology and Environmental Safety 33, pp. 118–127, 1996. [16] M.H. Alma et al., some characterizations of hydrochloride acid catalyzed phenolated wood-based materials, Mokusai Gakkaishi, 41(8): 741-748, 1995a.

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Comparative technology assessment of anaerobic digestion of organic fraction of MSW A. Cesaro, V. Belgiorno & V. Naddeo Sanitary Environmental Engineering Division (SEED), Department of Civil Engineering, University of Salerno via Ponte Don Melillo, Fisciano (SA), Italy

Abstract Anaerobic digestion is the biological degradation process of organic matter under anoxic conditions, with production of methane and inorganic by-products, including carbon dioxide. Over the past years, many studies on anaerobic digestion of the organic fraction of municipal solid waste (OFMSW) have been carried out at laboratory, bench and pilot scale. This work aims to summarize the main features of the OFMSW anaerobic digestion techniques and to define the state of art of this process in Europe, at both research and industrial level. To this end, main experimental results, design solutions and technologies are compared, also in relation to capital and operating costs and data about full scale experiences are reported. Among the different aspects discussed, particular interest has been provided to pretreatment possibilities in relation to substrate biodegradability and biogas production rate. The data collected and examined in this paper stress the aspects to be improved, in order to define future perspectives of the anaerobic process application for OFMSW treatment. Keywords: anaerobic digestion, organic fraction of municipal solid waste, pretreatment.

1 Introduction The need to avoid direct landfilling of biodegradable residues is shared by the whole technical community. In the European Union this statement has been recognized since the promulgation of the Council Directive 1999/31/EC on waste landfilling which, as part of the measures undertaken to improve the sustainability of waste management, forced member states to reduce the amount WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100331

356 The Sustainable World of biodegradable fractions contained in municipal solid waste (MSW) destined to sanitary landfill [1]. Coherently with the above mentioned concept, biological treatments are the main alternative for the organic fraction of municipal solid waste (OFMSW) [2]. Anaerobic digestion, defined as the biological degradation process of organic matter under anoxic conditions, could be a suitable choice for the biodegradable fraction of urban solid waste. The interest in this treatment is mainly due to the production of methane, which can be used as a renewable energy source in front of aerobic stabilization that requires energy consumption. The utilization of methane gas as a renewable energy from the biomass anaerobic digestion can be used to obtain certified emission reduction (CER) credits by clean development mechanism (CDM) under the Kyoto Protocol [3]. Over the past years, many studies on anaerobic digestion of OFMSW have been carried out at laboratory, bench and pilot scale. The organic wastes used in previous studies include: market waste [4], fruit and vegetable waste [5], kitchen waste [6], biowaste [7] mechanically sorted [8] and source sorted [9] organic fraction of municipal solid waste. Factors influencing the process stability and efficiency have also been investigated. This work aims to summarize the main features of the OFMSW anaerobic digestion techniques and to define the state of art of this process in Europe, at both research and industrial level. To this end, main experimental results, design solutions and technologies are compared, also in relation to capital and operating costs and data about full scale experiences are reported. Among the different aspects discussed, particular interest has been provided to pretreatment possibilities in relation to substrate biodegradability and biogas production rate. The data collected and examined in this paper stress the aspects to be improved, in order to define future perspectives of the anaerobic process application for OFMSW treatment.

2 Pretreatment to anaerobic digestion Pretreatment is a fundamental step, useful to improve anaerobic digestion yields, operating on the substrate characteristics. Literature data reports experiences dealing with chemical, biological and physical processes (Table 1) that are intended to increase the efficiency of the hydrolysis, which is recognized as the rate limiting step in anaerobic digestion processes [10]. Table 1: Kind of pretreatment Chemical Physical Biological

Pretreatments to anaerobic digestion. Objective Improve biodegradability of complex organic matter

Mechanism Oxidative processes Thermal/Mechanical processes Enzymatic processes

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Even though a large number of pretreatments have been investigated, there are very few reports in literature dealing with the possible treatment of the OFMSW prior to anaerobic digestion. The main chemical processes are the oxidation with wet air and the ozonation, but there are studies dealing with peroxidation methods prior to biosolid anaerobic digestion [11]. Fox and Noike [12] studied wet oxidation for the increase in anaerobic biodegradability of newspaper waste: they found the highest methane conversion efficiency for newspaper pretreated at 190°C, with anaerobic cellulose removals ranging between 74 and 88%. In the last years, the use of ozone in chemical pretreatment is gaining great interest in the scientific community, not only by removing recalcitrant and toxic compound but also by increasing the biodegradability of waste [10, 13]. Many authors also reported the anaerobic digestion enhance after an alkaline pretreatment. López Torres and Espinosa Llórens [10] demonstrated the increased OFMSW anaerobic digestion efficiency after an alkaline pre-treatment with Ca(OH)2. Since hydrolysis is carried out by extracellular enzymes, some authors investigated the addition of hydrolytic enzymes as a pretreatment to increase the yield and the rate of particulate matter solubilisation during anaerobic digestion. Valladão et al. [14] studied enzymatic pretreatment effects on poultry slaughterhouse effluent anaerobic treatment and he pointed out the enhance of raw effluent anaerobic treatment efficiency when a 0,1% concentration of enzymatic pool was used in the pre-hydrolysis stage with 1.200 mg/L oil and grease. Among the physical pretreatments, both mechanical and thermal ones have to be listed. Besides shredding and pulping, which are usually applied to solid waste in order to reduce their particle size, mechanical pretreatment include the use of high pressure gradients to rupture cell walls, but they have been investigated only in relation to sludge, as well as heat treatments [15]. Often thermal pretreatments are combined with alkaline ones. Carrère et al. [16] compared thermal and thermo-chemical treatments prior to pig manure anaerobic digestion. More recent techniques use ultrasound (US) process to pretreat organic matter to be digested [17]. Chen et al. [18] investigated ultrasound process effects on hydrolysis and acidogenesis of solid organic wastes, founding out improved performances.

3 Anaerobic digestion technologies In relation to the total solid (TS) content fed to the digester, anaerobic digestion (AD) technologies are divided in: – wet digestion, when the TS < 10%; – dry digestion, if the TS > 25% – semi-dry digestion, if the TS content ranges between 10 and 25% [19]. More than 87% of the digestion capacity is provided by single-phase digesters, which can use wet or dry technologies. A slight increase of wet WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

358 The Sustainable World systems was observed as a number of large-scale wet plants were put into operation in Netherland and Spain in 2003 and 2004, while more dry fermentation plants were constructed in 2005. In 2006, De Baere [20] found that dry anaerobic fermentation provides 56% capacity while wet fermentation is used in 44% of the total installed capacity, but according to Schievano et al. [21], the wet processes are currently the most spread. The list of AD processes and suppliers is highly variable as a result of acquisition, merges and technology advances: the main ones are listed in Table 2. Table 2:

Main AD technology suppliers [22].

Supplier

Process

Technology

Arrow Ecology BTA International GmbH Citec Ros Roca International Organic Waste Systems Haase Farmatic Biotech Energy AG Valorga International Kompogas Strabag (formerly Linde) Entec Wehlre-Werk AG Global Renewables Ltd

Arrow Bio

wet

Capacity range [t/y] 90.000 - 180.000

BTA

wet

1.000 - 150.000

Waasa Biostab Dranco MBT Schwarting Uhde Valorga Kompogas Linde KCA/BRV Entec Biopercolat ISKA

wet wet dry wet

3.000 - 230.000 10.000 - 150.000 3.000 - 120.000 50.000 - 200.000

wet

18.000 - 200.000

dry dry

10.000 - 497.600 5.000 - 100.000

wet/dry

6.000 - 150.000

wet dry dry

40.000 - 150.000 100.000 88.000 - 165.000

In the following paragraphs, data about some of these technologies are given and compared. 3.1 Wet digestion Wet system appears attractive because of its similarity to the consolidate technology in use for the anaerobic stabilization of sewage sludge coming from wastewater treatment. The operational simplicity is the main reason why this technology is adopted in the majority of plants with capacity lower than 100.000 t/y [22]. In wet system the organic solid waste is diluted to less than 10% TS, adding water or recirculating part of the digester effluent. Consequently, CSTR (continuously stirred tank reactor) digesters are mostly used in these applications [19, 23]. Wet processes usually work with low organic loading rate (OLR), ranging between 2 and 4 kgVS/m3d. Currently, it is still unclear what is the phenomenon WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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that limits the possibility of applying higher organic loads in wet processes. One possible explanation is the concentration of active biomass in the reactor, which could be not high enough. According to other studies, the reason is the nutrient mass transfer rate or the accumulation of inhibitory substances such as ammonia or short-chain volatile fatty acids. Anyway, possible problems could be easily solved adding water in order to improve dilution. Table 3 summarizes the typical values of the main single-stage wet anaerobic process parameters. Table 3:

Design parameters and process yields of an AD wet system. Parameter Total Solid (TS) content [%] Organic Loading Rate [kgVS/m3d] Hydraulic Retention Time [d] Process yields Biogas production [m3/t waste] Specific biogas production [m3/ kg SV] Biogas production rate [m3/ m3d] Methane content [%] Volatile solid (VS) reduction rate [%]

Value < 10, until 15 2 - 4, until 6 10 - 15, until 30 100-150 0,4-0,5 5-6 50-70 50-60, until 75

Waasa process is implemented in several Finnish plants [23], with operative capacity ranging from 3.000-85.000 t/y. A pulper with three vertical auger mixers is used to shred, homogenize and dilute the wastes in sequential batches. The obtained slurry is then digested in large complete mixed reactors where the solids are kept in suspension by vertical impellers. Gas production ranges between 170 and 320 Nm3CH4/tVS-fed and reduction of the volatile solid (VS) feed varies between 40-75% [24]. Wabio technology was supplied in Berlin plant, which treats source sorted wastes with 18-25% TS then diluted till 10-15% TS. The reactor works in mesophilic conditions, with an OLR ranging between 3 and 7 kgTVS/m3d and a hydraulic retention time (HRT) of 15-17 days. The biogas production ranges between 100-150 m3/t, with methane (CH4) content varying between 50 and 70%. Another system quite common in Europe is the Bio-Stab one that was developed from ATU Ingenieurgesellschft für Abfalltechnik und Umweltschutz. This process is a wet digestion technology which makes possible the separation of impurities before the biological treatment by means of mechanical separation without hand-sorting. Due to the very effective separation of the impurities, the digestate has high-quality and is characterized by a low salt and a high organic content. The biogas produced by the digestion is energetically used for the operation of the digestion plant [25]. The BTA process is applicable both in one stage and two stage AD systems. Pilot and industrial scale experiences demonstrate that BTA process can treat waste with different characteristics, with a moisture content varying between

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360 The Sustainable World 60% and 90-98%, and a biodegradable matter content ranging between 2% and 50% [26]. In the United Kingdom, one of the established technologies is provided by Monsal company that exclusively uses wet AD processes. For MSW treatment their process requires a pre-sorting stage to separate the organic fraction from the bulk of the non-organic materials. Monsal have delivered over 220 anaerobic digestion systems in the last 14 years, supplying digestion technologies to plants ranging from 2.000 to 88.000 m3 capacity [27]. The company also provides advanced anaerobic digestion systems, which include biological hydrolysis. Bungay [28] discussed three variants of advanced anaerobic digestion using biological hydrolysis and points out its sustainability benefits when compared with more energy intensive thermal hydrolysis processes. 3.2 Dry digestion During the 80's research demonstrated that biogas yield and production rate were higher in systems where the wastes were kept without diluted water, in their original solid state [29]. In dry systems, the fermenting mass within the reactor is characterised by solids content in the range 20-40%TS: therefore, only dry substrates with TS > 50% need to be diluted. The most applied technologies for dry process are Dranco, Valorga and Kompogas, all working in the range 30-40% of TS in the reactor feeding [30]. In Dranco process, the mixing occurs via recirculation of the waste extracted at the bottom, mixed with fresh wastes (one part fresh wastes for six parts digested wastes) and pumped to the top of the reactor. This simple design is suitable for the treatment of waste ranging from 20 to 50% TS [23, 31]. Table 4 reports operational parameters and yields of Salzburg (Austria) and Brecht (Belgium) plants implementing Dranco process. Table 4:

Operational parameters and yield of Salzburg (Austria) and Brecht (Belgium) plants.

Parameter Capacity [t/y] Total Solid content [%TS] Temperature [°C] Organic Loading Rate [kgVS/m3d] Specific Gas Production [m3/kgVS] Gas Production Rate [m3/m3d] Volatile Solid removal [%sv]

Salzburg (Austria) 20.000 31 55 10 0.36 4 29

Brecht (Belgium) 20.049 40 55 14.9 0.25-0.30 9.2 23

Kompogas process works similarly to the Dranco one, but the plug flow takes place horizontally, in cylindrical reactors. The horizontal plug flow is aided by slowly-rotating impellers inside the reactors, which also serve for homogenization, degassing, and resuspension of heavier particles. This system WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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requires careful adjustment of the solid content around 23% TS inside the reactor. At lower values, heavy particles such as sand and glass tend to sink and accumulate inside the reactor while higher TS values cause excessive resistance to the flow [23, 31]. The digestion plant in Braunschweig-Watenbuttel (Germany), implementing Kompogas process, treats 20.000 t/y of source sorted organic waste. Process yield in terms of biogas production is 80-140 m3 with 60% of CH4 per ton of biomass fed while the volatile solid reduction content ranges between 47-52% [32]. The biogas plant in Roppen, Tyrol (Austria) was designed to process 10.000 t/y of catering waste (mostly in the touristic peak time, in winter and summer) and kitchen and garden waste from households with the Kompogas technology. After pretreatment, the waste is fermented in a tube-digester, without the addition of water, at thermophilic temperature (45-60°C). The fermentation end product is separated into a solid and a liquid phase. The former is further stabilized aerobically; the latter is used for moisturising during the aerobic stabilization process of additional organic wastes or optionally used as liquid fertilizer [33]. In Switzerland, Kompogas technology is the most implemented for the anaerobic treatment of organic waste. For some of the oldest plants, operation data are given [34], together with biogas production yields. Table 5 reports the available information and shows that Volketswil plant is overloaded, since the estimated organic loading rate is 17 kg organic material/ m3 d. Table 5:

Kompogas anaerobic digestion plants in Switzerland [34].

Location Bachenbülach Otelfingen Samstagern Volketswil

Volume [m3] 812 (3) 780 (1) 512 (2) 290 (1)

Treated waste [t/y] 13.577 13.814 9.377 7.500

Gas yields [m3/y] 1.565.361 1.639.904 893.944 461.000

Energy [MWh/y] 9.079 9.511 5.185 2.674

Today, Kompogas has developed a new generation of plants with annual treating capacity ranging from 4.000 to 20.000 t/y. Outside Switzerland, also larger plants have been built. The waste is delivered at ground level inside a hall and the reactor is heated by lignified fraction withheld by the sieve while working up the waste: this procedure increases the usable gas share. Besides Kompogas, Swiss industrial digestion plants operate with BRV-Linde and Valorga technologies. BRV-Linde system was implemented in 1994, in Baar anaerobic digestion plant. It is a thermophilic horizontal plug flow digester, with a working volume of 500 m3. Since the horizontal cylinder was protected by a patent of Kompogas, the BRV reactor was built with a rectangular cross section. This shape has the disadvantage that it is not possible to stir the content with a longitudinal axis equipped with lateral arms, so it had to be managed with four transversal axis. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

362 The Sustainable World This system causes a mixing for and backwards in flow direction, hampering the ideal plug flow of the substrate [34]. In Valorga system the horizontal plug flow is circular and mixing occurs via biogas injection at high pressure at the bottom of the reactor every 15 minutes [35]. However, differences among dry systems are more significant in term of sustainable OLR. The Valorga plant at Tilburb (the Netherlands) treats quantities of waste that vary from 400 and 1.100 t/week in two digesters of 3.300 m3 each at 40 °C (Fruteau de Laclos et al. [35]). This corresponds to an OLR of 5 KgVS/m3d that is comparable to the design values of plants relying on wet system. Optimized dry system may sustain higher OLR such as the Dranco plant in Brecht (Belgium) that works with OLR of 15 KgVS/m3d [20]. This value is achieved without any dilution of the wastes and corresponds to a retention time of 14 days during the summer with 65% VS destruction. Typical design OLR values of the Dranco process are however more conservative (about 12 KgVS/m3d) but higher than the wet systems ones. As a consequence, at equal capacity, the reactor volume of a Dranco plant is smaller than that of a wet system [20].

4 Technical and economical comparison High-solid processes appear to be more efficient at higher loaded process (OLR > 6 kgVS/m3d) while low solid processes are more beneficial at OLR lower then 6 kgVS/m3d. Furthermore, wet digestion processes require a relatively high cost for process equipment and the quantity of process water is appreciably greater than for dry digestion processes: while wet systems typically consume 1 m3 of fresh water per ton of treated OFMSW, dry systems require water volumes about ten times lower. As a consequence, the volume of wastewater to be discharged is several times smaller for dry systems. For this reason, when wet systems are implemented, it becomes important to have a wastewater treatment plant nearby. The maximum achievable OLR, however, is highly dependent on reactor configuration. An upper limit on OLR seems to exist at around 15 kgVS/m3, but the achievable OLR can be greatly affected by the overall digestibility of the waste. With reference to the biogas or methane production rate, comparing the performance of industrial scale OFMSW digesters treating different waste streams is difficult, especially since companies tend to protect performance data. Generalizations have been attempted in literature: Figure 1 shows the average biogas yield at a given OLR for a large number of lab, pilot, and full scale studies [36]. Even though the mesophilic digestion of food waste achieved a biogas yield of about 0.8 m3/kgVS, the OLR was only 2 kg VS/m3d. For comparison, wet digestion of source sorted organic fraction of municipal solid waste (SSOFMSW) at 55°C resulted in much lower biogas yields of 0.45 and 0.3 m3/kgVS, but at OLR of 6 and 9 kgVS/m3d. Based on this analysis, most of the reactors studied exhibited biogas production rates in the range of 1.5-3.5 m3/m3 d.

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Figure 1:

363

Biogas yields in function of organic loading rate [36].

As regards the economical aspect, according to Confalonieri [37], capital costs range between 400 and 800 €/ton/year of installed capacity. Economy of scale strongly affects capital costs and usually the lower values characterize larger plants (> 50.000-70.000 t/y). The economical differences between wet and dry systems are small, both in terms of capital and operating costs. The higher costs for the waste handling devices such as pumps, screws and valves required for dry systems are balanced by a cheaper pretreatment and reactor, the latter being several times smaller than for wet systems. Reliable financial information on the performance of the many competing AD technologies is hard to come by; the report of the California Integrated Waste Management Board [36] concluded that discussions of the cost of anaerobic digestion were severely constrained by the lack of real information. Despite the difficulties, data about capital and operating costs were elaborated in two different studies. Although separated by 10 years, the capital cost curves from these studies are very similar, while operating costs are not: however, differences could be due to differences in the cost items included in the two works.

5 Future perspectives At present, anaerobic digestion is considered a well-known and reliable technology for OFMSW treatment. The most interesting aspect of this process is the production of biogas, which is a clean and environmentally friendly fuel. The scientific research is directed towards defining of optimisation systems, such as the use of treatments prior to the anaerobic process, in order to enhance its yields, especially in terms of biogas production. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

364 The Sustainable World Moreover, the possibility to recover hydrogen from OFMSW anaerobic digestion in order to use it as an energy source, additional to methane. Finally, interesting aspect to be studied, especially in relation to wet systems, is the use of reactor supernatants for the growth of particular microalgae used in specific industrial application.

Acknowledgement The study was partly funded by the University of Salerno (FARB - ex 60%).

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[12] Fox M., Noike T. Wet oxidation pretreatment for the increase in anaerobic biodegradability of newspaper waste. Bioresource Technology 91, 273-281, 2004. [13] Weemaes M., Grootaerd H., Simoens F., Verstraete W. Anaerobic digestion of ozonized biosolids. Water Research 34 (8), 2330-2336, 2000. [14] Valladão A., Freire D., Cammarota M. Enzymatic pre-hydrolysis to the anaerobic treatment of effluents from poultry slaughterhouses. International Biodeterioration & Biodegradation 60, 219-225, 2007. [15] Bougrier C., Delgenès J.P., Carrère H. Impacts of thermal pre-treatments on the semi-continuous anaerobic digestion of waste activated sludge. Biochemical Engineering Journal 34, 20-27, 2007. [16] Carrère H., Sialve B., Bernet N. Improving pig manure conversion into biogas by thermal and thermo-chemical pretreatments. Bioresource Technology 100, 3690–3694, 2009. [17] Naddeo V., Cesaro A., Amodio V., Belgiorno V. Anaerobic co-digestion of municipal solid waste with ultrasound pretreatment. Proc. of the 1st Int. Conf. On Environmental Science and Technology, edsT.D. Lekkas, Global NEST,: Chania, Crete, 3-6 September 2009. [18] Chen L., Li B., Li D., Gan J., Kitamura Y. Ultrasound-assisted hydrolysis and acidogenesis of solid organic wastes in a rotational drum fermentation system. Bioresource Technology 99, 8337-8343, 2008. [19] Hartmann H., Angelidaki I., Ahrin B.K. Co-digestion of the organic fraction of municipal waste with other waste types. Biomethanization of the organic fraction of municipal solid waste-IWA Publishing, 2003. [20] De Baere L. Will anaerobic digestion of solid waste survive in the future? Water, Science and Technology 53 (8), 187-194, 2006. [21] Schievano A., D’Imporzano G., Malagutti L., Fragali E., Ruboni G., Adani F. Evaluating inhibition conditions in high-solids anaerobic digestion of organic fraction of municipal solid waste. In press on Bioresource Technology, 2010. [22] Source separated organic materials anaerobic digestion. Feasibility study. Report by Foth Infrastructure and Environment, LCC, 2009. [23] Lissens G., Vandevivere P., De Baere L., Biey E.M., Verstraete W. Solid waste digestors: process performance and practice for municipal solid waste digestion. waste. Water Science and Technology, 44, 91-102, 2001. [24] Themelis N.J. Anaerobic digestion of biodegradable organics in municipal solid wastes. Submitted in partial fulfilment of the requirements for Master of Science Degree in Earth Resources Engineering, 2002. [25] ROS Roca International www.rosroca.com [26] Bozano Gadolfi P. La valorizzazione della frazione organica dei rifiuti e delle biomasse con la tecnologia di digestione anaerobica BTA. Tecnologie e prospettive della produzione di energia da biomasse, 2006. [27] Monsal www.monsal.com

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366 The Sustainable World [28] Bungay S. Operational experience of advanced anaerobic digestion. 14th European bio-solids and organic resources conference and exhibition, 2009. [29] Oleszkiewicz J.A., Poggi-Varaldo. High solids anaerobic digestion of mixed municipal and industrial wastes. Journal of Environmental Engineering 123, 1087-1092, 1997. [30] Bolzonella D., Pavan P., Mace S., Cecchi F. Dry anaerobic digestion of differently sorted organic municipal solid waste: a full scale experience. Water Science and Technology, 53 (8), 23-32, 2006. [31] Vandevivere P., De Baere L.,Verstraete W. Types of anaerobic digester for solid wastes. Biomethanization of the organic fraction of municipal solid waste-IWA Publishing, 2003. [32] Piccinini S. La digestione anaerobica dei rifiuti organici ed altre biomasse: la situazione e le prospettive in Italia. Il Compostaggio di qualità, Arvan s.r.l. - ISBN 88-87801-08-8, 2003. [33] Kirchmayr R., Mayer M., Braun R., Krismer M., Resch Ch. Anaerobic digestion of source sorted OFMSW and other co-substrates: status and experience in Austria. Biogas da frazioni organiche di rifiuti solidi urbani in miscela con altri substrati, 2007. [34] Edelmann W. Anaerobic digestion of source separated OFMSW and other cosubstrates: status and experience in Switzerland. Biogas da frazioni organiche di rifiuti solidi urbani in miscela con altri substrati, 2007. [35] Fruteau De Laclos H., Desbois S., Saint-Joly C. Anaerobic digestion of municipal solid organic waste: Valorga full-scale plant in Tilburg, the Netherlands. Water Science and Technology 36 (6-7), 457-462, 1997. [36] California Integrated Waste Management Board. Current Anaerobic Digestion Technologies Used for Treatment of Municipal Organic Solid Waste. March 2008. [37] Confalonieri A. La digestione anaerobica dei rifiuti urbani in Europa:un’indagine di settore, 2009.

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Electrodeposition of Zn-Mn alloys from recycling battery leach solutions in the presence of amines P. S. D. Brito1, S. Patrício1, L. F. Rodrigues1, D. M. F. Santos2 & C. A. C. Sequeira2 1 2

Polytechnic Institute of Portalegre, Portugal Instituto Superior Técnico, Technical University of Lisbon, Portugal

Abstract The recovery of metal ions by electrodeposition from solutions resulting from the lixiviation of spent Zn-MnO2 batteries was studied. It was attempted to optimise the electrodeposition process, the selectivity of ion-separation, the morphologic characteristics, and the anticorrosive and galvanic properties of metallic deposits. The simultaneous deposition of zinc and manganese on different ferrous substrates under various experimental conditions was tested. This allowed us to access the efficiency of the electrodeposition, the morphology and composition of the metallic deposits, as well as their performance as galvanic coating layers. The effect of amine additives, namely, of methylamine and ethylenediamine, on the properties of the coatings was also studied. It was shown that the amines with buffering or passivating effects improve the simultaneous deposition of Mn. Keywords: Zn-Mn electrodeposition, Zn-MnO2 battery recycling, electrolyte additives.

1 Introduction The growing quantity of spent Zn-MnO2 battery disposals is becoming a serious environmental problem. From an environmental point of view, recycling is the best choice to handle these residues. Recycling of metals present in the cells can be done either through hydrometallurgical or pyrometallurgical processes. The hydrometallurgical process involving electrochemical zinc and manganese WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100341

368 The Sustainable World recovery by electrodeposition [1–4] is currently being studied in our laboratory [5]. Electrodeposition of zinc has been extensively used to produce protective anticorrosive coatings on iron and its alloys, reducing atmospheric corrosion on these metals. Protective effect is due to the formation of a passivation layer over the zinc surface and, on the other hand, to the galvanic sacrificial effect that zinc shows towards iron and its alloys [5]. Deposition of zinc alloys such as Zn-Ni, Zn-Co and Zn-Mn alloys have also found industrial applications for the improvement of anticorrosive properties of galvanic zinc layers on iron and its alloys [6–13]. Laboratory studies show that Zn-Mn alloys present better corrosion behaviour in saline environment than pure zinc layers [14, 15]. The increase in corrosion resistance was attributed to the formation of a passivating layer and of Mn2O3, which avoids oxygen reduction at the metallic surface. The effectiveness of the anticorrosive behaviour increases with the Mn content of the Zn-Mn superficial alloys, although alloys with 10% Mn are already effective [15]. Various factors interact on the morphology of the produced deposits. Temperature, pH and composition of bath solution, deposition current, and nature of substrate, all have an effect on the deposition mechanism, which explains the formation of deposits with different morphologies, textures, and aesthetic and anti-corrosive properties. For instance, if the deposition is performed at high temperature and at high current density, there is a significant increase in the nucleation density and in the film growth kinetics. Among the various factors that affect the mechanism of deposition and the morphology of deposited layers, the bath composition has a crucial influence, particularly the content in additives that limit unwanted secondary reactions caused by the presence of metallic cathodic contaminants [16–18]. A large set of additives has been studied to be used in different conditions and to achieve different goals. Surface active additives, such as polyacrylamines, thiourea, benzylideneacetone and coumarin [19–24] have been used to control the shape and size of deposited crystals to achieve smooth and shiny deposit layers. These additives act by adsorption on substrate surface, interfering with the charge transfer process and with the electrostatic interactions between charged species at the surface. This affects the growth process of metallic crystals through the reduction of nucleation rate and, consequently, the type and size of the formed crystalline structures. Other types of additives have been used to produce pure zinc layers by electrodeposition from sulphuric aqueous solutions that avoid or minimise the effect of co-deposition of metallic contaminants that contribute to the reduction of quality of produced layers and process efficiency itself. These include chemical species that promote the complexation of metallic impurities, therefore increasing the overpotential for their deposition. Glue and Arabic gum [25] have been used in industrial electrodeposition; however other substances have been studied for the same purpose with satisfactory results. Nonylphenol oxyethylene, polyethylene glycol and derivatives, quaternary amines, and EDTA [26–33] may be referred to as examples. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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This work presents a study on the effect of additives, namely, methylamine and ethylenediamine, on the simultaneous deposition of zinc and manganese alloy, using leaching solutions from the electrochemical recovery of zinc from spent Zn-MnO2 batteries. It is intended to optimise the electrodeposition process, selectivity of ion-separation, morphologic characteristics, and anticorrosive and galvanic properties of metallic deposits.

2 Experimental 2.1 Electrodeposition tests Laboratory electrodeposition tests were performed at constant current using three electrode cells, for 15, 30, 60, and 180 min. A Fluka current source of 100 mA and digital multimeters were used to control and monitor the electrodeposition process. 1 cm2 discs made of mild steel normally used in construction reinforcement bars were used as substrate. These discs were mounted in an epoxy resin block to keep the surface area constant and to isolate the copper wire electrical connections. Initially, working electrodes were polished mechanically with P1000 grain size sandpaper and washed with distilled water. Subsequently the electrodes were put in a 40 g/L NaOH solution at 60ºC during 2 min, then rinsed with distilled water, dried, and finally etched during 2 min in a 1:1 HCl solution. Prior to immersion in the electrolytic bath, electrodes were rinsed with distilled water and then dried. Following the electrodeposition process, the electrodes were washed with distilled water, dried, and weighted to determine the mass of deposited metal. A 316 L stainless steel mesh with an apparent surface area of 100 cm2 was used as the auxiliary electrode. The working electrode potential was measured against a Ag/AgCl, 1M KCl, reference electrode and monitored throughout the electrodeposition process. Various compositions of electrolytic baths were studied based on results of previous lixiviation tests. Results present in this work refer to tests performed with the plain lixiviation solution, composed of sulphuric acid with 9.3 g/L Zn2+, 9.7 g/L Mn2+, and 30 mg/L Fe3+, at pH = 2.15. Synthetic baths were prepared from pro-analysis sulphates of the respective metals. Tests were performed at 25ºC without any agitation of bath solutions. Influence of various additives on electrodeposition process and properties of obtained deposits were studied. Studied additives include 40 ppm methylamine and 40 ppm ethylenediamine. Current densities of 10, 20, and 30 mA/cm2 were tested. Elemental analysis of deposited layers was performed through Energy Dispersive X-Ray Fluorescence Spectroscopy (EDXRF) with a QuanX TN Spectrace device equipped with a rhodium lamp. The aim of these tests was to reach the quantitative and semi-quantitative characterisation of the deposit layers composition and determine the approximate Mn/Zn mass ratio. The obtained quantity and uniformity of the deposits was evaluated visually and an Elcometer® 456 thickness gauge was used to measure the deposit film thickness. The calculated film thickness is an average of 4 different measurements in different regions of the deposit surface. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

370 The Sustainable World The process efficiency was determined using the following expression, based on electrode mass variation due to electrodeposition:



mexp

mFaraday

 100

(1)

where Δmexp is the mass increase due to electrodeposition and ΔmFaraday is the mass increase calculated on the basis of Faraday’s law. 2.2 Electrochemical tests Obtained deposits were subjected to anodic polarisation in 3% (w/w) NaCl solutions using a three electrodes cell arrangement. A AEW2 Sycopel Scientific Potentiostat/Galvanostat controlled by a PC was used for the polarisation curves. Potential was scanned from the open circuit potential (OCP) till +1 V vs. Ag/AgCl, with a potential scan rate of 5 mV/s. Stability of obtained deposits was tested in long term immersion tests in 3% (w/w) NaCl solutions at 25ºC. During the immersion period linear polarisation resistance was determined periodically using the same cell arrangement already described and the AEW2 Sycopel Workstation®. A polarisation range of ±10 mV and a potential scan rate of 1 mV/s were used.

3 Results and discussion 3.1 Electrodeposition process Table 1 presents results obtained for the electrodeposition from the plain lixiviation solution (sulphuric acid solutions with 9.3 g/L Zn2+, 9.7 g/L Mn2+, and 30 mg/L Fe3+, at pH = 2.15 and T = 25ºC) and the plain solutions with additions of methylamine (40 ppm) and ethylenediamine (40 ppm), at different current densities and deposition times. Figure 1 presents the variation of working electrode potential during electrodeposition testing, at a current density of 20 mA/cm2, for the different lixiviation solutions. Results show that process efficiency tends to decease as the current density increases. This is due to the fact that for higher current densities there is a simultaneous hydrogen discharge, which could be confirmed visually during the experiments. The increase on hydrogen co-discharge at higher current densities causes an increase in the irregularities observed in the films formed at these current levels. In fact, hydrogen bubbles formation and subsequent detachment from the surface do not allow formation of deposits with high uniformity. Variations of the working electrode potential (vs. Ag/AgCl reference electrode) during the electrodeposition process (Figure 1) show that the electrode potential increases during electrodeposition as a consequence of the decrease on the overvoltage associated to the cathodic process, caused by a gradual increase in the deposition area. Indeed, if the electrodeposition area increases, current density diminishes and, consequently, it is expected that the cathodic overpotential decreases. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 1: Current density

371

Summary of results of the electrodeposition tests performed.

Time

Efficiency

(min)

(%)

2

(mA/cm )

Deposit thickness (m)

Mn/Zn

Deposit aspect

ratio

plain lixiviation bath

10 20 30

15 30 60 15 30 15

72 50 69 59 62 55

11.0 11.5 30.7 25.6 25.2 44.7

0.61 0.22 0.20 0.17 0.15 0.11

Uniform Uniform Uniform Uniform, but non adherent at edges Uniform, but non adherent at edges Uniform, but non adherent at edges

40 ppm methylamine

10 20 30

15 30 60 15 30 15

87 78 84 80 90 54

18.5 26.2 39.3 35.2 64.0 39.1

4.56 2.99 1.74 0.07 0.17 0.13

Uniform Uniform Uniform, but with some irregularities Uniform, but non adherent at edges Uniform, but non adherent at edges Uniform, but non adherent at edges

40 ppm ethylenediamine

10 20 30

15 30 60 15 30 15

84 80 85 30 75 50

17.7 24.6 43.5 27.2 43.8 25.3

3.30 2.70 0.27 0.20 0.24 0.17

Uniform Uniform Uniform, but with some irregularities Uniform, but non adherent at edges Uniform, but non adherent at edges Uniform, but non adherent at edges

Since the electrode potential varies during electrodeposition it causes a variation on the ratio of the electrodeposited amounts of Zn and Mn. The standard potential of the Mn2+/Mn couple is -1.402 V vs. Ag/AgCl, i.e., more negative than that of the Zn/Zn2+ couple, which is -0.982 V vs. Ag/AgCl. Therefore, electrodeposition at a lower polarisation (less negative potential) favours the formation of alloys with higher zinc content. This is confirmed by the observed Mn/Zn ratio in the deposits, as determined by EDXRF analysis (Table 1). These results show that, as the electrodeposition time increases, the Mn/Zn mass ratio decreases, i.e., the mass of deposited manganese decreases in relation to that of deposited zinc. On the other hand, results are consistent with a mechanism that assumes more tendency for Mn to deposit over Fe substrates than Zn does. That explains the relatively higher deposition of Mn at the initial stages of the process. The analysis of the variation of the Mn/Zn mass ratio with the applied current density shows that, as the current increases, there is a small decrease in the

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a)

b) c)

Figure 1:

Variation of the working electrode potential during electrodeposition of Zn-Mn alloys at 20 mA/cm2: a) Plain lixiviation bath; b) 40 ppm methylamine; c) 40 ppm ethylenediamine.

Mn/Zn mass ratio. This limitation on the Mn deposition at higher currents could be related with a certain inhibitor effect caused by hydrogen liberation, as referred by some authors [27]. Another aspect to consider in the analysis of these results is the fact that Zn-Mn alloys formed by electrodeposition show necessarily a gradient of Mn/Zn mass ratio between the substrate and the external surface. This makes the alloys more rich in manganese at the interface with the iron substrate, and more rich in zinc at the external surface. This fact may have a negative influence on the anticorrosive behaviour of the alloys when used as corrosion resistant coating, since in case of a scratching failure, conditions for galvanic corrosion between the layers may be created. Electrodeposits of Zn-Mn alloys produced in baths with additions of amines, methylamine and ethylenediamine, generally display a behaviour similar to that described for electrodeposits obtained from plain sulphuric lixiviating baths. This is true, namely, in terms of the visual aspect, the fact that deposits produced at lower current densities show higher uniformity and homogeneity, the fact that the electrodeposition potential increases during the deposition process, and finally the fact that this potential decreases as the current density increases. However, there is a significant decrease of the electrodeposition potential when amines are present in the bath, as compared to the same parameter in the absence of amines. That means that there is a clear additive effect in the overpotential associated with the metallic reduction process when amines are present. This fact can be explained if it is assumed that amines produce a certain surface inhibition, which excludes part of the surface from the ionic discharge process. Since amines have an adsorption capacity, it is probable that the inhibiting effect results from some passivation of the substrate and the consequent formation of deposits over it. On the other hand, it was also observed that amines increased WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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the current efficiency of the deposition process (see Table 1). Thus, the results are consistent with an adsorption of amines at the electrode surface reducing the hydrogen discharge, so that the cathodic polarisation of hydrogen shifts more negative, therefore catalysing the deposition of zinc and manganese. Another aspect that deserves reference in the analysis of these results is concerned with the fact that the addition of amines seems to promote a significant increase in deposition of Mn relatively to the deposition of Zn. This increase in the deposition of Mn becomes more important as the electrodeposition process goes slower, that is, as current density decreases. This observation is in agreement with the proposed mechanism, since as the electrodeposition overpotential increases (lower electrode potentials), it also increases the tendency for the Mn deposition. This behaviour is probably due to the formation of a more stable complex compound between the amines and Zn2+ than with Mn2+. These results also confirm that amines improve the production of thicker deposit coatings, implying an increase in the efficiency of the electrodeposition process (see Table 1). 3.2 Corrosion behaviour Table 2 presents values of corrosion potentials (Ecorr) and corrosion currents (icorr) of steel samples coated with Zn-Mn deposit layers and steel samples without any coating immersed in a 3% NaCl solution at 25ºC. The corrosion current was determined by the Stern-Geary equation assuming a value of 0.026 V for the parameter B:

a c E B   I app 2.3  icorr  a   c  icorr

(2)

As it can be seen, corrosion potentials of mild steel coated with Zn-Mn alloy by electrodeposition are all of the order of -1 V vs. Ag/AgCl, except that of the steel sample coated with the alloy with the highest Mn content (electrodeposition at 10 mA/cm2 for 15 min) that shows a more negative value closer to the Mn2+/Mn standard potential. The lower the corrosion potential, the higher the galvanic and protection effect of the coating. Figure 2 shows anodic polarisation curves, including the backward scanning, of the steel surfaces, coated with Zn-Mn alloy layers obtained from the plain lixiviation bath and the plain solutions with additions of methylamine (40 ppm) and ethylenediamine (40 ppm), immersed in a 3% NaCl solutions at 25ºC. All curves display a similar behaviour showing a spike with a current intensity that is proportional to the thickness of the deposit layer. The reduction of current following the peak could be explained by the attempt of passivation by the iron substrate. This hypothesis is corroborated by the fact that no peak appears during the backward scanning. These results show that, when compared with deposits produced without any additive, deposits formed in baths with amines display higher polarisation of the anodic dissolution process in test salt solutions, which is positive in terms of their anticorrosive behaviour. On the other hand, it can be seen that the polarisation resistance of the coatings with higher Mn content is also higher. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

374 The Sustainable World Table 2:

Corrosion characteristics of samples immersed in 3% NaCl solutions.

Current density 2

(mA/cm )

Plain steel

10

20 30

Figure 2:

Plain lixiviation bath

40 ppm methylamine

40 ppm ethylenediamine

Time (min)

Ecorr

icorr

Ecorr

icorr

Ecorr

icorr

(V vs. Ag/AgCl)

(mA/cm2)

(V vs. Ag/AgCl)

(mA/cm2)

(V vs. Ag/AgCl)

(mA/cm2)

-

-0.54

-

-

-

-

-

15

-1.13

0.68

-1.10

0.35

-1.15

0.45

30

-0.99

0.70

-1.05

0.50

-1.08

0.62

60

-0.98

0.93

-1.98

0.61

-0.93

1.37

15

-1.00

0.58

-0.93

1.63

-0.95

1.81

30

-0.99

1.50

-0.89

3.47

-0.92

1.66

15

-1.01

2.20

-0.91

2.10

-0.91

4.91

Polarisation curves of steel samples coated with Zn-Mn alloy electrodeposited from sulphuric baths, immersed in 3% NaCl solutions, at 25ºC, and at 20 mA/cm2: a) Plain lixiviation bath; b) 40 ppm methylamine; c) 40 ppm ethylenediamine.

Since the electrodeposition with amines increases the Mn content of the coatings, the explanation of the increased of corrosion resistance is associated to the formation of a rich manganese surface alloy. It was reported that a Zn-Mn alloy with a manganese content of approximately 30% shows the highest corrosion resistance [12]. This highest corrosion resistance has been associated with the formation of a monophasic structure of the coating. Boshkov [15] studied the influence of bath composition on the corrosion behaviour of Zn-Mn coatings and reported that alloys with manganese contents around 11% had a higher corrosion resistance due to a formation of monophasic structure. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Manganese atoms are randomly distributed in this monophasic structure and dissolve first under corrosion attack as Mn2+ ions, causing evolution of hydrogen and, consequently, a slight increase of the pH value. At these conditions, zinc hydroxide chloride monohydrate (ZHC) forms as a compact layer covering almost the whole surface. A clear conclusion is that the presence of Mn in Zn electrodeposits contributes to better anticorrosive and protective performance of mild steels in saline environments. In summary, the produced alloys display higher anodic dissolution overpotentials (see figure 2) and higher polarisation potentials, with a clear positive influence on anticorrosive properties of these coatings. This effect can be explained by the fact that there is a relative increase in the Mn content of the produced alloy in this case, when compared with the coatings produced by electrodeposition without any additive. The amines facilitate manganese incorporation, limit hydrogen evolution reaction, and prevent the dendrite growth that leads to porous deposits. Thus, the additive improves the visual appearance of the coatings and leads to the formation of adherent and compact layers with high percentage of manganese.

4 Conclusion The obtained results allow the following conclusions: - Lixiviation solutions resulting from the hydrometallurgical treatment of spent domestic batteries, mainly, Zn-MnO2-batteries, can increase their value directly as electrodeposition baths of zinc alloys; - Quality of deposits produced from this lixiviation solutions depends strongly on the magnitude of the electrodeposition current: homogeneous and uniform deposit layers with good anticorrosive properties are obtained, preferentially, at low current densities; - Mn/Zn mass ratios in the produced deposit layers suffer an influence of electrodeposition current densities, electrodeposition duration, and of the presence of additives in the electrodeposition baths. Lower electrodeposition currents and shorter electrodeposition durations benefit the deposition of Mn in relation to Zn; - Buffering and passivating additives having adsorption effect, such as methylamine and ethylenediamine, also benefit the deposition of Mn; - Addition of methylamine and ethylenediamine to the electrodeposition baths contributes to the production of deposit coatings with better anticorrosive performances; - Methylamine reveals a better corrosion performance than ethylenediamine; - The increase in Mn contents of the electrodeposited coating layer reveals beneficial anticorrosive effects to mild steel in saline environments.

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Acknowledgement The authors thank the financial support of the Portuguese Foundation for Technology and Science (Project: POCTI/CTA/46315/2002).

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pyrophosphate-based electrolytic bath”, Surface & Coatings Technology, 200, 2137– 2145, 2005 N. Boshkov, “Galvanic Zn–Mn alloys-electrodeposition, phase composition, corrosion behaviour and protective ability”, Surface and Coatings Technology, 172, 2, 217-226), 2003 J. Silva, V. Lins, “Crystallographic texture and morphology of an electrodeposited zinc layer”, Surface & Coatings Technology, 200, 2892 – 2899, 2006 T. Hilber, P. Letonja, R. Marr, P. Pölt, M. Siebenhofer, “Formation of Submicron Zinc Particles by Electrodeposition“, Particle & Particle Systems Characterization, 19, 342-347, 2002 O. Devos, O. Aaboubi, J. Chopart, E. Merienne, A. Olivier, C. Gabrielli, B. Tribollet, “EIS Investigation of Zinc Electrodeposition in Basic Media at Low Mass Transfer Rates Induced by a Magnetic Field”, Journal of Physical Chemistry B, 103, 496-501, 1999 A. Gomes, M. Pereira, “Zn electrodeposition in the presence of surfactants Part I. Voltammetric and structural studies”, Electrochimica Acta, 52, 863– 871, 2006 K. Youssef, C. Koch, P. Fedkiw, “Influence of Additives and Pulse Electrodeposition Parameters on Production of Nanocrystalline Zinc from Zinc Chloride Electrolytes”, Journal of The Electrochemical Society, 151, C103, 2004 P. Diaz-Arista, Y. Meas, R. Ortega, G. Trejo, “Electrochemical and AFM study of Zn electrodeposition in the presence of benzylideneacetone in a chloride-based acidic bath“, Journal of Applied Electrochemistry, 35, 217, 2005 D. MacKinnon, J. Brannen and R. Morrison, “The effect of thiourea on zinc electrowinning from industrial acid sulphate electrolyte”, Journal of Applied Electrochemistry, 18, 252, 1988 M. Mouanga, L. Ricq, G. Douglade, J. Douglade, P. Berçot, “Influence of coumarin on zinc electrodeposition”, Surface & Coatings Technology, 201, 762–767, 2006 M. Mouanga a, L. Ricq, J. Douglade, P. Berçot, “Corrosion behaviour of zinc deposits obtained under pulse current electrodeposition: Effects of coumarin as additive”, Corrosion Science, 51, 690–698, 2009 D. MacKinnon, J. Brannen, P. Fenn, “Characterization of impurity effects in zinc electrowinning from industrial acid sulphate electrolyte”, Journal of Applied Electrochemistry, 17, 1129, 1987 A. Hosny, “Electrowinning of zinc from electrolytes containing anti-acid mist surfactant”, Hydrometallurgy, 32, 261-269, 1993 J. Ballesteros, P. Díaz-Arista, Y. Meas, R. Ortega, G. Trejo, “Zinc electrodeposition in the presence of polyethylene glycol 20000”, Electrochimica Acta, 52, 3686-3696, 2007 B. Tripathy, S. Das, P. Singh, G.T. Hefter, “Zinc electrowinning from acidic sulphate solutions. Part III: Effects of quaternary ammonium bromides”, Journal of Applied Electrochemistry, 29, 1229-1235, 1999 WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

378 The Sustainable World [29] E. Oliveira, I. Carlos, “Voltammetric and morphological characterization of zinc electrodeposition from acid electrolytes containing boric–polyalcohol complexes”, Journal of Applied Electrochemistry, 38, 1203–1210, 2008 [30] Q. Zhang, Y. Hua, T. Dong, D. Zhou, “Effects of temperature and current density on zinc electrodeposition from acidic sulfate electrolyte with [BMIM]HSO4 as additive”, Journal of Applied Electrochemistry, 39, 1207– 1216, 2009 [31] Q. Zhang, Y. Hua, “Effects of 1-butyl-3-methylimidazolium hydrogen sulfate-[BMIM]HSO4 on zinc electrodeposition from acidic sulfate electrolyte”, Journal of Applied Electrochemistry, 39, 261–267, 2009 [32] C. Müller, M. Sarret, T. Andreu, “Electrodeposition of Zn-Mn Alloys at Low Current Densities”, Journal of The Electrochemical Society, 149, C600-C606, 2002 [33] D. Sylla, C. Rebere, M. Gadouleau, C. Savall, J. Creus, P. Refait, “Electrodeposition of Zn–Mn alloys in acidic and alkaline baths. Influence of additives on the morphological and structural properties”, Journal of Applied Electrochemistry, 35, 1133–1139, 2005

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Environmental impacts of improper solid waste management in developing countries: a case study of Rawalpindi City N. Ejaz, N. Akhtar, H. Nisar & U. Ali Naeem University of Engineering & Technology, Taxila, Pakistan

Abstract Solid waste damps are seriously spoiling the environmental conditions in developing countries. Negative environmental impacts from improper solid waste dumping can be easily observed everywhere in the developing world. In Pakistan, due to a lack of proper planning and funding, the solid waste management scenario is becoming worse day by day. To highlight the main causes of improper solid waste management in developing countries, Rawalpindi city is selected as a case study. This city is facing miserable solid waste management crises due to rapid industrialization, urbanization and insufficient funding. Improper solid waste dumps are spreading different diseases in the study area. It is investigated during the research that due to rapid growth in population, increments in solid waste generation rate, management deficiencies, lack of legislative implementation and funding, the solid waste management systems of Rawalpindi are not working effectively. The major causes for the inefficient municipal solid waste management systems in Rawalpindi are the unintended invasion of the city, severe weather conditions, lack of social awareness/community involvement, improper resources including improper equipment and lack of funds. An inefficient municipal solid waste management system may create serious negative environmental impacts like infectious diseases, land and water pollution, obstruction of drains and loss of biodiversity. Keywords: solid waste management, Rawalpindi City, environmental impacts, land pollution.

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1 Solid waste management scenario in developing countries Solid waste management systems cover all actions that seek to reduce the negative impacts on health, environment and economy. Developing countries are seriously facing the associated problems in collection, transportation and disposal of communal solid waste. In Pakistan, due to unplanned communities and developments in major cities, environmental and sanitary conditions are becoming very complex [1]. Due to a lack of awareness and low income sources, dwellers are forced to live with unhealthy and unhygienic conditions. An improper solid waste management system may contribute to a worsening environmental degradation of the community. Illegal dumping of communal solid waste is responsible for a number of diseases in Pakistan. Per capita, solid waste generation in developing countries is increasing annually due to an urbanization trend. Prototype and density of metropolitan areas, the physical composition of waste, density of waste, temperature and precipitation, scavenger’s activity for recyclable separation, treatment capacity, insufficiency and limited resources are making tasks very tough for the administration authority in developing countries. Due to diverse life styles in communities, development authorities are not able to offer analogous type of solid waste management system for different communities, therefore in Pakistan a lot of abnormal solid waste management systems are working. Collection efficiency of the existing solid waste systems in Pakistan is very low due to a lack of storage bins and improper management system. Open dumping, open burning and un-engineered sanitary landfills are common practice throughout the country. Due to improper solid waste disposal and collection systems dwellers are facing serious negative environmental impacts in developing countries [1]. In Pakistan, according to the Ministry of the Environment, about 54,850 tons of solid waste is being generated on daily basis in urban areas, less than 60 percent of this generated solid waste is being collected properly. According to the same department there is no city in Pakistan having proper waste collection and disposal system for municipal and hazardous wastes.

2 Solid waste management issues in Rawalpindi City Many negative impacts due to improper solid waste management can be seen in Rawalpindi city. Insufficient funding and lack of solid waste management planning can be observed in the following figure 1. It can be observed from figure 1(a) that the collected solid waste is being transported in an open body tractor trolley and in figure 1(b) it is worth mentioning that in some areas of Rawalpindi city, collected solid waste is being dumped on the ground which is totally unhygienic. Masonry bins in the Rawalpindi city are also of great concern for the solid waste management authorities.

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(a) Figure 1:

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Transportation of collected waste through open body trucks.

2.1 Associated negative environmental impacts due to improper solid waste management in Rawalpindi City During investigation it was concluded that improper solid waste management systems in Rawalpindi City are resulting following negative impacts on the environment:  Dispersed solid waste from the illegal open dumps often blocks the drains and sewers as shown in figure 2. Ultimately these blockages are creating flooding and unhygienic conditions in the city.

Figure 2: 

Blocked drains due to solid waste dumps.

Flies breeding are directly linked with open solid waste dumps. During the filed investigation it was observed that during summer the flies are increasing their population so rapidly due to these waste dumps and they are very effectual vectors that spread disease in the community.

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

   

 

      

Associated to the above problems, blocked drains and wastewater flooding in the city due to blocked drains are greatly supporting the mosquitoes breed and they are spreading the malaria and dengue in the Rawalpindi City. Proportion of food waste in open dumps and waste drains are providing an attractive shelter for rats. It was also reported that these rats are spreading disease, damaging electrical cables and other materials in the study area. The open burning of collected solid waste causing air pollution issues in Rawalpindi city. Uncollected solid wastes from few locations in the city are degrading the urban environment and discouraging efforts to keep streets and open spaces clean. Discarded polythene bags in collected solid waste from Rawalpindi city are generating an aesthetic nuisance and they may also cause the death of grazing animals which eat them [2]. Due to a lack of health and safety facilities to the waste collection crew in Rawalpindi city, they are specifically facing occupational hazards, including strains from lifting, injuries from sharp objects and traffic accidents. Open dumps on the roadside and heavily sized solid waste storage containers are also creating traffic blockage in the study area. The city government is not providing separate waste collection facilities. As a result, a lot of dangerous items (such as broken glass, razor blades, hypodermic needles and other healthcare wastes, aerosol cans and potentially explosive containers and chemicals from industries) may cause risks of injury or poisoning, particularly to scavengers and school going children [3]. Open body trucks are being used for the collection of solid wastes in Rawalpindi city without covers. This practice is totally unhygienic. Heavy solid waste collection vehicles are causing significant damage to the road. Different segregated solid waste materials, such as plastic bottles and medical supplies, are not being properly cleaned or sterilized by local scavengers. During rainy seasons, produced leachate from the open dumped sites is causing serious pollution to water bodies in Rawalpindi city. A high percentage of collected solid waste from Rawalpindi city is being treated or disposed of in unsatisfactory ways, causing a severe aesthetic nuisance in terms of smell and manifestation. Liquids and fumes, escaping from deposits of chemical wastes are creating fatal or other serious effects to the community [4]. Illegal burning of collected solid waste in Rawalpindi city is creating serious negative impacts on outdoor air quality. Furthermore, it is also causing illness and reducing visibility.

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2.2 Solid waste collection practices in Rawalpindi City In Rawalpindi city, solid waste is being collected through the deployment of sweepers and sanitary crew [5]. These workers are collecting the solid waste from the streets with the help of wheel barrows and hand carts. Solid waste is being temporarily collected in containers/dumpsites from where it is transported by the help of collection vehicles and carried out to final disposal sites. Solid waste collection efficiency is not uniform in remote areas of Rawalpindi city. It was also observed during field visits that collection bins, number of containers and collection vehicles are not sufficient to maintain the city solid waste management system properly. In Pakistan, different solid waste collection systems are in practice [6]. Generated solid waste from the main cities is mostly collected by municipal authorities and representing diverse collection efficiency throughout the country, depending upon various factors [7]. Especially in remote areas of Pakistan, municipal authorities are not providing any facility for the collection and disposal of solid wastes [9, 10]. In these remote areas scavenging by people and animals, natural biodegradation of organic wastes, burning at the initial point of disposal, and local self-help are well known solid waste disposal practices [3, 11, 12]. In Rawalpindi city, the collection rate of generated solid waste ranges from 51% to 69% [5]. The remaining uncollected waste, approximately 30 to 50%, remains on streets and in open spaces. The high percentage of uncollected solid waste is seriously polluting the environment and causes the blockages of drains in the study area.

3 Exiting solid waste management systems for Rawalpindi and their drawbacks The City District Government Rawalpindi, and Rawalpindi Development Authority are providing solid waste collection and disposal facilities through sanitation crews. The management staff of Rawalpindi municipal committee comprises sanitary inspectors and chief sanitary inspectors who supervise the collection and disposal of solid waste and offer guidelines to their junior staff. During the field visit it was also observed that the spaces near the communal storage facilities are completely littered around, as shown in figure 3. From figure 3, it is clearly presenting that most of the people have a habit of throwing the solid waste from a distance to the communal storage bins that present a view of spilled over garbage. Total numbers of collection vehicles for the Rawalpindi City are not sufficient. Collected data from the municipal authorities is presenting that initially, 3 trips/vehicle/day were designed but at present due to traffic jamming and dense population trend in Rawalpindi city,

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Figure 3:

Unhygienic conditions around storage facilities.

these vehicles are not capable of achieving the design value. The City District Government has arranged 200 numbers of containers for 57 zones of Rawalpindi city. These municipal authorities are handling up to 50% of these allocated containers in a single day. The City District Government Rawalpindi is also supervising different solid waste management projects like Solid Waste Environmental Enhancement Project (SWEEP) for the betterment of the city [4]. This project is being sponsored by UNDP. The main objective of this project is to involve all the stakeholders to participate in various activities of primary collection of municipal solid waste. This practice may effectively improve the collection and management efficiency of municipal authorities. This project was aiming to enhance the solid waste collection efficiency and improvement of transportation and disposal system. It is also anticipated that the proper implementation of the SWEEP project will enhance community participation at a grassroots level, generating an additional source of income for low-income communities through segregation at source [5]. 3.1 Disposal practices Unfortunately, at present Rawalpindi Municipal Corporation have no appropriate landfill or waste disposal site. Open dumping, open burning and dumping of solid wastes to un-engineered landfill sites is being practiced in Rawalpindi city. Unhygienic open dump site in the vicinity of Rawalpindi city is shown in figure 4. Other types of dangerous wastes like chemical and hospital wastes are also not disposed of properly.

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Figure 4:

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Open dumps of solid waste in the vicinity of Rawalpindi city.

3.2 Serious environmental issues in study area due to open dumping Open dumps of municipal solid waste are creating serious negative impacts on environment in Rawalpindi city [8]. Following negative impacts are being observed in Rawalpindi city due to open dumping of solid waste: 

Dust and Filthy Dirt: Strong wind and storm are spreading dust and filth from the open dumps of solid waste to adjacent areas.

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Odor: Nearby areas to the open dump sites is being affected due to odor emitting from these dumps.

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Rats and other Vermin: Open dumps of communal solid waste are providing attractive habitat to rats and other vermin.

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Toxic Gases: Toxic gases are continuously exposed to the atmosphere.

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Leachate: Percolating rainwater through contaminating ground water resources.

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Health and Sanitation: Open dumps of solid waste are a serious threat to human health and sanitation.

the

open

dump

3.3 Serious environmental issues in study area due to open burning It was observed during the field visit that solid waste collected at the communal bins is burnt. The local dwellers were complaining that burning of dumped solid waste is a common practice and creating drastic air pollution as shown in figure 5.

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Figure 5:

Open burning of dumped solid waste.

4 Conclusions Most of the developing countries are not able to provide proper facilities for collection and disposal of communal solid waste to whole population. In Rawalpindi city, solid waste is being dumped openly along roadsides. Like other cities of Pakistan, in Rawalpindi, diverse solid waste management systems are in practice. Open dumps are responsible for the blockage of drains, breeding of flies and spread of epidemic diseases. Due to lack of proper equipment and funding, the present solid waste management system is insufficient for Rawalpindi city. Remote areas of the city are mostly ignored and the collection efficiency is very low. Hospital and other hazardous waste materials are being treated as ordinary waste. Considering the overall negative impacts associated with open dumping and open burning, these practices must be strongly discharged.

References [1] Engineering Planning and Management Consultant, “Data collection of national study on privatization of solid waste management in eight cities of Pakistan” 1996 [2] George Tchobanoglous, Hilary Theisen, and Samuel A. Vigil, “Integrated Solid Waste Management” McGraw Hill edition. [3] Davis & Cornwell, “Introduction to Environmental Engineering” Second Edition, McGraw Hill [4] Akio, “Domestic Solid Waste Management in Pakistan” Japan International Corporation Agency (JICA), Pakistan, 2002. [5] An Introduction to Rawalpindi Municipal Corporation”. Rawalpindi Municipal Corporation, 1997. [6] Hashmi H. N., Malik N. E., and Shah N. S., “Solid Waste Management In Peshawar”, International Conference, ESDev 2007, COMSATS Abbottabad, 26-28 August 2007, Volume-I, page 999-1006

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[7] Hashmi H. N., Malik N. E., and Hussain J., “Environmental Degradation Due To Improper Sanitary Landfills And Open Dumps Of Municipal Solid Waste”, International Conference, ESDev 2007, COMSATS Abbottabad, 26-28 August 2007, Volume-I, page 99-998. [8] Summera Fahmi Khan, Naeem Ejaz, and Mehwish Taseer, “Impacts Of Municipal Solid Waste Open Dumps On Environment”, International Conference, ESDev 2007, COMSATS Abbottabad, 26-28 August 2007, Volume-I, page727-730 [9] Naila Saleem, Malik N. E., and Naushad Z., “Negative Impacts of Discarded Polythene Bags on Environment”, International Conference, ESDev 2007, COMSATS Abbottabad, 26-28 August 2007, Volume-I, page 973-980 [10] Hashmi H. N., Malik N. E., and Naushad Z., “Environmental Benefits of Composting Plants in Pakistan”, International Conference, ESDev 2007, COMSATS Abbottabad, 26-28 August 2007, Volume-I, page 919-92 [11] Hashmi H. N., Malik N. E., and Usman Ali., “Environmental Impacts Of Improper Municipal Solid Waste Management”, International Conference, ESDev 2007, COMSATS Abbottabad, 26-28 August 2007, Volume-I, page 963-972 [12] H. Nisar, N. Ejaz, Z. Naushad, Z. Ali “Impacts of solid waste management in Pakistan: a case study of Rawalpindi city” Waste Management and the Environment IV, 2008, Wessex Institute of Technology Press

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Effect of bacterial additives on the performance of septic tanks for wastewater treatment in the Upper Egypt rural area H. T. El-Zanfaly1, A. Mostafa2, M. Mostafa2 & I. Fahim3 1

National Research Center, Water Pollution Control Department, Egypt National Institute for Housing and Buildings, Egypt 3 Sanitary Waste Company, Egypt 2

Abstract A mixture of five selected, adapted, enzyme active producer bacterial species has been used as an additive to septic tanks in order to test its ability to increase treatment efficiency. Regarding the septic tanks receiving waste with medium load, the maximum removal was achieved at day thirty and showed ranges for removal % reaching 91.3–94.4, 93–95.8, 90–91.7, 75–87, and 99.95–99.99 for COD, BOD5, TSS, oil and grease and total coliforms, respectively. Septic tanks without bacterial additives were able to show removal % ranged as 79.3–88.5, 80–85.5, 75.1–83, 28–41.7 and 98.5–99.85 for the same parameters. Septic tanks that receiving influent with high load of pollutants, the maximum removal was achieved during the period of day 36–42 after addition of bacteria. The removal percentages for COD, BOD5, TSS, oil and grease and total coliform were ranged as 93.8–97.2, 94.5–97.0, 94.0–97.9; 64.0–93.8; 99.81–99.99, respectively. Septic tanks without bacterial additives showed percentages of removal ranged as: 64.7–87.2, 73.4– 89.6, 56.7–86.9, 34.6–45, and 92.8–99.28 for COD, BOD5, TSS, oil and grease and total coliforms, respectively. Keywords: wastewater treatment, Egyptian rural area, septic tanks, bacterial additives.

1 Introduction Septic tanks/soil absorption systems are an option to consider wherever a centralized treatment system is not available. It has been the most popular on-site WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100361

390 The Sustainable World method [1]. The septic tank is an underground, watertight vessel installed to receive wastewater from the home. It is designed to allow the solids to settle out and separate from the liquid, to allow for limited digestion of organic matter, and to store the solids while the clarified liquid is passed on for further biological, physical and chemical reactions through the subsurface wastewater infiltrations system. Collected solids undergo some decay by anaerobic digestion in the tank bottom and depending on the activity of natural microorganisms that exist in the waste with minimal human intervention. Scum and grease float to the surface and the baffles keep it out of the soil absorption system. If an excessive amount of sludge is allowed to collect in the bottom of the septic tank, wastewater will not spend a sufficient time in the tank before flowing into the soil. Depending on the retention time of liquids in the septic tank, further biological treatment is expected from the natural microorganism existed. Clarified septic tank effluent exits the septic tank and enters the soil absorption system where a biological biomat forms, contributing to even distribution of the waste into the soil [2]. The character of wastewater flowing into the soil absorption area is a critical variable for proper functioning of septic system. Soil absorption systems work most effectively when the influent does not contain significant levels of settleable solids, greases and fats. To avoid infiltration soil clogging by grease and scum, outlet baffles are suggested. Also, the use of two-compartment tanks recommended over single-compartment design. Absorption beds and trenches are the most common design options for soil absorption systems [1]. Since digestion of wastes in septic tanks is performed biologically, it is a temperature dependent process and colder temperature as well as the addition of toxic substances (as detergents, bleaching agents, acids, solvents, etc.) which may hinder the effective biological breakdown of wastes in septic tanks [3, 4] and cause septic tank upset. In addition, other cases such as when someone in the home is on chemotherapy for an extended period of time and the unused septic tanks for long period or the high loads of the hard biodegradable materials, may destroy or stress the biological activity in the septic tank. Under all these conditions, it is possible to suggest the addition of biological additives in the form of enzymes or microorganisms to help speed the re-establishment of biological activities. Failure of systems to adequately treat wastewater may be related to inadequate site, inappropriate installation, or neglectful operation. Hydraulic overloading has been identified as a major cause of system failure [5]. Septic systems can act as sources of nitrogen, phosphorus, organic matter, and microbial pathogens, which can have potentially serious environmental and health impacts [6]. Since septic wastewater contains various nitrogen compounds Brown, installation of septic systems in areas that are densely developed can, in combination with other factors, result in the introduction of nitrogen contaminants into groundwater. Groundwater impacts can occur even when soil conditions are favorable because the unsaturated aerobic treatment zone located beneath the drain-field promotes conversion of wastewater-borne nitrogen to nitrates. If nitrate contamination of groundwater is a concern in the rejoin, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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control methods or denitrifying technologies may be required for safe operation of a septic system. Conventional septic systems are designed to operate indefinitely if properly maintained. However, because most household systems are not well maintained, the functioning life of septic systems is typically 20 years or less [8].

2 Materials and methods 2.1 Septic tanks Septic tanks had been modified by some organizations as on-site, simple and low cost wastewater treatment system in a group of villages in Upper Egypt. The modified septic tank, as shown in Fig. 1, consists of the same main components of the traditional one and represented by: a-entrance chamber b-sedimentation space c-distribution chamber d-outlet chamber There are anaerobic filter contained two layers of gravel. The bottom layer contained gravel (40–60 mm in diameter) of two third of the depth. The top layer contained gravel (20–40 mm in diameter). According to the design criteria, the retention time, is ranged as 1–3 days according to the tank type.

Figure 1: Typical modified septic tank. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

392 The Sustainable World The experimental work was executed on two types of modified septic tanks. The 1st type which receiving waste with medium organic load and serving 10 persons. The sedimentation chamber has the capacity of 2.4 m3 (L= 2m, W = 1 m and D = 1.2 m), with retention time of 3 days. There was only one filter chamber with dimensions as, L 2 = 1 m, W = 1 m and D = 1 m. The 2nd type of septic tanks receiving wastes with high organic load and serving 200 persons (about 40 families). The sedimentation chamber with a capacity of 35.5 m3, and has dimensions as L = 13 m, W= 1.7 m, and D = 1.8 m., with 2.2 days as retention time. There are two filter chambers each with dimensions of L = 1.5 m, W = 1.7 m and D = 1.2 m. The bacterial additives were added to the wastewater inside the distribution chamber and before the gravel filter as a ratio of the quantity of the wastewater found in the sedimentation chamber. 2.2 Bacterial cultures From sewage samples collected from septic tanks, 800 bacterial isolates were isolated, purified by streaking on tryptic soy agar medium and microscopically examined to ensure its purity. All the isolates were assayed for their enzymatic activity using different substrates and focusing on: protease, amylase, lipase, esterase, cellulase, xylanase and urease production. Two hundred and forty isolates were selected according to their high enzyme production activity and only 158 of them that were able to show stability in activity through twenty times of sub-culturing. Adaptation program was carried out on those 158 isolates through testing their ability to produce the mentioned enzymes at different temperature and pH values. Only 78 isolates that was able to show the ability to produce enzymes at wide range of temperature (10–55oC) and pH values (4–10). Stability of the characters was tested by sequential culturing program using media containing sewage and finally only 23 isolates that could pass the screening tests. The Analytical Profile Index (API) identification system was followed and showed that the last 23 isolates could be grouped as belonging to 5 bacillus species. One strain of each species was selected, cultured on tryptic soy agar slants and kept in the refrigerator as stock culture to be used in the present study. Two days before the experiment, the five strains were inoculated in nutrient broth and incubated at 37oC for 24 hr. The cultured strains were centrifuged at 4500 rpm for 10 min and the sediment from every 1 liter culture was collected separately in sterile bottle and kept in the refrigerator. The sediments were transported to the site of the experiment in icebox. Every septic tanks gravel filters were seeded with the culture sediments (the sediment resulted from 1 liter of culture/m3 of tank capacity). 2.3 Sampling Samples from the effluent from the septic tank under study before and after inoculation the mixture bacterial strains were collected in sterile glass bottles and transported in icebox to the laboratory for bacteriological and chemical examinations. The parameters were determined according to the Standard WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Methods for the Examination of Water and Wastewater APHA [9], and included: total coliforms MPN/100, biochemical oxygen demand (BOD5), chemical oxygen demand (COD), total suspended solids (TSS) and oil and grease.

3 Results and discussion The application of bacteria for sewage treatment in septic tanks should ensure that it was conducted close to the recommendations prescribed by the U.S. Environmental Protection Agency [1, 8, 10] for minimizing the environmental and/or user risk. U.S. EPA standards ensure that the number of microorganisms emitted from the site where microorganisms are used is minimized. It does not specify specific limits for the emitted microorganisms. EPA specified that the introduced genetic material, in case of genetic engineered stains, must be limited in size to reduce the risk of introduction uncharacterized genetic material. In the present study, the used strains were selected from the natural habitat which have high rate of enzymatic activity as well as it can grew at wide range of pH and temperature and not genetically engineered strains. Although direct monitoring data are unavailable, worst case do not suggest high levels of the public exposure resulting from the application of these bacteria in well designed and maintained septic tanks. However, human exposure via dermal and ingestion routes as well as release to the environment may occur if the effluent from the treated septic tanks is discharged on an open area or directly on surface water. In the present study, the used strains were isolated from sewage and exist as common organisms in soil and ubiquitous nature. They are neither nonpathogenic nor toxigenic [11, 12]. For example, when B. licheniformis enter the human digestive system, it is not able to colonize to any large degree. However, if challenged by large numbers of this micro-organism, it may cause limited gastroentertities for only the compromised individuals [12]. Outside the gastrointestinal tract, it would likely be a temporary inhabitant of skin [13]. It is widely known as a contaminant of food, but not thought to be a causal agent for food poisoning [14]. There was no mention of any plant pathogenic activity [13]. The base considered in strains selection was to cover the various conditions at which the degradation of pollutants may occur (aerobically or anaerobically, and wide ranges of pH and temperature). The selected species of bacteria through their enzymatic activity can breakdown the different pollutants that usually occur in sewage such as carbohydrates, proteins, cellulose, urea, oil and grease (Table 1). Three septic tanks located in villages namely Gragoos; Quina Governorate, El-Mahameid; Aswan Governorate, and Bany Sanad; Asuot Governorate were selected on the base that they receive wastewater influent with medium load of organics (COD 560–640 mg O2/1 and BOD 350–400 mg O2/1). A slight improvement in wastewater quality was achieved during the first few days after the addition the mixed culture of bacteria to the gravel filter. From day 6, the gradual increase in the percentages of removal in the examined parameters was observed reaching the maximum values at day 36 for the effluents of the three WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

394 The Sustainable World Table 1: Characteristics of the selected strains used as septic tank additives.

septic tanks. The maximum percentage of removal achieved was ranged as: 91.3–94.4 for COD, 93–95.8 for BOD, 90–91.7 for TSS, 75–87 for oil and grease, and 99.95–99.99 for total coliform. After 42 days a gradual decrease in percentages of removal for all determined parameters was observed, but still higher than the values achieved in the absence of bacterial additives. At the end of the experimental period (60 days) the effluent of the septic tanks had the following character: COD; 77.2–104.8 mg O2/l, BOD; 44.1–58.7mg O2/l; TSS; 52.9–70.6 mg/l, Oil and Grease; 4.1–15 mg /l and total coliform 104–106 MPN/100 ml (Tables 2–4). It is important to mention that septic tanks without bacterial additives showed removal percentages ranged as 79.3–88.5 for COD, 80–85.5 for BOD, 75.1–83 for TSS, oil and grease 28–41.7 for oil and grease, and 98.5–99.85 for total coliform (Tables 2–4). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 2: Changes in parameters rested after the addition of bacterial additives to septic tank at El Mahamid Village, Aswan Governorate.

Table 3: Changes in parameters rested after the addition of bacterial additives to septic tank at Benisand Village, Asuit Governorate.

All parameters were determined as mg/l. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

396 The Sustainable World Table 4: Changes in parameters rested after the addition of bacterial additives to septic tank at Garagoos Village, Quina Governorate.

Other three septic tanks were selected in three villages, namely Enibis; Souhag governorate, Bani Sanad; Asuot governorate, and El-Mahameid; Aswan governorate to represent tanks receiving influent with high load of pollutants (COD; 1072–2180 mg O2 /l and BOD; 714–1200 mg O2 /l, TSS 205–1144 mg/l, oil and grease 40–104 mg/l al total coliform 108 –109 MPN/ 100 ml. Again the actual improvement in the effluent quality appeared at the 6th day after bacterial addition to the tanks. Microorganisms used for wastewater treatment are likely to be exposed to a wide variety of environmental stresses. Microorganisms must adapt to these conditions to be able to degrade the pollutants. In some cases genetic engineering may be helpful in augmenting resistance to such stress, thereby facilitating good performance of degradative organism under adverse conditions (Clark [15]). In the present study, the maximum removal efficiency appeared after 42 days and may extend to 48 days. During this period, the removal percentages for COD, BOD, TSS, oil and grease and total coliform were ranged as 93.8–97.2, 94.5–97.0, 94.0–97.9; 64.0–93.8, 99.81–99.99, respectively (Tables 5–7). Septic tanks without bacterial additives showed removal efficiency (as %) ranged as 64.7–87.2, 73.4–89.6, 56.7–86.9, 34.6–45, and 92.8–99.28 for COD, BOD, TSS, oil and grease and total coliform, respectively.

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Table 5: Changes in parameters rested after the addition of bacterial additives to septic tank at El Mahamid Village, Aswan Governorate.

Table 6: Changes in parameters rested after the addition of bacterial additives to septic tank at Anebas Village, Sohag Governorate.

4 Conclusions Although, the removal efficiency of septic tanks with bacterial additives was higher in case of those receiving the high load of pollutants in the influent than in those receiving medium load, the pollutants residual in the final effluent (after 60 days) of the first case are higher (Tables 2–7). The further decrease in the total coliform density resulted after using bacterial additives may be due to the possibility of antimicrobial agent production. For example, B. licheniformis is capable of producing several antimicrobial agents such as licheniformin [16], bacitracin [17] and others. In addition, metabolite(s) produced by B. licheniformis and B. amyloliquefaciens showed antifungal activity [18–20]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

398 The Sustainable World Table 7: Changes in parameters rested after the addition of bacterial additives to septic tank at Benisand Village, Asuit Governorate.

From the results, it seemed that septic tanks need to be reinoculated with the selected strains after 30–45 days. Cells inoculated in the gravel filter start to reproduce firm biofilm on gravel surfaces as well as on the tank walls. The decrease in bacterial activities and pollutants removal efficiency may be due to one or more of the following reasons. The first is the presence of toxic materials in the wastewater which can inhibit the survival of the community. The second, is that such chemicals may produced and biochemically incompatible with the effective catabolism of the target compound and may poison the process. The third reason is the interactions between microorganisms such as the lytic activity of amoebicin m-4-A that produced by B. licheniformis against B. megaterium [21]. The forth possibility is that biofilm formed may slough out and lost by the time with the effluent. The use of other material than gravel which have rough surface may be much more helpful. Concerning the use of cultured bacteria as additives to septic tanks in order to provide the system with types of bacteria at density necessary to improve and enhance system function, there are two approaches. The first say that because of the presence of significant numbers and types of bacteria, enzymes, yeasts, and fungi in typical residential and commercial wastewaters, the use of septic system additives containing these or any other ingredients is not recommended [10]. The second approach recommended the use of bacterial additives for septic tanks under normal as well as adverse conditions. The use of selected and adapted natural bacteria as additive have the same advantage as the home field ones and the competition with the native bacteria of the system won’t exist. These bacteria can reduce retained organic molecules to soluble compounds and gases. This digestion can significantly further reduce sludge volume especially in warm climate of the Upper Egypt. Material degraded by bacteria does not contribute in increasing the loading of BOD, TSS.

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Users must be aware that when the application of bacterial additives is not the solution for all symptoms of septic tank failures the cause of failure should be identified and appropriate corrective action taken to prevent recurrences. Finally, in any case, bacterial additives are not an alternative to proper maintenance and do not eliminate the need for routine pumping for a septic tank.

References [1] U.S.EPA., Design manual for onsite wastewater treatment and disposal systems. U.S.EPA 625/1-80-012, U.S.EPA, Washington, DC., 1980. [2] Hoover, M.T., Disy. T. M., Pfeiffer, M.A., Dudley, N., Mayer, R.B., and Buffington, B., North Carolina Subsurface System Operators Training School Manual. Raleigh , N.C.: Soil Science Department, College of Agriculture and Life Sciences, North Carolina State University and North Carolina Department of Environment, Heath and Natural Resources, 1996. [3] Montgomery, T., On-site wastewater treatment systems: A brief description of ecological economic and regulatory factors. The New Alchemy Institute Technical Bulletin No. 6, 1990. [4] Seifer, R. Septic system fact sheets. Alaska Cooperative Extension, University of Alaska, Fairbanks, 1999. [5] Jarrett. A. R., Fritton, D.D., and Sharpe, W.E., Renovation of failing absorption fields by water conservation and resting. American Asssociation of Agricutural Engineers Paper 85-2630, 1985. [6] Gannon, R.W., Bartenhagen, K.A., and Hargrove, L.L, Septic Systems: Best management practice. North Carolina State University, Water Quality Group, 1999. [7] Brown, R.B., Soils and septic systems. Fact sheet SL-118 University of Florida Cooperative Extension Service, 1998. [8] U.S. EPA., Decentralized systems technology fact sheet, septic tank – soil absorption systems. United State Environmental Protection Agency, EPA 932-F-99-075, Office of Water, Washington, D.C., 1999. [9] American Public Health Association (APHA), Standard Methods for the Examination of Water and Wastewater APHA, 20th Edit., Washington, D.C., 1998. [10] U.S.EPA, Onsite wastewater treatment systems, special issues Fact sheet 1septic tank additives. U.S Environmental Protection Agency, National Risk Management Research Laboratory. EPA 625/R-00/008, 2005. [11] Banerjee, C., Bustamante, C.I., Wharton, R., Tally, E., and Wade, J.C., Bacillus infections in patients with cancer. Arch. Intern. Med. 148: 17691774, 1988. [12] Edberg, S.C., USEPA human herlth assessment: Balillus licheniformis. Upublished U.S. Environmental Protection Agency, Washinton, D.C, 1992. [13] Claus, D. and Berkeley, R.C.W., Genus Baillus chon 1872, pp. 1105-1139. In: P.H.A. Sneath, et al. (eds.) Bergey’s Manual of Systematic Bacteriology, vol. 2. Williams and Wilkins Co., Baltimore, MD, 1986.

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400 The Sustainable World [14] Norris, J.R., Berkeley, R.C.W., Logan, N.A., and O’Donnell, A. G., The genera Bacillus and sporolactobaillus. In: M.P. Starr et al. (eds.), The prokaryotes: A Handbook on Habitats, Isolation and Identification of Bacteria, Vol. 2. Springer-Verlag, Berlin, pp. 1711-1742, 1981. [15] Clark, G.H., The effect of bacterial additives on septic tank performance. Master’s Thesis, North Carolina state University, Department of Soil Science, Raleigh, NC., 1999. [16] Callow, R.K., and Hart, P.D., Antibiotic material from Bacillus licheniformis (weigmann, emend Gibson) active against species of mycobacteria.. Nature 15 : 334, 1946. [17] Johnson, B.A., Anker, H, and Meleney, F.L. Bacitracin: A new antibiotic produced by a member of the B. subtilis group. Sci. 102 : 376 – 377, 1945. [18] Shigemitsu, H., Hirano, K., Kohno, M., Eshizaki H., and Kunoh, H., Effect of Bacillus licheniformis on Fusarium oxysporum f. sp. Cucumerinum. Trans. Mycological Society of Japan 24: 477-486, 1983. [19] Scharen, A.L., and Bryan, M.D. A possible biological control agent for net blotch of barely. Phytopathol. 71 : 902-903, 1981. [20] Yoshida, S., Hiradate, S., Tsukamoto, T., Hatakeda, K., and Shirata, A., Antimicrobial activity of culture filtrate of Bacillus amyloliquefaciens RC2 isolated from mulberry leaves. Phytopathology 91: 181 – 187, 2001. [21] Lebbadi, M., Galvez, A., Valdivia, E., Martinez-Buen, M., and Maqueda, M., Biological activity of amoebicin m-4 from B. licheniformis M-4. Antimicrobial Agents Chemother 38, 1820 – 1823, 1994..

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Monitoring the biomass content in the aerobic digestor of a WWTP: correlation between gravimetric and optical methods M. Salaverría1, A. Elías1, A. Iturriarte2, L. Gurtubay1 & S. Paunero2 1

Department of Chemical and Environmental Engineering, University of the Basque Country, Spain 2 Operational Department, Acciona Agua Bilbao, Vizcaya, Spain

Abstract The aim of this work is to develop reliable and quick methods to quantify the amount of active biomass in the aerobic reactor of a Wastewater Treatment Plant (WWTP). The removal of pollutants contained in wastewaters is carried out by several processes involving physical, chemical and biological treatments. The biological treatment renders the elimination of the organic matter and takes place in aerobic reactors. A constant concentration of microorganisms in the reactor system ensures a high degradation performance, since an inappropriate biomass amount would hinder the process efficiency. Although the most used method to control microorganisms’ growth is based on the measurement of the solids content in the mixture, this simple determination has several drawbacks. First, it is a tedious procedure, which requires more than 24 h-performance, delaying the decision-making and proper control of the sludge recirculation rate. The second disadvantage is the lack of a standardized method for result calculation. Finally, high solids content is not directly related to a big amount of active biomass. In this study, absorbance and turbidity have been selected as additional parameters in order to obtain a reliable correlation between those optical parameters and dry weight measures. A quick measurement of absorbance or turbidity, related to the quantity of solids in the sample, makes the decision-making easier in the everyday operation of the plant. Keywords: WWTP, biomass, solids content, absorbance, turbidity, correlation.

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1 Introduction Wastewater Treatment Plants (WWTP) are necessary to reduce the contaminants contained in sewage, before water returns to the environment. The biological reactor is the stage in which organic matter degrades, due to the activity of the microorganisms contained in the sludge. Most plants operate in aerobic conditions, recycling part of the sludge to maintain the level of microorganisms in the vessel and removing their excess. The aeration tank volume of the plant selected in this study is 860 m3. There, bacteria and protozoa from the activated sludge are fed by pollutants and consequently pollutants are degraded. The key parameter to control that process is the viable biomass, which is troublesome to measure. There have been several proposals to seek an indicator which provides a good measure of the active biomass, such as gravimetric, optical or electrical methods. One of the most used parameter is the solids content. However, whereas some authors [1] determine Volatile Suspended Solids (VSS), others [2, 3] use Total Suspended Solids (TSS). Methods based on solids content appear to be a good alternative, but they are not immediate and they are not directly associated with viable biomass. Absorbance can also be a good indicator of microbial growth, although there is no agreement about the most appropriate wavelength. Thus, Muñoz et al. [4], selected 650 nm, Jiang et al. [5], used 480 nm. Other optical method which can be applied is turbidity, employed by van Benthem and de Grave [6]. Optical methods have the advantage of their immediacy, but interferences can be significant. Other methods, based on respirometric procedures, may also be suitable for the determination of microbial activity. Oxygen Uptake Rate (OUR) is frequently used [7]. The great advantage of these methods is that they are directly linked to the biological activity of the sludge. However, respirometric rate changes with the age of the sludge, so an exhaustive knowledge of the state of the biocenosis is required. Finally, studies concerning microbiological procedures could give very detailed information about the sludge. But these processes are complex and costly. This study has been carried out to compare different parameters used to control the viable biomass in activated sludge. Since all the methods present advantages and disadvantages, we have used some of them to assess the best one as far as time, simplicity and accuracy are concerned.

2 Materials and methods 2.1 Sampling Activated sludge was sampled from January to May 2010 in the aeration tank of the WWTP in Muskiz (Spain). The samples were taken with a bucket from 6 different points of the tank, and collected in 2-L, polyethylene bottles. They WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 1:

403

Aeration tank in Muskiz.

were kept refrigerated during transport to the laboratory, and analysis was made immediately, never exceeding 24 h [8]. 2.2 Conductivity, pH and temperature These three factors were considered as control parameters to verify the correct running of the plant. Conductivity, pH and temperature were measured, just after the sampling, with a Thermo Scientific Orion 4-Star Plus portable meter. 2.3 Settleable solids Settleable solids were measured according to the Standard Methods for the Examination of Water and Wastewater [8] and following the volumetric procedure. The procedure involved filling an Imhoff cone with 1 L of mixed sample. The volume of settleable solids in the cone was recorded after 1 h. 2.4 Biomass estimation 2.4.1 Solids content Solids content include suspended or dissolved matter in the mixed liquor. The determination of Total Solids (TS) was carried out by sampling 50 mL of mixed liquor and evaporating in an oven at 105ºC during 24 h. Volatile Solids (VS) were determined by heating the residue at 550ºC in a muffle during 1 h,. The Whatman GF/C filters used for the measurement of Total Suspended Solids (TSS) were washed with three successive 20-mL portions of deionised water, and ignited at 550ºC, for 15 min, before use. For the determination of TSS, a 100-mL sample was filtered and the filter was dried at 105 ºC, during 1 h. Finally, the weigh loss after ignition at 550ºC during 1 h, was the Volatile Suspended Solids (VSS).

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404 The Sustainable World Total Dissolved Solids (TDS) and Volatile Dissolved Solids (VDS) were measured following the same procedure of the TS and VS, but taking a sample from the filtered liquid. 2.4.2 Absorbance Absorbance was measured with a Heλios-α spectrophotometer. Prior to use, the device was equilibrated, and the baseline was adjusted with a glass cell full of deionised water. Next, the cell was filled with original sample. Since the solids content was high, and they settled fast, the sample was carefully homogenized by magnetic stirring before filling the cell. Absorbance was determined at 400, 500 and 600 nm. 2.5 Turbidity Turbidity of the mixed liquor was quantified with a HACH 2100-P turbidimeter. Two calibration standard solutions of 10.0 and 500 NTU were used. After the calibration, each sample was introduced in the cell to measure the turbidity. 2.6 Experimental design 2.6.1 Calibration curve In order to correlate the gravimetric and optical results the original mixed liquor was previously mixed with deionised water at different dilution ratios. Mixtures with a 0:10, 1:9, 2:8, 3:7, 4:6, 5:5, 6:4, 7:3, 8:2, 9:1 and 10:0 (v/v) ratio were prepared. The absorbance and turbidity of each solution was measured and results are shown in figure 2. In order to achieve a high correlation coefficient, the last three points of each curve were not considered. 2,5

1000

2,0

800

1,5

600

1,0

400



0,5



 

0,0 0

Figure 2:

500

Abs. 400 nm Abs. 500 nm Abs. 600 nm Turbidity 1000

Equation y=0.0017x y=0.0014x y=0.0012x y=0.7814x

VSS (mg/L)

2

r 0.9763 0.9731 0.9827 0.9940

1500

Turbidity (NTU)

Absorbance

 

200

0

2000

Calibration curve between VSS and optical parameters.

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As shown in figure 2, gravimetrical and optical methods correlated well. Nevertheless, if the sample has a high VSS content, dilution of the sample until VSS values lower than 1500 mg/L is recommended before measuring the absorbance or turbidity. Thus, the experimental results will be within the studied range and within the best fit.

 

3,0

Absorbance (600 nm)

2,5 2,0

Equation y = 0.0011x  Feb-10 y = 0.0011x  Apr-10  May-10 (1) y =0.0010x  May-10 (2) y = 0.0010x  May-10 (3) y =0.0010x

2

r 0.9675 0.9247 0.9535 0.9663 0.9716

1,5 1,0 0,5 0,0 0

500

1000

1500

2000

2500

VSS (mg/L) Figure 3:

Calibration curves between VSS and Absorbance at 600 nm.

As shown in figure 3, calibration curves with samples collected at different dates showed similar equations. The absorbance results of samples collected during consecutive months revealed that the ratio between this parameter and the VSS content remained constant.

3 Results The control of the “quality” of the incoming wastewater, in terms of pH, conductivity and solids content, is compulsory. The sewage pH and conductivity values throughout 8 months of operation are represented in Figure 4 (data provided by the operators at the WWTP in Muskiz). The pH values ranged between 7.1 and 7.8. However, in some unexpected moments (November, February and April), certain values were out of this range, probably due to sporadic industrial spilling or sea-water intrusion episodes. During, those episodes, high conductivity values (up to 1500 µS/cm) were also recorded. Conductivity values usually ranged from 500 to 1000 µS/cm during regular operation. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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1500

8,3

1250

8,0

1000

7,7

750

7,4

500

pH

Conductivity (µS/cm)

 

7,1 Cond. (µS/cm)

250

6,8

pH

0

6,5

Figure 4:

Evolution of incoming sewage pH and conductivity.

During the project, several samples were taken and experimental work was carried out once a week. The results obtained in different sampling points, as well as in different operations times, were very similar. According by, and in order to avoid repetitivity some of the results have been omitted and the average representative value for each month has been shown. The results of the solids content from January to May are shown in Table 1. Table 1:

Solids content average in the mixed liquor. TS (g/L)

VS/TS

VSS (g/L)

Jan-10

2.43

0.62

1.56

VSS/TS

Feb-10

2.42

0.64

1.56

0.64

Mar-10

2.90

0.69

1.85

0.64

0.64

Apr-10

3.99

0.73

2.47

0.62

May-10

3.19

0.71

2.26

0.71

The TS values were constant for the first months. Nevertheless, these values were higher during the last sampling months due to the increase in the sludge recirculation rate in the aerobic step. During this period of time, calibration curves were obtained to correlate the absorbance and turbidity with the solids content. The criterion followed to validate calibration curves was that VSS values obtained by gravimetrical methods differed less than 10% from those calculated from the correlation curve, obtained by optical parameters.

4 Conclusions The following conclusions were obtained: WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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 Optical methods, such as turbidity and absorbance, are highly recommended as reliable and fast alternatives to measure the VSS content in wastewater.  The selection of a high wavelength is recommended to minimize the interference generated by the TDS.  When the sample has a high VSS content, dilution until VSS values lower than 1500 mg/L is advisable before measuring the optical parameters.  The absorbance results of samples collected during consecutive months revealed that the ratio between this parameter and the VSS content remained constant. Nevertheless, further research about microbiological parameters is required. Consequently, in order to reach a better knowledge of the viability of the biomass in the aeration tank, we are currently conducting a further study about the microbiological state of the biomass.

Acknowledgements The authors acknowledge the University of the Basque Country (Research group GIU08/10UPV) for the financial support for the project. We also thank Consorcio de Aguas de Bizkaia, and especially Alicia Iturriarte (Acciona) for providing samples and historical data from the WWTP of Muskiz.

References [1] Farabegoli, G., Chiavola, A. & Rolle, E., The Biological Aerated Filter (BAF) as alternative treatment for domestic sewage. Optimization of plant performance. Journal of Hazardous Materials, 171, pp. 1126-1132, 2009. [2] Lu, Z., Zhang, M., Hua, L., Wang, R. & Wu, G., Treatment and recirculation technology of paper mill waste water. Appita Journal, 62, pp. 339-342, 2009. [3] Pabón, S.L. & Suárez Gélvez, J.H., Arranque y operación a escala real de un sistema de tratamiento de lodos activos para aguas residuales de matadero. Ingeniería e Investigación, 29, pp. 53-58, 2009. [4] Muñoz, R., Díaz, L.F., Bordel, S. & Villaverde, S., Response of Pseudomonas putida Fl cultures to fluctuating toluene loads and operational failures in suspended growth bioreactors. Biodegradation, 19, pp. 897-908, 2008. [5] Jiang, R., Huang, S., Chow, A.T. & Yang, J., Nitric oxide removal from flue gas with a biotrickling filter using Pseudomonas putida. Journal of Hazardous Materials, 164, pp. 432-441, 2009. [6] van Benthem, R. & de Grave, W., Turbidity sensor for bacterial growth measurements in spaceflight and simulated micro-gravity. Microgravity Science and Technology, 21, pp. 349-356, 2009.

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408 The Sustainable World [7] Moussa, M.S., Hooijmans, C.M., Lubberding, H.J., Gijzen, H.J. & van Loosdrecht, M.C.M., Modelling nitrification, heterotrophic growth and predation in activated sludge. Water Research, 39, pp. 5080-5098, 2005. [8] APHA-AWWA-WEF, Standard Methods for the Examination of Water and Wastewater (21st edition). Washington, 2005.

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Utilization of agricultural residues as animal feeds for fattening sheep in Saudi Arabia H. Al Tonobey & H. M. El Shaer Al Khalidiah Farm –Tebrak, Kingdom of Saudi Arabia

Abstract Due to diversified agricultural activities in Al Khalidiah Farm, SA (2500 hectares), more than 7000 ton/year of different agricultural residues (AGR) are produced annually. The study consisted of two trials; the first one aimed to evaluate the chemical composition and nutritive value of some selected AGR to be used as animal feeds and to evaluate the effect of dehydration treatments on their chemical and microbiological analysis. The second trial was conducted to investigate the impact of feeding combinations of five feed ingredients made from the tested agriculture residues on the performance of fattened sheep lambs. During the first trial, seven types of AGR (one ton each) were collected namely: 1- Landscape mowing grasses (LMG), 2- Mixed ornamental plants residues (MOPR) , 3- Olive trees pruning (OTP), 4- Citrus tree pruning (CTP), 5- Date trees pruning(DTP), 6- Horse stable grasses residues (HSGR) and 7- Green houses by-products (GHBP). These AGR were air-dried, ground and tested for preliminary chemical composition and nutritive value. Five tons from each of new AGR materials were air –dried, ground then heated in a drying drum at 90°C for 15 minutes. Five samples were taken, randomly, from each air- dried material and after being heated to evaluate the impact of heating on the chemical analyses and microbiological parameters of the tested materials. During the second trial, five rations from the tested AGR ingredients were formulated and offered to fifty weaned lambs (2 month- old and averaged 17.0 ± 0.73 Kg body weight) divided randomly in five groups (10 lambs each) in a group feeding system for a 9-week fattening period. The rations were offered ad libitum and consisted of: 1- LMG, 2- MOPR, 3- HSGR, 4- A mixture of olive tree pruning mixed with orange fruits by-products (OTPOF) for the four groups: R1, R2, R3, R4, respectively while the control group (R5) was offered Alfalfa hay. All groups were offered the Concentrate Feed Mixtures (CFM) at 60% of the total ration while roughages were offered at 40%. Animals were weighed at the beginning of the experiment WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100381

410 The Sustainable World and biweekly. Feeding allowances were adjusted biweekly according to body weight changes. Voluntary feed intake, feed conversion and feeding costs were determined. Representative samples of the feed ingredients were tested for chemical, pathogens and microbiological analysis. Results of the first trial indicated that all AGR feed ingredients appeared to be nutritious since they contained enough concentration of nutrients to cover animal nutritional requirements. Crude protein content varied among the feed ingredients and ranged from 6.53% (CTP) to 19.77% (LMG). Heating treatment, generally, did not affect (P>0.05) all nutrients concentration nor microbiological parameters of all tested feed ingredients. Results of the second trial showed that animals fed R2 followed by R1 recorded the highest average daily gain of 283 and 280 g/day, respectively as a reflection of their high feed intakes. Feed costs of rations R1 and R2 were comparable and showed the lowest feed costs per one kilogram gain (SR 1.35 and 1.36, respectively) while the control ration (R5) recorded the highest feed cost (SR 2.23). It is shown that lambs of R3 were more efficient in feed conversion (3.52 gm DM/gm gain) than the other tested rations. It could be concluded that using AGR in feeding animals is economic and has a positive impact on productive performance feeding costs of fattened lambs. Keywords: sheep, fattening, intake, feed efficiency, agricultural residues, environment, heating treatments, chemical composition.

1 Introduction Over the last few years, Saudi Arabia (2,150,000 sq km) has realized the advantages of agricultural residues (AGR) on the economy, industry and environment. With the rapid increase in cultivation of sizable lands in Saudi Arabia (SA) as well as animal feeds and fertilizer costs [1]. There has been a rapid realization that significant environmental and financial benefits can be achieved through proper utilization of AGR. Presently, there are more than 1.6 million tons of AGR produced annually in the Kingdom, approximately 28% of which comes mainly from date palm in addition to other tree crops [2]. Certain private agricultural companies sensed the importance of AGR and have already started new ventures to exploit these materials on sustainable basis. For instances, due to diversified agricultural activities in Al Khalidiah Farm (as one of the pioneer model farms, 2500 ha. in SA), around 7000 ton/year of different AGR are produced annually. On the other hands, the deficiency of animal feeds in SA reaches more transforming AGR into animal feedstuffs would help a great deal in overcoming this deficiency [1]. Most AGR have high contents of fiber and not easily to be digested in addition to low content of crude protein [3, 4]. To improve the quality and utilization of such materials by animals, several physical and mechanical methods should be applied such as: chopping, shredding, grinding, heating [5, 6]. Some mechanical methods or dehydration processes have proved to improve feed digestibility and efficiency for ruminants [3, 7, 8]. The study was conducted to investigate the impact of fattening weaned sheep lambs on five non-conventional feed ingredients made from the available AGR at Al Khalidiah Farm, Saudi Arabia. Feed costs in comparison with the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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traditional feed ingredients (based on alfalfa and Concentrate feed mixture) was also determined.

2 Materials and methods The study was conducted at Al Khalidiah Farm (120 km west of Riyadh) during summer 2009. It consisted of two trials. The first trial aimed to collect, identify the proper organic materials then to evaluate the chemical and microbiological analysis of the selected materials affected by dehydration processes. The second trial was conducted to evaluate the voluntary feed intake and feed efficiency of the formulated fattened rations based on AGR fed to Nagdi sheep during a 9week fattening period. 2.1 The first trial Around one tone from each of seven agriculture residues types was collected for preliminary chemical analyses and nutritive value to be used later as animal feed ingredients in fattened rations formulation. The main selected AGR ingredients were as follows: 1- Landscape mowing grasses (LMG), 2- Mixed ornamental plants residues (MOPR, the seasonal flowering plants for ornamental), 3- Citrus tree pruning (CTP), 4- Olive trees pruning (OTP), 5- Olive trees pruning - orange fruits (OTPOF), 6- Green houses by- products (GHBP) and 7- Horse-stable grasses residues (HSGR). Each material was air-dried separately, and then chopped and ground (8 mm) and three composite samples were collected from each material and kept for the chemical composition analyses and nutritive value determination. Around five tons from each material were collected again, chopped and ground (8 mm) and air-dried then heated into a drying drum at 900C for 10 minutes. Five samples were taken, randomly, from each air-dried feed materials before and after being heated to evaluate the impact of heating on the chemical analysis and microbiological parameters of tested materials. 2.2 The second trial Five fattening rations were formulated based on the tested AGR to be offered for five equal numbers groups of 2-month old weaned Nagdi sheep lambs (10 animals / group) averaged 17.0 ± 0.73 Kg body weight. The rations (R1, R2, R3 and R4) were formulated from the following agriculture residues feed ingredients: 1. LMG, 2. MOPR, 3. HSGR and 4. OTPOF. The control group (R5) was fed on alfalfa hay. The formulated rations are illustrated in Table 1. All animal groups were offered the Concentrate Feed Mixtures (CFM) as an energy supplementary feeding (Metabolizable energy = 5.54 MJ/Kg DM). The CFM consisted of 30% cotton seed cake, 47% yellow corn, 20% wheat bran, 2% limestone and 1% common salt. The fattening diets were given to animals at 60% concentrates (CFM) to 40% roughage ratio.

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412 The Sustainable World Table 1:

Experimental rations formulation.

Feed ingredients Roughages: 1. Landscape mowing grasses (LMG),% 2.Mixed ornamental plants residues (MOPR),% 3. Horse- stable grasses residues (HSGR),% 4. Olive trees pruning - orange fruits (OTPOF),% 5. Alfalfa Hay,% Crude protein (CP) ,% of roughages ME *(MJ/Kg DM) of roughages

R1

R2

R3

R4

R5

40 7.44

20 20 5.48

20 20 6.98

15 5 5 15 5.38

40 6.52

0.840

0.822

0.804

0.809

0.76

Concentrate Feed Mixture (CFM),%

60

60

60

60

60

Total crude protein of ration (CP) ,% *Total ME of ration(MJ/Kg DM)

15.36 4.164

13.40 4.146

14.90 4.128

13.30 4.133

14.44 4.092

*Metabolizable energy All dietary roughages were offered to animals ad libtum during the fattening trial. The amounts of feed offered and refused were recorded to calculate the actual voluntary daily intake for each animal group. Animals were individually weighed at the beginning of the experiment and every other week. Feeding allowances were adjusted biweekly according to body weight changes for lambs during the fattening period. All animals were allowed to drink fresh water free choice. Daily offered feeds, daily feeds refusals, bi-weekly live body weight changes, feed costs and feed efficiency of fattened animals fed the formulated rations were measured and recorded for each animal group. The representative samples of all feed ingredients were tested for proximate chemical analysis [9] and microbiological analysis which included total viable bacterial counts (cfu/g), molds and yeasts counts (cfu/g), total coliform (MPN/100g), faecal coliform (MPN/100g), salmonella detection (cfu/g) and mycotoxins detection [10, 11]. Data were subjected to the statistical analysis system according to SAS [12]. Differences in mean values among groups were compared by Duncan’s Multiple Range Test [13].

3 Results and Discussion 3.1 First trial 3.1.1 Chemical composition and nutritive values of the tested agriculture residues Data on the chemical composition and metabolizable energy (ME) content (MJ/Kg dry matter) of the selected feed ingredients based on AGR namely 1- LMG, 2- MOPR, 3- CTP, 4- OTP, 5- OTPOF ,6- GHBP and 7- HSGR are summarized, on overall averages, in Table 2.

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Table 2:

413

Chemical composition (%, on dry matter basis) and metabolizable energy*(MJ/Kg dry matter) of the selected AGR.

Feed materials

DM

OM

CP

CF

EE

ASH

NFE

ME

Landscape mowing grasses (LMG)

93.28

87.60

18.6

24.00

1.59

12.40

43.41

2.10

Mixed ornamental plants residues (MOPR)

94.38

84.39

13.47

23.12

1.28

15.61

46.52

1.91

Citrus trees pruning (CTP)

96.29

86.86

6.53

37.05

1.00

13.14

42.28

1.71

Olive trees pruning (OTP)

90.44

91.10

10.88

21.42

1.67

8.90

57.13

2.07

Olive trees pruning - orange fruits (OTPOF)

92.00

92.55

8.78

27.70

1.60

7.45

54.47

2.01

Green houses by- products GHBP)

95.74

89.00

12.10

34.70

1.25

11.00

40.95

1.90

Horse- stable grasses residues (HSGR)

95.85

89.80

12.00

33.67

1.40

10.20

42.73

1.93

*ME is calculated [14] DM: dry matter; OM: organic matter; CP: crude protein: CF: crude fiber: EE: ether extracts: NFE: nitrogen free extracts: ME: metabolizable energy. CTP could be considered as a poor dietary roughage due to its low level of CP (6.53%) and metabolizable energy (ME) with high crude fiber (37.05%) that might reduce its nutritive value, digestion and utilization [5, 6]. On the other hands, LMG appeared to be very nutritious since it contained the highest CP and ME in comparison with the other AGR. In general, all the tested AGR, except CTP, contained enough nutrients concentrations to cover the nutritional requirements of ruminant and small ruminants animals according to the recommendations of [15]. Such materials could be used successfully as good quality roughages [3, 6]. Therefore, it is suggested to formulate the fattening rations based on LMG, MOPR, HSGR, OTP, and OTPOF in the study. 3.1.2 Effect of dehydration treatment on chemical composition and microbiological parameters of the tested AGR The average values of chemical and microbiological parameters of the suggested five AGR: 1-LMG, 2- MOPR, 3- HSGR, 4- OTP, 5- OTPOF as affected by dehydration treatments are summarized in Table 3. Regardless of the dehydration treatments, most of the nutrients were influenced significantly (P< 0.05) by the AGR types. Dehydration of the AGR using heating treatments showed varied influences on their chemical composition and microbiological parameters. It seems that although some of chemical nutrients were slightly changed by heating treatment, most of nutrients in the tested materials were not affected significantly by the dehydration treatments. For instances, CF and ash contents of the heated OTP and OTPOF were slightly higher compared to those of the air-dried ones whereas OM and nitrogen free extracts (NFE) values were decreased by heating treatment. Similarly, ether extracts (EE) of the air-dried LMG and MOPR decreased (P< 0.05) by heating. Regardless of such little changes of nutrient concentrations, the air-dried AGR may be sufficient enough to cover the animal nutritional requirements [15]. Data on microbiological analysis of the five AGR (Table 3) revealed that all the measured parameters (Total coliform count, Fecal coliform count, Yeast and mold count, Salmonella spp, Staph aureus, Bacillus cereus, and Aflatoxins) were not affected by heating treatment and they were in the normal ranges without any expected harmful effects [10, 11, 16]. Based on the above mentioned WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

414 The Sustainable World facts, it was suggested that the tested air- dried AGR materials should be used for formulating the dietary rations for the fattened lambs in the study. Above all, it would decrease the cost of feeding due to saving the costs of energy for heating treatment. Table 3:

Proximate chemical composition (% on dry matter basis) and microbiological parameters of the five AGR* affected by dehydration treatments.

Parameters

Air- dried AGR

Heated AGR

LMG

MOPR

HSGR

OTP

OTPOF

LMG

MOPR

HSGR

OTP

OTPO F

Dry matter

91.40ab

90.19ab

96.48a

87.51ab

91.83ab

98.92a

97.10a

98.60a

99.44a

97.45a

Crude protein

19.77a

12.72b

12.76b

10.58bc

8.81bc

20.10a

13.64b

12.79b

10.88bc

9.63bc

Crude fiber

22.40b

20.74b

35.65a

17.25c

28.35ab

24.61b

22.66b

34.07a

21.42b

27.50a b

Ether Extract

2.18a

1.71ab

1.00c

1.76ab

1.44bc

1.50b

1.22bc

1.32b

1.67ab

1.72a

Organic matter

86.89ab

83.26ab

89.78a

92.69a

93.55a

86.78ab

80.16b

88.45ab

91.10a

89.50a

Ash

13.11b

16.74a

10.22b

6.45c

13.22b

19.84a

11.55b

NFE

42.54c

48.09ab

40.37c

54.95a

40.57b

42.64b

40.27b

ND

ND

Aflatoxins

ND***

Total count

coliform

Fecal count

coliform

1.2x10

6

3.0x10

1.1x10

5

8.0x10 6

2.6x10

7.31c 63.10a ND 6

5.0x10 6

2.8x10

ND 5

1.0x10 6

2.7x10

ND 4

<10 6

2.2x10

ND 4

1.0x10 5

4

7.0x10

ND 3

3.0x10 4

4.1x10

8.90c

10.50b

57.13a

50.56a b

ND 4

<10

1.8x10

ND 3

<10 4

9.5x10 <10

4

Yeast & mold count

2.6x10

almonella cfu/gm

spp,

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

Staph cfu/gm

aureus,

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

Bacillus

cereus,

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

ND

cfu/gm Clostridium cfu/gm

spp,

4.3x10

3.1x10

4.8x10

6.0x10

3.3x10

3.7x10

5.3x10

2.4x10

2

8.4x10

3

*1-Landscape mowing grasses (LMG), 2- Mixed ornamental plants residues (MOPR), 3- Horse-stable grasses residues (HSGR), 4- Olive trees pruning (OTP), 5- A mixture of olive tree pruning mixed with orange fruits by-products (OTPOF). **a, b, c; means with different letters in the same row differ significantly (P< 0.05), otherwise no significant differences. ***ND: Not Detected. 3.2 Second trial 3.2.1 Effect of feeding fattening rations based on AGR on the performance of fattened Nagdi lambs The proximate analysis of the feed ingredients used for formulating the fattening rations is shown in Table 4. The five feed ingredients based on AGR were: 1- LMG, 2- MOPR, 3- HSGR, 3- OTP, 5- OTPOF. Alfalfa hay was used as good quality roughage for feeding the control group (R5) and to be compared with WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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feeding AGR feed ingredients for animals in R1, R2, R3 and R4 as indicated earlier in Table 1. It is noticed that LMG attained the highest CP level (19.77%) and metabolizable energy (2.10 MJ/Kg DM) while MOPR and HSGR contained similar levels of CP (around 12.7%). Although OTPOF showed the lowest CP level (8.81%), it contained higher metabolizable energy (2.01 MJ/Kg DM, as shown in Table 2). Based on data in Tables 1, 2 and 4, the total crude protein of the fattening rations were 15.36, 13.40, 14.90, 13.30 and 14.44% for R1, R2, R3, R4 and R5, respectively; the corresponding figures for metabolizable energy were 4.164, 4.146, 4.128, 4.133 and 4.092 MJ/Kg DM in respective orders (Table 1). Table 4:

Chemical composition (%, on dry matter basis) of the feed ingredients used for formulating the fattening rations.

Feed ingredients Landscape mowing grasses (LMG)

DM 91.4

OM 86.89

CP 19.77

CF 22.4

EE 2.18

ASH 13.11

NFE 42.54

Mixed ornamental plants residues (MOPR) Horse stable grasses residues (HSGR) Olive trees pruning mixed with orange fruits by- products (OTPOF)

90.19

83.26

12.72

20.74

1.71

16.74

48.09

96.48

98.78

12.76

35.65

1.00

10.22

40.37

91.83

93.55

8.81

28.35

1.44

6.45

54.95

Alfalfa Hay (AH)

91.55

85.83

16.3

25.86

1.96

14.17

41.71

Concentrate Feed Mixture (CFM)

90.9

92.29

13.2

10.15

2.32

7.71

66.62

Concerning voluntary feed intake (Kg DM/day) of the fattened lambs (Figure 1), it was noticed that animals fed R1, R2 and R3 started to consume the experimental rations gradually then the consumption was increased rapidly afterwards up to the end of the period (9 weeks) compared to those fed the control ration. Such trends were occurred due to the inclusion of LMG in the rations at 40, 20, 20 and 15%, in R1, R2, R3 and R4, respectively. The LMG ingredient was consumed very fast before any other feed ingredients indicating high palatability. By the end of the fattening trial, the highest voluntary feed intake (VFI) from the roughage materials was reordered for animals in R2 then followed by those in R4, R1 and R3 in respective orders. The VFI of alfalfa hay in the control (R5) showed the lowest value indicating that all AGR feed ingredients were more acceptable to all animal groups rather than alfalfa.

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416 The Sustainable World

8 7.5 7 6.5 6

Kg DM/Group

5.5 R1 R2 R3 R4 R5

5 4.5 4 3.5 3 2.5 2 1.5 1 W1

W2

W3

W4

W5

W6

W7

W8

W9

WeeK

Figure 1:

Voluntary feed intake (Kg DM/day) of the fattened lambs. Body weight changes (Kg)

40

35

30

R1 R2 R3 R4 R5

25

20

15

10 1

2

3

4

5

6

7

8

9

10

11

Week

Figure 2:

Body weight changes (kg /head) of the fattened lambs.

Live body weigh changes were affected to some extents by the patterns of VFI of AGR feed ingredients where the highest body gain was recoded for animals fed R2 and R1 (17.8 and 17.6 kg, respectively) followed by those fed R3 WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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(17 kg), R4 (16.8 kg) and the control group (R5) recorded the lowest gain (15.6 kg) without any significant (P>0.05)differences as show in Figure 2. These results are similar to those obtained on sheep fed on some AGR such as vegetable by products, ground date seeds and fruit by products [2, 6]. As expected, average daily gain (ADG, g/head/day) of the fattened lambs tended to increase rapidly after the fourth week of feeding due to the increase in VFI of AGR feed ingredients as shown in Figure 3. Animals fed R2 and R1 recorded the greatest ADG (283 and 280 g/head/ day, respectively and was higher approximately 12% than that of the control group (248 g/ head/day). Animals in R3 and R4 showed comparable weight gain (270 vs. 260 g/head/day). The patterns of body weight changes and ADG, consequently, were a reflection of both dry matter intake(DMI) and the nutritive values of the fattening rations where animals fed AGR feed ingredients (R1, R2, R4 and R5) tended to consume CP and ME more than those fed the control ration (R1) as shown in Table 1 and Figure 1. These findings are in close agreement with those reported by many investigators [4, 7, 8, 17].

Average daily gain (g) 300 280 260 240

R1 R2 R3 R4 R5

220 200 180 160 140 120 100 0

1

2

3

4

5

6

7

8

9

week

Figure 3:

Average daily gain (g/ head/ day) of the fattened lambs.

Data on feed efficiency and feed costs (Table 5) reported that feed efficiency ranged from 3.49 (R5) to 3.73 g DM/g gain (R2). In comparison between the four AGR fattening rations with the control ration (R5), it appeared that feeding R1, R2, R3 and R4 would decrease the costs around SR 40, 39, 25 and 37, respectively. Therefore, feeding such AGR for fattened sheep would be more WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

418 The Sustainable World economic than feeding conventional expensive feed ingredients (e.g. alfalfa) which support the earlier results reported by many workers using AGR as feed materials for sheep and goats[3, 8, 17, 18]. Table 5:

Body weight (BW) changes, average daily gain (ADG), dry matter intake (DMI) and feed efficiency and costs.

Parameters

R1

R2

R3

R4

R5

SE

**Significant

Initial BW (kg)

17.6

18.2

17.0

17.0

16.8

0.37

n.s.

Final BW (kg)

35.3

36.0

34.0

33.8

32.4

1.05

n.s.

BW changes (kg/ head)

17.6

17.8

17.0

16.8

15.6

1.02

n.s.

ADG (g /head/ day)

280

283

270

266

248

16.2

n.s.

DMI (g /head/ day) Roughage

390

402

283

342

318

CFM

654

661

668

661

547

Total

1044

1063

951

1003

865

3.73

3.76

3.52

3.77

3.49

1.35

1.36

1.67

1.40

2.23

Feed efficiency g DM/ g gain Feed costs *SR / 1 kg gain

*SR: Saudi Riyal= US$ 0. 27. **n.s.: not significant at 5% probability level. It is well known that the costs of animal feeding represent about 75% of the animal production investment, so consequently, animal products (meet, milk, etc,) would be produced at reasonable prices and the net revenue for livestock owners would be increased through feeding these ground AGR feed materials. Grinding the AGR leads to a reduction in particle size, and increase in surface area and density [17, 18]. Associated with these changes, an increase in voluntary intake, a reduction in digestibility and increase in the efficiency of the utilization of metabolizable energy are obtained [5]. Grinding led to an increase of 25% in voluntary intake, of 98% in daily live weight gain and of 36% improvement in conversion efficiency [5, 18].

4 Conclusions It can be concluded that most of agriculture residues could play an important role in feeding animals due to their great nutritional potentiality particularly if such materials are processed through proper treatment as air-drying and grinding. Feeding such AGR for fattened sheep would be more economic than feeding conventional expensive feed ingredients (e.g. alfalfa). It is safe to recommend that LMG) and/or OTPOF can be used successfully for formulating small ruminants feeds due their high palatability and nutritive values and on the other hands, the farms would be friendly environment.

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References [1] El-Ghamdy, M. the use of agriculture residues in feed industry, Saudi Arabia. Proceedings of FAO Expert Consultation on the Utilization of Agricultural Residues. Cairo, Egypt, 6- 8 June, 2004, pp. 210-221, 2004. [2] Mousa, H. Saudi Arabia Biotechnology Update .USDA Foreign Agricultural Service, Global Agriculture Information Network GAIN Report - SA7012, 2007. [3] El-Shinnawy, M.M. The use of some by products in feed mixtures for feeding animals. Ph.D. Thesis, Cairo Univ., Fac. Agriculture, Cairo, Egypt, 1974. [4] Dobbins, C.N. Jr. Biomeal, food waste converted into an animal feed ingredient. Off-Proc-Annu-Meet-Am-Assoc-Feed-Microsc, 22d:107-111, 1977. [5] Anderson D C. Use of cereal residues in beef cattle production systems. Journal of Animal Science 46:849-861, 1978. [6] El Shaer, H.M. Utilization of agriculture residues for animal feed. Proceedings of FAO Expert Consultation on the Utilization of Agricultural Residues. Cairo, Egypt, 6- 8 June, 2004, pp. 15 -28, 2004. [7] El Shaer, H.M.; Attia-Ismail, S.A. and Kandil, H.M. Processing and feeding value of poultry manure as a feed ingredient for sheep. Egyptian J. Animal Production. 31: 121 – 133, 1994. [8] Gabina, D. and El Shaer, H.M. Animal production technologies. Proceedings of the Final Seminar of the Regional Action Programme on Rainfed Agriculture (RAP-RAG) of the EC (Europe Aid) – CIHEAM Cooperation Project 1998 -2003, Zaragosa , Spain , 2-3 June , 2003, pp. 231 – 261, 2003. [9] A.O.A.C. Association of official Analytical chemists: Official Methods of Analysis (15th Ed) Washington, D.C., U.S.A., 1990. [10] Jackson, M.L. Soil Chemical Analysis. Prentice Hall, New Delhi, pp.485, 1973. [11] Wong, S.Y. and S.S. Lin. Composts as sol supplement enhance plant growth and fruit quality of straw berry. J. Plant Nutr. (25), 2243-2259, 2002. [12] SAS. 1993. Institute, Inc., SAS/STAT, Guide for Personal Computers Versi. USA. [13] Duncan, D.B. Multiple range and multiple. F. tests Biometrics. 1955. [14] Church D. C. and W. G. Pond. Basic Animal Nutrition and Feeding (3rd Ed.). John Wiley & Sons, New York. 1982. [15] Kearl. I.C. Nutrient requirements of ruminants in developing countries. Utah Agric. Exp. Sept. Utah State University, Logan, USA. 1982. [16] Samuel, OBI, K.C. Aflatoxins levels in laboratory animal diet components. Zbl. Vet. Med. B, 25: 174- 177, 1978. [17] Youssef, K.M., Askar, A.R. and El Shaer, H M. Effect of feeding nonconventional concentrates as a feed block supplement on performance of Shami goats in North Sinai, Egypt. Proc. Regional Workshop on Recent WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

420 The Sustainable World Advances in Goat Production Under Arid Condition, April 10 -13, 2006, Cairo, Egypt, pp 37- 45 , 2006. [18] El-Shaer H.M.; H.M. Kandil; H.S Khamis and H.M. Abo E1-Nasr. Alternative feed supplement resources for sheep and goats in Egypt. Proceedings of Seminar on Recent Advances in Small Ruminant, Rabat, Morocco, pp. 15 - 20, 1996.

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Recycling of exposed photographic X-ray films and recovery of silver using Bromelain K. V. Radha & C. Arun Department of Chemical Engineering, A. C. College of Technology, Anna University, Chennai, India

Abstract In the present work an environmentally friendly recycling system to peel away the base coat from the X-ray film by using an enzyme was developed. Bromelain, a proteolytic enzyme extracted from the waste apex of pineapple was used for stripping the silver layer on the exposed film by hydrolysis of gelatin. The collected film can be reused for the manufacturing of X-ray film or other materials like fabrics, packaging films, recording tapes, and soft-drink bottles. The silver recovery conditions were optimized and the slurry obtained from the treatment of X-ray with Bromelain was analyzed using a scanning electron microscope. The slurry was smelted in the presence of flux (Na2CO3) in a furnace to recover 99.9% pure silver. Thus it helps in the recycling of X-ray film and recovery of silver without any harm to the environment. Keywords: waste management, X-ray films, waste pineapple apex, Bromelain, recovery of silver, metal ion concentration, gelatin, smelting, EDAX.

1 Introduction Silver is a rare, precious, naturally occurring metal, often found deposited as a mineral ore in association with other elements. Fifty percent of silver produced is used in photographic and imaging materials. Silver is unique in its ability to react with light to produce images in applications such as photography and radiography (X-rays). Major emissions of silver are from the manufacture and disposal of certain photographic and X-ray films. X-rays films used in medical applications are made of a plastic sheet (polyester film) coated with a thin coating of gelatin (protein) impregnated with silver grain. X-ray films are normally discarded by incineration and chemical WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100391

422 The Sustainable World processing. However, the standard silver loss in an incineration process is about 25%-30% and the smoke produced is very toxic and illegal. The chemical processes are very difficult, expensive, inefficient and risky. Nowadays various studies have been carried out using proteases which play a crucial role in the recycling of exposed X-ray films (Akihiko et al. [16]). Protease, referred to as proteolytic enzymes hydrolyze and digest, depolymerise or degrade or decompose protein. Bromelain is one of the proteolytic enzymes present in several varieties of pineapple fruit, the leaves, apex and stems. Bromelain breaks down the gelatin protein that serves as the support medium for the emulsion when it reacts with X-ray films. If the gelatin is destroyed the black silver grains will slough off, leaving a clear plastic sheet of the x-ray film. The obtained slurry was dried and smelted in the presence of flux in a furnace to obtain pure silver. The objective of the present study was the extraction and purification (Waliszewski et al. [12]) of Bromelain enzymes from the waste apex of pineapple and to study the effect of optimal environmental parameters (Khan et al. [11]). The kinetic parameters are to be estimated using gelatin as substrate. The X-ray films are treated by using Bromelain extract. It helps in the recycling of polymeric material in X-ray film and also recovers silver without any harm to the environment (Nakiboglu et al. [17]).

2 Experiments 2.1 Extraction of Bromelain Waste pineapple apex collected from a market in Chennai, India, was used for the extraction of Bromelain, a proteolytic enzyme. The pineapple apex was cut into pieces and blended using a juice extractor. The blended tissue was homogenized using a homogenization buffer (Phosphate buffer) and this is used as crude extract. The crude extract was passed through a Buckner funnel and it was centrifuged at 7000 rpm for 15 minutes and the supernatant was used as the crude homogenate. 2.2 Estimation of total protein concentration Lowry protein assay which is used for the quantitative determination of protein concentration is described by Lowry et al [14]. In this assay tyrosine in protein reacts with Folin’s ciocalteau reagent and CuSO4 solution to produce a blue colour with an absorption maximum of around 620 nm. The concentration of protein was estimated by referring to a standard curve obtained at the same time using known concentration of bovine serum albumin. 2.3 Proteolytic activity measurement using spectrophotometer Enzyme activity was defined as GDU/g of pineapple apex. Gelatin Digestion Unit (GDU) is the amount of enzyme which produces 1 μg of tyrosine per minute in 1% solution of gelatin. Gelatin (25 ml) was treated with enzyme WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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solution (3 ml) in 1 M sodium phosphate buffer for 15 min and the reaction was stopped by the addition of 5% trichloroacetic acid (TCA) (25 ml). The precipitated material from each reaction mixture was removed by centrifugation and the supernatant was assayed by Lowry’s method. An appropriate blank solution was also prepared and absorbance values at 620 nm were measured with reference to the blank using spectrophotometer (SL177, scanning minispec, ELICO LTD, type 212, India). The absorbance values obtained could be correlated with enzyme activity. 2.4 Effect of temperature on enzyme activity The effect of temperature of the crude enzyme on the reaction was determined by incubating the reaction mixture containing Bromelain solution and 2% gelatin solution. Reaction was allowed for 15 minutes at different temperatures from 30ºC to 60ºC at intervals of 5 and the reaction stopped with 3 ml of 5% trichloroacetic acid. An appropriate blank solution was also prepared and absorbance values at 620 nm were measured with reference to the blank. The absorbance values obtained could be correlated with enzyme activity. 2.5 Effect of PH on enzyme activity The effect of pH of the crude enzyme on the reaction was determined by incubating the reaction mixture containing Bromelain solution and 1% gelatin solution. Reaction was allowed for 15 minutes at 55ºC with different pH from 4.5 to 8 at intervals of 0.5 and the reaction stopped with 3 ml of 5% trichloroacetic acid. An appropriate blank solution was also prepared and absorbance values at 620 nm were measured with reference to the blank. The absorbance values obtained could be correlated with enzyme activity. 2.6 Effect of substrate concentration on enzyme activity 100ml of enzyme solution was taken in conical flask and to it different grams (550 at equal intervals) of waste X-ray film (gelatine) was added at a temperature of 55°C and pH 6 for 1 hour to strip the silver materials from the X-ray films. After 1 hour x ray films are separated from the solution and the solution was centrifuged. The precipitate was dried and weighed and this could be correlated with enzyme activity. 2.7 Effect of initial enzyme concentration on enzyme activity 20 grams of waste X-ray film (gelatine) was taken in conical flask and to it 535ml (at equal interval) enzyme solution was added and the reaction was taken at 55°C with pH 6 for 1 hour to strip out the silver materials from the X-ray films. After 1 hour X-ray films are separated from the solution and solution was centrifuged. The precipitate was dried and weighed and the values could be correlated with enzyme activity.

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424 The Sustainable World 2.8 Effect of metal ions on enzyme activity The effect of metal ions (ferrous, copper, silver, lead, cobalt, chromium) was determined by reacting 1% gelatin solution in the presence of 1gram of different metal ions with the enzyme solution. The reaction is carried out for 15 minutes at a temperature of 55ºC and the reaction stopped with the addition of 3 ml of 5% trichloroacetic acid. An appropriate blank solution was prepared and absorbance values at 620 nm were measured with reference to the blank. The absorbance values obtained could be correlated with enzyme activity. 2.9 Effect of time on silver recovery 20 grams of waste X-ray film (gelatine) was taken in a conical flask and to it 30ml of enzyme solution was added and the reaction was carried out at 55ºC and pH 6 for different time intervals(5-40) to strip off the silver materials from the X-ray films. X-ray films are separated from the solution and solution was centrifuged. The percentage of silver present in the precipitate was analyzed. 2.10 Treatment of X-ray film using Bromelain X-ray film, coated on both sides with gelatine is first washed with distilled water and wiped with cotton impregnated with ethanol and cut into pieces. Fig 6 clearly shows the flow chart that explains the treatment process. Before treatment it was heated in an oven at 50ºC for 30 minutes and each film was immersed in Bromelain enzyme at 55ºC and at pH 6 for 1 hour. Essentially, all the silver had been removed from the film and the treated X-ray films are separated from the solution and solution was centrifuged. The precipitate was dried. 2.11 Silver purification The precipitate obtained was dried and mixed with sodium carbonate placed in a crucible and smelted for 30 min at 750ºC. The smelted silver was quenched to form silver grain. This will give pure silver grains.

3 Results and discussion 3.1 Estimation of total protein concentration The total protein was estimated by referring to a standard curve (Figure 1) obtained using a known concentration of bovine serum albumin. The protein content of unknown solutions (enzyme) was found by comparing the color produced by the unknowns with the standard curve. Total protein was found to be 0.959 mg/ml and after purification of enzymes whose total protein content is 0.872 mg/ml.

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Figure 1:

425

Standard graph for estimation of protein concentration.

3.2 Effect of temperature on enzyme activity The effect of temperature on enzyme activity with varies temperature ranges were studied. Increase in temperature will increase the reaction rate until the enzyme becomes denatured and the maximum operating temperature was determined as 55ºC using gelatin as substrate (Figure 2). Similar work has been conducted by Koh et al. [9] showing that the optimum temperature was found to be 60ºC for fruit extract from pineapple using azocasein and casein as substrate respectively.

Enzyme Activity in %

50 40 30 20 10 0 25

30

35

40

45

50

55

60

Temperture in Degree celusies

Figure 2:

Effect of temperature on enzyme activity.

3.3 Effect of ph on enzyme activity Protease enzymes generally can be categorized into two groups with respect to their optimal pH acidic or alkaline. The effect pH on the activity of the enzyme was investigated using gelatin as substrate. The maximum operating pH for Bromelain from pineapple apex was found to be pH 6.5 (Figure 3). From the result, Bromelain extracted from pineapple apex was confirmed as acidic protease. Similar result was reported by Waliszewski et al [12] showed fruit Bromelain has optimum pH 6.5. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

426 The Sustainable World 40 Enzyme activity in %

35 30 25 20 15 10 5 0 3

4

5

6

7

8

pH

Figure 3:

Effect of pH on enzyme activity.

3.4 Effect of substrate concentration and initial enzyme concentration on enzyme activity Enzyme activity was higher for a substrate concentration (Figure 4) was higher (24.6%) at the value of 35 g of X-ray film /50 ml of enzyme solution. The effect of initial enzyme concentration gave a linear increment in enzyme activity and it was higher (18.2%) at a value of 20 g of X-ray film per 30 ml of enzyme solution.

Enzyme activity %

30 25 20 15 10 5 0 0

5

10

15

20

25

30

35

40

45

50

55

Substrate concentration ,g/ml

Figure 4:

Effect of substrate concentration on enzyme activity.

3.5 Effect of time on silver recovery The effect of time on silver recovery (Figure 5) shows that at 35 min the recovery percentage is higher, i.e. 99.3%. From the results obtained it is clearly evident that time conception is much less for the treatment of X-ray film using Bromelain when compared with other chemical treatment methods.

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100 90 80 70 60 0

10

20

30

40

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Time, min

Figure 5:

Effect of time on silver recovery.

3.6 Effect of metal ions on enzyme activity The effect of metal ion (ferrous, copper, silver, lead, cobalt, chromium) on enzyme activity (Figure 6) shows that cobalt and copper seems to affect the enzyme activity to a large extent. It was found that the effect of silver on enzyme activity is negligible so this shows that silver present in X-ray film will not affect the enzyme and substrate reaction. 40 30 20 10

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Effects of metal ions on enzyme activity.

3.7 Treatment of X-ray film using Bromelain 1 g of waste X-ray film was treated using 100ml of Bromelain crude extract to strip out the silver materials from the X–ray films at 55ºC and pH 6 for 35min and the cleared polymeric material can be reused. Figure 7 shows that the X-ray films before and after treatment. Similarly, Nakiboglu et al. [17] has reported that the protease from Bacillus subtilis decomposes the gelatin layer and clears the film by stripping out the silver grains on them at 50ºC. But the purification step is difficult and at the same time maintaining the microbe at its optimum condition is very important. But this process is comparatively easier, the process WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Figure 7:

Figure 8:

X-ray film before and after treatment.

SEM Image of X-ray film before treatment with Bromelain.

No silver particle present

Figure 9:

SEM Image of X-ray film after treatment with Bromelain. The silver particle is completely stripped out from the polymeric material.

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is cheaper because the enzyme was extracted from waste pine apple apex and the process is pollution free. SEM studies performed before (Figure 8) and after treatment (Figure 9) shows that all sliver grains on the X-ray film was completely stripped out from polymeric material.

4 Conclusions The Bromelain enzyme was extracted by using the juice extracted from pineapple apex. Concentration of total protein in crude homogenate was estimated at 0.959 mg/ml and after purification the concentration of total protein was found to be 0.872mg/ml. Maximum operating ph and temperature for Bromelain was found to be 6.5 and 55ºC respectively. Effect of time on silver recovery shows that at 35 min essentially all sliver grains on X-ray film was completely stripped out from the polymeric material. It is confirmed by analyzing the X-ray film before and after treatment using SEM. The cleared X-ray film was collected and dried. The collected film can be reused for manufacturing of X-ray film and also used for production of fabrics, packaging films, recording tapes, and soft-drink bottles. All the above results show that this process is cheaper, pollution free and efficient. By this process 98% of silver can be recovered from X-ray film and the silver can be reused for silver solder, jewels, silver plating of utensils, electrical components and film manufacture. The purity of silver obtained was found to be 99.9%. Thus this process is an eco friendly process.

References [1] Adani K.G, Barley R.W & Pascoe R.D., Silver recovery from synthetic photographic and medical X-ray process effluents using activated carbon. Minerals Engineering 18, pp.1269–1276, 2005. [2] Barun K Bhattacharyya, Bromelain: An Overview, Natural Product Radiance 7(4) 359-363, pp.2008. [3] Datye K.V, Raje H.M & Sharma N.D., Poly (Ethylene Terephthalate) Waste and its Utilization: A Review, Resources and Conservation 1l, pp.117-141, 1984. [4] Dusenberry, Silver recovery process, United States Patent, 3960550, 1976. [5] Frattini Fileti A.M, Fischer G.A, &Tambourgi E.B., Optimizing Bromelain Extraction by Reversed Micelles from Pineapple Fruit, Brazilian Journal of Chemical Engineering, 17,pp.29-38,2005 . [6] Geyken E, & Dawidowitsch P., Apparatus for processing photographic film and treating contaminated processing liquids. US Patent, 4081816, 1978. [7] Glider, W. V., Hargrove, M. S., Using Bromelain in pineapple juice to investigate enzyme function, tested studies for laboratory teaching pp.275295, 2002. [8] Grout, M. Kenneth, Method and apparatus for recovering silver and plastic from used film. United States Patent 4392889, 1983.

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430 The Sustainable World [9] Joonseok Koh, Sang-Mo Kang, Soo-Jin Kim, Min-Kyung Cha, Yoon-Jung Kwon, Effect of pineapple protease on the characteristics of protein fibers, 7, pp.180-185, 2006 . [10] Kalpana Devi M, Rasheedha Banu M, Gnanaprabhal G.R, Pradeep B.V.& Palaniswamy M., Purification, characterization of alkaline protease enzyme from native isolate Aspergillus niger and its compatibility with commercial detergents, J. Sci. Technol 7, pp.1-5, 2008. [11] Khan R .H, Rasheedi S & Haq S K, Effect of pH, temperature and alcohols on the stability of glycosylated and deglycosylated stem bromelain, J. Biosci, 28, pp. 709–714, 2003. [12] Krzysztof Waliszewski N, Ofelia Márquez & Violeta Pardio T., Quantification and characterisation of polyphenol oxidase from vanilla bean, Food Chemistry 117, pp.196-203, 2009. [13] Line weaver H & Burk D., The Determination of Enzyme Dissociation Constants. Journal of the American Chemical Society, 56, pp. 658–666, 1934. [14] Lowry O. H, Rosebrough N. J, Farr A. L & Randal R. J, J. Biol. Chem 193 265-275,1951. [15] Marinkovic J, Korac M, Kamberovic Z & Matic I., Recycling of Silver from Exposed X Ray Films, Aeta Metallurgica slovaca, pp. 262-268, 2006. [16] Masui Akihiko, Masahiro Yasuda, Nobuaki Fujiwara, Haruo Ishikawa., Enzymatic Hydrolysis of Gelatin Layers on Used Lith Film Using Thermostable Alkaline Protease for Recovery of Silver and PET Film. Biotechnol. Progress, 20 (4) pp. 1267-1269, 2004. [17] Nuri Nakiboglu, Duygu Toscali, Ihsan Yasa., Silver Recovery from Waste Photographic Films by an Enzymatic Method, Turk J Chem pp. 349-353, 2001. [18] Nuri Nakiboglu, Duygu Toscali Ihsan Yasa, A Novel Silver Recovery Method From Waste Photographic Films With Naoh Stripping, Turk J Chem pp. 127 -133, 2003. [19] Pickles Christopher A, Toguri James Truong M, Hieu, Clark, Janet G, Recovery of silver values from chlorides including silver chloride. United States Patent 5085692, 1992. [20] Puchalski M, Dąbrowski P, Olejniczak W, P. Krukowski, P. Kowalczyk, K. Polański, The study of silver nanoparticles by scanning electron microscopy, energy dispersive x-ray analysis and scanning tunnelling microscopy, Materials Science-Poland 25 (2), pp.473-478 (2007). [21] Rabelo A. P. B, E. Tambourgi B, Pessoa Jr. A, Bromelain portioning in two-phase aqueous systems containing PEO-PPO-PEO blocks copolymers, Journal of Chromatography, 807, pp. 61-68,2004. [22] Waliszewski W & Corzo C, Crude fruit-Bromelain affinity to different protein substrates. IFT Annual Meeting, section 49E-30, 2004. [23] Han Z.X, Wei J.Y, Zhao M & Hu J.F, A method to recover silver from waste X-ray films with spent fixing bath. Hydrometallurgy 92, pp.148-151, 2008.

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Malaysian newspapers coverage of waste issues: problems in need of solutions? H. A. Hamid, A. Hussein & S. L. Chu School of Communication, Universiti Sains Malaysia, Penang, Malaysia

Abstract The media have a role as information transmitter and educator to the public; exposing and creating awareness among the public regarding environmental issues inclusive of waste control and management issues. This paper reports a study which examined how waste issues were framed in selected Malaysian English-language newspapers. Articles regarding waste issues and management published in The Sun and New Straits Times from 2003 to 2007 were analysed. A total of 616 articles on waste issues were identified and subjected to quantitative and qualitative content analyses to determine the extent and nature of newspaper coverage. Informed by framing theory, the study found that the newspapers’ articles mostly gave suggestion of solutions, defined problem and stated consequences. Moral evaluations had the least presence. The study also concluded that the waste issues in Malaysia are problematic and in dire need of efficient solutions. Keywords: Malaysian newspapers, content analysis, media framing, environmental issues, waste issues problems and solutions.

1 Introduction Human beings generate wastes everyday in their lives. Due to population growth and the increasing economic activities, more wastes will be generated and in the long period, if poorly managed, waste will affect our environment, health, and economy. Grodzińska-Jurczak and Read [1] stated that it will not be possible to fully implement the principles of sustainable waste management (particularly segregation of secondary materials, hazardous wastes, electronics and batteries, recycling, composting, decrease of municipal solid waste generated) without the active participation of wider society. According to Meyers et al. [2], WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100401

432 The Sustainable World inappropriate solid waste (SW) management causes air, soil and water pollution leading not only to environmental degradation but also to a growing catalogue of human health problems. Irresponsible SW management may contaminate surface and ground water supplies. In industrial and urban areas, washing “away” SW can clog drains, creating stagnant water for insect breeding and potential for floods in rainy seasons. Irresponsible burning and incineration have a significant influence on air pollution. Organic wastes dumped in landfills generate greenhouse gases, and untreated leachate pollutes surrounding soil and water bodies such as ground water. Waste issues in Malaysia often cover matters associated with insufficient waste management and both the federal and local government are in a dire search of sustainable solutions to handle wastes in the term-and-condition basis that neither do not exceed their budgets nor leave an impact to the public’s health. These matters will not be resolved even though remedial measures are implemented, unless the public realises their responsibility and put initiative to reduce wastes. Solid waste, in addition to being an environmental nuisance, could require an exceedingly large investment for its handling. The Malaysian Government needed to spend Malaysian Ringgit (RM) 0.06 (or US$0.016) per kilogram waste per day to deal with the country’s average daily waste generation of 0.8 kg/capita [3]. With a population of 23 million (year 2000 census), this corresponds to a staggering RM400 million (or US$105 million) per year. This has finally led to the Government’s strong desire to raise environmental awareness in its population. It is envisaged that an environmentally conscious population with a sense of responsibility towards its surroundings will have a more positive attitude towards the ever-growing wastehandling and disposal problems as well as environmental protection and preservation [4]. It is clear that the public needs to be continuously informed, educated, acknowledged, and reminded of their role to reduce wastes and overcome wastes problems. Here, the media have a role as information transmitter to the public; exposing problems and creating awareness among the public regarding general environmental issues and those related to wastes control and management. Several scholars and researchers perceived the role of media similarly as one of the major influences on public perceptions and one of the main transmitters and sources of the public’s risk information [5–8]. Altheide [9] pointed out that whether the media are viewed as independent of or actively engaged with the society, the influence of the media and mass communication is regarded as a powerful force in the society. In Malaysia, solid waste remained as one of the most debatable environmental issues (Zolkifly [10] and Ghani Rais et al. [11]). It was reported in the Ninth Malaysia Plan that the amount of solid waste generated in Peninsular Malaysia increased from 16,200 tonnes per day in 2001 to 19,100 tonnes in 2005 or an average of 0.8 kg per capita per day. Solid waste in Malaysia comprises on average 45.0 per cent food waste, 24.0 per cent plastic, 7.0 per cent paper, 6.0 per cent iron, and 3.0 per cent glass and others [12]. The major consequence of Malaysia’s rapid urbanization is viewed as “social transformation” with a greatly WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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increased generation of municipal solid waste (MSW). In some urban areas, Malaysia’s current estimated rate of MSW generation (0.93 kg per capita per day) has increased to be nearly as great as the average in the European Community (Arango and Bertuzzi [13]). In fact, the World Bank has identified MSW management as one of Malaysia’s three most important urban environmental problems [14]. The waste problem has become so grave that a cabinet committee on solid waste management had to be set up in early 2006. At the end of April 2006, the then Deputy Prime Minister Datuk Seri Najib Abdul Razak, who headed the panel, ordered sixteen of the dumpsites that posed a threat to public health to be closed immediately. Another 33 that were situated close to water sources would have to be shut down as soon as possible (Bhattacharjee [15]). In August 2007, an 88-page Solid Waste Management and Public Cleansing Corporation Act (PPSPA) which had been under review for ten years was finally approved by the Malaysian Parliament due to continuous waste problems. The PPSPA is expected to bring major changes and new challenges in waste management in Malaysia [16]. Common waste management constraints and problems in Malaysia include inadequate funds, as waste handling is lower down the priority list when compared with other issues such as infrastructure development and industrialization, lack of proper waste disposal sites, lack of expertise and manpower to run programmes, indifference of the population towards waste reduction and recycling, illegal waste dumping practice and inefficient use of resources (money, equipment, manpower, time) [17]. The amount of solid waste recycled in 2004 remained at less than 5.0 per cent of total waste disposed, despite concerted efforts to promote reuse, reduction, and recycling (3Rs Concept) of materials through the National Campaign on Recycling [18]. Obviously, as argued by Peretz [19] what remains unanswered is whether people are willing to make the commitment to study environmental issues at a level that correctly identifies problems and addresses the necessary solutions as well as the possible sacrifices. According to Watts and Probert [20] a de facto implementation of the “3R” (Re-use/Reduce/Recycle) waste alternative (involving segregation of waste at the household) would be possible only with the full acceptance of an environmentally aware public. In Malaysia, it is generally accepted that proper handling of waste is essential for public wellbeing and environmental protection, but the common attitude is that having paid the tax, all responsibilities related to waste handling rest with the local authorities [21]. Thus, there is a need for the mass media to make a transformation of the society. The mass media, despite being channels of information and agents of change, should also play important roles in providing the public with accurate, reliable, and unbiased sources of information. This study was informed by media framing theory. As many media researchers have noted, media framing focuses on the specific ways issues are presented and how the public issues are expressed to the audience (Gamson and Modigliani [22], Tankard et al. [23], Entman [24]). Cappella and Jamieson stressed that “framing is the key to how journalists organise news” (as quoted in WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

434 The Sustainable World Goodman and Goodman [25]. While researchers have presented many aspects of framing, this study focused on the framing functions as described by Entman [26]. According to Entman, the four general functions of framing are problem definition (determine what a causal agent is doing with what costs and benefits), problem diagnosis (identify the forces creating the problem), moral judgments (evaluate causal agents and effects) and remedies to the problem (offer and justify treatments for the problems and predict their likely effect). These four functions can coexist in the same media presentation, and all four may not be present in every frame (Sieff [27]). Thus, this paper seeks to answer how environmental issues of consequence such as waste issues being were covered by the selected Malaysian English daily newspapers. The mainstream pro-establishment newspaper, The New Straits Times (circulation: 120,770), and a relatively new and free newspaper, The Sun (circulation: 300,557), were selected. Given the seriousness of waste issues, this study seeks to ascertain the extent of how these newspapers portray waste issues as problems in need of solutions.

2 Method Articles on waste issues published in the Sun and the New Straits Times from January 2003 to December 2007 were collected manually to identify the existing framing functions in the headlines and applicable paragraphs. Analyses were carried out based on Entman’s framing functions. Selected articles were also analyzed based on the types of frames. The newspapers’ portrayal of waste issues were examined on either they presented information that sounded positive, negative, or neutral (Goodman and Goodman [28]). Positive frames refer to the presentation of news story in a calming tone. Positive stories could change the public’s perceptions towards waste issues when the public were provided with quality information that could enhance their knowledge on waste issues and help them in making informed decisions. Negative frames refer to the presentation of news story in an alarming tone. Normally, negative stories would make the public feel uneasy, scared, and worried. Neutral frames refer to the presentation of news story in a balanced tone.

3 Results and discussion Of the 616 waste articles published during the five-year study period, the majority (71%) appeared in the New Straits Times. As shown by Table 1, a majority (79.06%) had at least one framing functions and about one-fifth (20.94%) had none. Table 2 reveals an interesting finding that is a substantial presence (22.12%) of another framing function, i.e. consequences or impacts statement alongside Entman’s framing function of solution suggestion (29.84%) and problem definition (24.07%). While both newspapers indicated presenting comparable framing functions, The Sun had almost twice as many news articles that make moral judgment or evaluation than New Straits Times. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 1:

Percentage of all waste articles with the number of framing functions present in all waste articles, 2003–2007.

Number of framing functions present

New Straits Times (NST) N= 439

The Sun (TS ) N= 177

0 1 2 3 4 5

22.5 26.65 30.52 12.98 6.38 0.92

16.55 33.33 24.86 16.38 4.52 3.96

Table 2:

435

Percentage of all waste articles , N=616 20.94 28.57 28.90 13.96 5.84 1.79

Percentage of framing functions present in waste articles in New Straits Times (NST) and The Sun (TS) and 2003–2007.

Types of framing functions present 1) To define problem(s) 2) To state cause(s) 3) To make moral evaluation/judgment(s) 4) To suggest solution(s) 5) To state consequence/impact(s)

NST (N=677)

TS (N=295)

23.93 17.13 6.06 31.17 21.71

24.41 14.24 11.53 26.78 23.05

Total (N=972) 24.07 16.26 7.72 29.84 22.12

However, for the remaining of the paper, due to technical constraints, only 47 waste articles that contained four and five framing functions present were selected for illustrations. Table 3:

Percentage of type of frames in headlines of waste articles in New Straits Times (NST) and The Sun (TS) and 2003–2007.

Type of frames in headlines of waste articles Positive frame Negative frame Neutral frame

NST (N=32)

TS(N=15)

21.9 50.0 28.1

60.0 40.0 0

Total (N=47) 34.0 46.8 19.2

Tables 3 shows the type of frame, whether negative, positive or neutral, of the coverage. A total of 22 headlines of waste articles were portrayed in negative tone, 16 in positive tone, and 9 in neutral tone. The two newspapers were different in their framing of the headlines. While The New Straits Times had more negatively framed headlines (50%) than The Sun (40%), the latter presented more positive (60%) picture of the waste situation through its headlines. Even though a substantial number of The New Straits Times headlines were presented in alarming manner which stressed upon the state of urgency of the waste issues and demand for an immediate action, they were actually effective in the terms of gaining attention from the readers who come from all walks of life so that they may be alerted and aware of the crucial waste problems. Meanwhile, positive headlines were mostly presented in the form of solution and giving suggestion in a bright tone. Neutral headlines were mostly mere WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

436 The Sustainable World statements and brief information about the waste issue, and they sometimes contained both positive and negative tone. Tables 4a, 4b and 4c show examples of the different types of frames used by headlines of the two newspapers. Table 4:

Examples of negatively framed headlines in The Sun (TS) and New Straits Times (NST).

Come down hard on illegal dumping (NST/ 16 December 2003) Residents upset over bin move (NST/ 23 December 2003) Illegal dumpers giving them bad name (NST/ 26 July 2004) Typhoid: MB blames it on littering ‘culture’ (NST/ 21 April 2005) Tanjung Tuan threatened by pollution (NST/ 9 May 2005) More like trashing, not hashing (NST/ 18 May 2005) New dumping ground an environmental threat (NST/ 26 July 2005) Soiled diapers in garbage raising a stink (NST/ 9 November 2005) 60 tonnes of rubbish dumped into Sungai Klang daily (NST/ 8 June 2006) Gurney Drive ‘now ugly and smelly’ (NST/ 26 February 2007) Stench drives patrons away (NST/ 14 June 2007) Get solid waste management right (TS/ 28 June 2007) Poor work ethic fatal to incinerator safety (TS/ 23 January 2003) Waste collection deal in the dumps TS/ 11 February 2004) Dumping organic waste a costly habit (TS/ 15 June 2004) Stop soft-pedalling on waste (TS/ 13 March 2006)

(a) Table 4:

Examples of positively framed headlines in The Sun (TS) and New Straits Times (NST).

Ensuring a healthy, sustainable environment (NST/ 19 February 2003) Fix recycling on one day a month (TS/ 16 January 2004) Unit Combi to keep Penang clean and sparkling (NST/ 2 June 2004) Educating the young will help (NST/ 21 April 2006) Natural gas, fish ponds the answer? (NST/ 18 June 2007) Raise awareness to save environment (NST/ 13 August 2007) Centralised PFAs the answer ( TS/ 17 September 2007)

(b) Table 4:

Examples of neutrally framed headlines in New Straits Times (NST).

More needs to be done to protect our environment (NST/3 May 2004) Factory suspected of importing toxic chemicals sealed (NST/9 June 2004) On the right track but still long way to go (NST /22 April 2005) Waste from NS camp flowing into sea (NST /3 May 2005) DOE detains tanker over Kota Tinggi oil spill (NST /29 June 2005) New site still unacceptable (NST /3 January 2006) Legendary mountain turning into dumpsite (NST /6 January 2006) Landfill method not the best way (NST /26 January 2006) MB: Landfill a costly option (NST /16 March 2006)

Note: There were no neutrally framed waste articles in The Sun (TS). (c) WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3.1 Illustrations of framing functions While headlines provided readers with brief summary of news articles, opening paragraphs or leads enticed readers to read further. What kind of information did readers get in the body of news articles? Next, we illustrate how selected articles from The Star and New Straits Times presented the various framing functions in the applicable paragraphs. Below are some examples of framing functions and types (tones) of frames used in the applicable paragraphs: 3.1.1 To define problem In this study, equal number of frames (positive, negative, and neutral) were used in the paragraphs of problem definition. Paragraphs of problem definition were regarded as positive when they were in suggestive and advisory form: “Ensuring a healthy, sustainable environment”. Industrial development and environment management must go together to ensure a healthy and sustainable environment, Universiti Sains Malaysia (USM) vice-chancellor Professor Datuk Dzulkifli Abdul Razak said (New Straits Times, 19 February 2003). Negative problem definition was presented in a way that raised urgency and negative image when the situation was pictured negatively: “Paying for waste”. The sheer quantity of garbage Malaysians put out is frightening enough to force the current re-look at how to deal with our waste. The way things now stand – or rather how our trash stacks up – means it would take just nine days for our rubbish to fill up both 88-storey columns of the Petronas Twin Towers (New Straits Times, 18 June 2007). “Stop soft-pedalling on waste”. The setting up of a cabinet committee to address environmental problems has come not a day too soon. In the wake to the stomach-churning encounter that people in the Klang Valley had with contaminated water supply last month, the question hanging in the air is whether the current state of environmental management inspires confidence (The Sun, 13 March 2006). Neutral problem definition was mainly presented in the form of statement that explained the situation or condition of the issue and may sometimes contain mixed tone: “Get a zero waste strategy going now”. It is heartening that open dumpsites method of solid waste disposal will be fetched to the past in a matter of time. What is mortifying is why it took so long before the National Resources and Environment Ministry announced that such an environmental disastrous system has to be stopped urgently (The Sun, 2 May 2006). 3.1.2 To show causes Equal number of frames (positive, negative, and neutral) were used in the attribution of causes paragraphs. Positive attribution of causes consisted of positive consequences that could lead to a better outcome and action. Positive attribution of causes also appeared in the form of advice and suggestion to outcome the problem as apparent in the following example: “Centralised PFAs the answer”. Pig farmers should abandon the traditional way of managing the waste produced by the farms and start practicing modern waste management, which has been implemented in many developed countries WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

438 The Sustainable World where effluents from the farms are not allowed to flow into the rivers and pollute the waterways (The Sun, 17 September 2007). Negative attribution of causes, on the other hand, emphasizes on the tone of ignorance, refusal, denial, and blaming: “Dumping organic waste a costly habit”. Indeed, it could be legitimately asked: if composting of organic waste has so many benefits, why is it not being implemented all over the country? Part of the reason is the lack of urgency. Most Malaysians are oblivious to or could not be bothered about the environmental costs of discarding organic waste in landfills. It is fair to believe that they do not know that landfills exist unless one is located near them (The Sun, 15 June 2004). “Poor work ethic fatal to incinerator safety”. Looking at our track record in managing and operating the various public utility services, the poor work attitudes and weak enforcement is often the cause of breakdowns in service (The Sun, 23 January 2003). Meanwhile, neutral attribution of causes appeared in the form of mere explanation, statement and prediction: “Illegal dumpers giving them bad name”. It is something set to happen more often – solid waste contractors say more illegal dumps are likely to pop up in the Klang Valley in the future as lax enforcement and the relocation of landfills to more remote areas are setting a vicious cycle in motion (New Straits Times, 26 July 2004). 3.1.3 To make moral evaluations or judgments Basically, positive moral judgments were presented in the form of opinion and in a hopeful tone: “Ensuring a healthy, sustainable environment”. “The environmental management problem should be looked upon as a part of the process and in terms of total investment rather than liability. It should be part of the total process instead of an extra investment.” (New Straits Times, 19 February 2003). Negative moral judgments sounded threatening, blaming, disappointing, and hopeless where statements of the possibility of side-effects, consequences, and slow action existed: “Don’t use incinerators till you are ready”. The public can diligently separate the waste, but if the collection system lumps them all together in the garbage truck again, their efforts would come to naught (The Sun, 9 March 2007). “Get solid waste management right”. Whether it is privatization, corporatisation or federalization – call it by any fancy name – the crux of the matter is, any plan for all its good intentions will be a failure if the people tasked with the responsibilities are not up to the mark. So, can we ensure that we have the right people for the job on their own merit? (The Sun, 28 June 2007). Neutral moral judgments appeared in mere statements that sounded like making prediction or assumption: “Tanjung Tuan threatened by pollution”. He (Mohd Basir Abdullah) said there was bound to be a long-term chain effect on the area’s habitat, wildlife and bio-diversity if no one checked the problem immediately (New Straits Times, 9 May 2005).

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3.1.4 To suggest solutions When the news articles presented the framing function of suggesting solutions, they were often positively framed. Positive frame contained particulars such as suggestion, opinion, and explanation to the issue. Positive frame here might also contain the tone of reminding, hope, and success when action was taken to overcome the problem or when the implementation of a measure was found to be effective. Examples are as follows: “Give the facts on managing waste”. Statistics and information, including nasty truths about solid waste management problems and reports of commissioned studies, should also be posted on the ministry’s website to promote informed discussions (The Sun, 27 September 2004). “Cleaning the tarnished pearl”. Abdullah’s wish for a cleaner Penang can be realized by letting them know that their jobs are on the line if it remains as dirty the next time he visit so that the accountability chain take its effect (The Sun, 22 February 2005). “Raise awareness to save environment”. The media and politicians must help to educate the people in order to save the environment. There must be effective enforcement. Impose fines on residents who do not have dustbins to hold their rubbish. Contractors must clear the rubbish after finishing their projects and they should be punished for leaving heaps of stones and bricks around (New Straits Times, 13 August 2007). “Everyone has a role to play”. Manufacturers and retailers can also play a big part in saving the environment. Reducing the packaging of their products or making use of environment-friendly packaging would be one of the ways (New Straits Times, 19 September 2007). 3.1.5 To show consequences A majority of stating consequences paragraphs contained negative frame. Negative frame contained particulars on the effects of wastes in terms of the environment, health, and economy. Negative frame might also sound blaming and terrifying: “Poor work ethic fatal to incinerator safety”. Despite all the safety standards that come with the technology, workers who lack a sense of responsibility and have poor attitudes to work can turn the incinerators into unnoticed killers (The Sun, 23 January 2003). “Hello, Malaysia is not one giant rubbish bin”. The piles of rubbish along the roads and highways and under bridges are not only an eyesore but also a health hazard (New Straits Times, 8 June 2005). “Natural gas, fish ponds the answer?” Any untreated or inadequately treated waste water passing through the pond would adversely affect the health of the fish, causing mortality (New Straits Times, 18 June 2007). Meanwhile, neutral frame article was merely giving explanation or statement on the process of waste management: “Reversing our Earth debt”. With more mouths to feed, we have to produce more, which means using more resources. We also have to deal with the residue of these resources a.k.a. waste, by using, guess what? Even more resources! (The Sun, 27 June 2006). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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4 Conclusion Based on the analysis, Malaysian English newspapers primarily framed waste issues using at least one framing functions (79.06%). The frame of suggesting solutions was dominant in waste stories. It indicates that Malaysia is still looking for effective measures to treat wastes and that the waste management system in Malaysia is still considered limited and poor. This observation echoed the findings of a study by Ghani Rais et al. [29] that the solid waste management in Malaysia has a long way to go. There was also an increasing emphasis on another framing function such as stating consequences. This framing function of consequences was largely used in the coverage of waste stories that involved risk issues. For journalists, the degree of risk is just one element used in determining the importance or consequence of a story, and consequence is just one of many factors used in deciding whether a story is newsworthy or not (Sachsman et al. [30]). The application of positive frame was obvious in the framing function of suggesting solutions. This indicates that there is still hope in overcoming problems concerning wastes. When waste stories were framed negatively, these were often associated with environmental and public health problems, inequitable siting of landfills, high costs for incineration and, finally, it was perceived as a landfill capacity crisis. These perceptions produced a collective frame of over-reliance on disposal (Wagner [31]). The neutral frame was less applied in the waste stories and when it was applied, it normally appeared in mere statements and brief information about the waste issue which neither sounded alarming or calming. In conclusion, the study of selected Malaysian English newspapers indicated that the media played informative and educating roles by framing problem definitions, causes diagnoses, solutions suggestions and consequences statements with regards to waste issues. The media need to continuously play these roles because the problems associated with waste issues are not going to be resolved immediately as long as development continues, members of society still maintain unsustainable lifestyles and inefficient waste management systems are still in place. In short, waste issues are still problematic and in dire need of efficient solutions.

Acknowledgement The study was funded by Universiti Sains Malaysia Research University grant (1001/PCOMM/816038)

References [1] Grodzińska-Jurczak and Read., Increasing public participation in sustainable municipal solid waste management – a promotional and educational campaign in Jaslo City (Poland). In: Grodzińska-Jurczak, M., The relation between education, knowledge and action for better waste WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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management in Poland. Waste Management & Research, 21, pp. 2-18, 2001. Meyers, G.D., McLeod, G., & Anbarci, M.A., An international waste convention: measures for achieving sustainable development. Waste Management Research, Vol. 24, No. 505-513, 2006. Tean, S.N., The Study on Option and Household Participation for the Recycling Program. In: Isa, M.H., Asaan, F.A.H., Ramli, N.A., Ahmad, S., & Siew, T.S., Solid waste collection and recycling in Nibong Tebal, Penang, Malaysia: a case study. Waste Management Research, 23, pp. 565570, 2001. Isa, M.H., Asaan, F.A.H., Ramli, N.A., Ahmad, S., & Siew, T.S., Solid waste collection and recycling in Nibong Tebal, Penang, Malaysia: a case study. Waste Management Research, 23, pp. 565-570, 2005. Bennett, P. Understanding Responses to Risk. In: P. Bennett and K. Calman (eds) Risk Communication and Public Health, Oxford University Press: Oxford, pp. 3-19, 1999. Lindsay, B.E., Zhou, H., & Halstead, J.M., Factors Influencing Resident Attitudes Regarding the Land Applications of Biosolids. American Journal of Alternative Agriculture, 15(2), pp. 88-95, 2000. Frewer, L.J., Miles, S., & Marsh, R., The Media and Genetically Modified Foods: Evidence in Support of Social Amplification of Risk, Risk Analysis, 22(4), pp. 701-710, 2002. Wakefield, S.E.L. & Elliott, S.J., Constructing the News: The Role of Local Newspapers in Environmental Risk Communication. The Professional Geographer, 55(2), pp. 216-226, 2003. Altheide, D. Creating Reality: How TV News Distorts Events. In: Einsiedel, E.F., Framing science and technology in the Canadian press. Public Understanding of Science, 1, pp. 89-101, 1976. Zolkifly Che Din, Household & Industrial Waste Treatment: An Island Scenario. In: Seminar – Workshop on Economic Progress and Environmental Development: Implications for Media, Asian Institute for Development Communication, Penang, 1998. Abdul Ghani Rais, Sakai, H., & Haniba, N.M.,Solid Waste Management: What’s the Future. The Waste Management Conference and Exhibition Kuala Lumpur, Malaysia, 2006. SMI Association of Malaysia (2007) SME Business Directory. Waste Management for SMIs. www.smibusinessdirectory.com.my Arango, O. & Bertuzzi, C. Municipal solid waste: a quantitative overview. In: Murad, W. & Siwar, C., Waste management and recycling practices of the urban poor: a case study in Kuala Lumpur city, Malaysia. Waste Management Research, 25, pp.3-13, 1994. Murad, W. & Siwar, C., Waste management and recycling practices of the urban poor: a case study in Kuala Lumpur city, Malaysia. Waste Management Research, 25, pp. 3-13, 1992. Bhattacharjee, R.B. (2006) Safe options in managing waste. Sun2Surf, www.sun2surf.com/article.cfm?id=14288 WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

442 The Sustainable World [16] Waste Management Association of Malaysia, www.wmam.org/ [17] Isa, M.H., Asaan, F.A.H., Ramli, N.A., Ahmad, S., & Siew, T.S., Solid waste collection and recycling in Nibong Tebal, Penang, Malaysia: a case study. Waste Management Research, 23, pp. 565-570, 2005. [18] SMI Association of Malaysia (2007) Waste Management for SMIs, www.smibusinessdirectory.com.my [19] Peretz, J.H., Waste management agenda setting: a case of incorrect problem definition? Waste Management Research, 16, pp. 202-209, 1998. [20] Watts, B.M. & Probert, E.J., Variation in public participation in recycling – a case study in Swansea. In Grodzińska-Jurczak, M., The relation between education, knowledge and action for better waste management in Poland. Waste Management & Research, 21, pp. 2-18, 2001 [21] Ridhuan, M., Recycling policies in Malaysia. In Isa, M.H., Asaan, F.A.H., Ramli, N.A., Ahmad, S., & Siew, T.S., Solid waste collection and recycling in Nibong Tebal, Penang, Malaysia: a case study. Waste Management Research, 23, pp. 565-570, 1994. [22] Gamson W.A. & Modigliani, A. Media Discourse and Public Opinion on Nuclear power: A Constructionist Approach. The American Journal of Sociology. 95 (1):1-37, 1989. [23] Tankard, J.W. Jr., Hendrickson, L., Sillberman, J., Bliss, K., & Ghanem, S., Media Frames: Approaches to Conceptualization and Measurement. Paper presented at the Association for Education in Journalism and Mass Communication, Boston, MA, August 7-10, 1991. [24] Entman, R. Framing: towards clarification of a fractured paradigm. Journal of Communication, 43: 51-58, 1993. [25] Goodman, J.R. & Goodman, B.P. Beneficial or biohazard? How the media frame biosolids. Public Understanding of Science, 15, pp. 359-375, 2006. [26] Entman, R. Framing: towards clarification of a fractured paradigm. Journal of Communication, 43: 51-58, 1993. [27] Sieff, E., Media Frames of Mental Illnesses: The Potential Impact of Negative frames. Journal of Mental Health, 12(3), pp 259-269, 2003. [28] Goodman, J.R. & Goodman, B.P. Beneficial or biohazard? How the media frame biosolids. Public Understanding of Science, 15, pp. 359-375, 2006. [29] Abdul Ghani Rais, Sakai, H., & Haniba, N.M., Solid Waste Management: What’s the Future. The Waste Management Conference and Exhibition 2006, Environmental Management and Research Association of Malaysia and the Department of Environment Malaysia, 2006. [30] Sachsman, D.B., Simon, J., & Valenti, J.M., Risk and the environment reporters: a four-region analysis. Public Understanding of Science, 13, pp. 399-416, 2004. [31] Wagner, T., Reframing Garbage: Solid Waste Policy Formulation in Nova Scotia. Canadian Public Policy – Analyse De Politiques, 33(4), p.471, 2007.

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Section 4 Urban transport

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Study for sustainable traffic strategy in local government perspective: a contribution towards a strategy for mobility V. Guerreiro da Silva1 & M. P. Amado2 1

Cascais Town Council, Portugal Civil Engineering Department, Faculdade de Ciências e Tecnologia, Universidade Nova de Lisboa, Portugal

2

Abstract The sustainable development of cities is one of the main concerns in territorial planning and management. Mobility and accessibility are two essential areas for balanced development in urban areas. This paper aims to bring an awareness of mobility and accessibility to the transport problems in the Cascais area where the movements of the population cause traffic problems. This project offers alternatives solutions to public collective transport using innovative solutions supported with the use of new technology. Mobility in the urban areas is a key factor in sustainable development and obtaining feasible economic and social cohesion. Keywords: mobility, sustainable development, strategy, urban planning.

1 Introduction The Study of Traffic from the Perspective of Local Government (STPLG) will allow the Municipal Council of Cascais to recognize all aspects associated with the problem of transport and of people and goods within the geographic limits of the municipality, and adopt new future strategies in the area of planning, management territorial and urbanism. This will enable the municipality to take action in the transport system, thus enhancing both mobility and accessibility for its constituents [1]. The distribution and emergence of new centers of attraction giving rise to journeys (e.g. the zone of Cascais shopping in Alcabideche) and the irrefutable WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100411

446 The Sustainable World growing need for mobility in the Cascais district, (for both residents and visitors) partly due to improvements in accessibility, has not always been accompanied by the development of an efficient public transport network. All these factors justify the general use of individual transport and consequently, the worsening congestion on the road network, parking problems in the main urban centers, deterioration in the quality of the environment and costs associated with the transport systems [2]. It is crucial to invert this situation, by giving public transport more financial aid, visibility and efficiency and also by encouraging journeys using gentler resources (on foot, two wheels, vehicles run on less polluting energy sources). The inversion of this trend must be accomplished not only by a reduction in waste of time, space and energy, but also through new town planning which will reduce these problems by favoring the use of alternative means of transport (public transport, on foot and on two wheels). These changes will provide a model for sustainable development, but also increase the efficiency of family and local government budgets [16, 17]. The STPLG is a fundamental strategic and operational tool for reviewing concepts of territorial management, town planning, mobility and transport which will allow us to establish principles and objectives that will predominate in the future municipal plans for territorial management. To quote the approach of Jo Milling, 2000, contribute to move forward sustainability and the transport energy efficiency is one of the most important modes [8]. To establish the bases of a new process of decision making we linked environmental, social and economic factors with a group of selected indicators to see result in benefits. The necessary relationship between the different objectives of sustainable development requires an operative process to the sustainable planning in a way that corresponds to the decisive factor for the success of the local development were the transport issue is one of the main factors [3].

2 Characterization In attempting to present a synthesis of the mobility problem in the Cascais Municipal District we need to look at its demographic dynamics. In the course of the last three decades (the most significant for this analysis), the Cascais Municipal District has seen a significant increase in population – from 92,294 in 1970, increasing to 141,498, in 1981 and 153,294, in 1991, increasing to 170,683 listed in the 2001 census. However, we can see that for the decade from 1991–2001, in comparison to the two previous decades, a reduction in order of 11.3%. But in relation to the Lisbon Metropolitan Area we continue to see a greater increase (of 5.6%), the same as occurs in relation to the national panorama (5.3%). Another important aspect, in understanding the trends associated with mobility, is to observe the age and gender stratification in the resident population

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which shows a significant growth of the group to 50–54 and 55–59 years particularly in the female gender. Another aspect, which is just as important, is to understand how the occupancy of the territory has evolved. In brief, we could divide the evolution in two major time periods intervals: the first up to the 1960s and the second, to the present day. If the first phase is characterized by a fundamentally polynucleate development (housing and leisure), along the coastline and a 500m wide strip around stations – where the journeys, in terms of time, do not take more than 10 min. on foot then the second phase, which has had great significance in the areas further inland in the municipality where, especially in the seventies, illegal construction occurred with serious infra-structural and urban design problems. An important event in the territorial evolution of the Cascais Municipality was the implementation of the Municipal Director Plan (1997), at which time diffuse occupancy of the “peripheral territories” was encouraged without safeguarding the indispensible accompaniment at the level of planning and investment in the infra-structures. If the greater density of the population is near the coast, then north of the highway A5, it is the single-family house that predominates in a peri-urban landscape with a strong rural mark. This fact is much more important when we observe that, if close to the railway, mobility is possible on foot, in the more inland areas – where the houses are far from collective transport and the areas of work, services, facilities and leisure – the mobility is based primarily on individual private transport with all the social/urban/environmental inconvenience this entails To give a picture of the mobility in the municipality, we can say that – according the last census – the Municipality of Cascais registered daily entry of 21,778 individuals, 18,569 (85%) for reasons of work and 3,209 (15%), to study. Of these entries 87% of individuals reside in Greater Lisbon, the larger representation being from the municipalities of Sintra (39%), Oeiras (25%), and Lisbon (11%), and the other 13% from municipalities outside Greater Lisbon. Furthermore we must emphasize the importance of the entries for study of the bordering municipalities, with a weight of 77.8% in total – Oeiras with 41.7% and Sintra with 36.1%.

Freguesias Alcabideche Carcavelos Cascais Estoril Parede São Domingos de Rana Total

Figure 1:

Restantes Concelhos do País (excepto Cascais)

Dentro do Concelho

Total

4896 7932 7711 6691 5373 11634 44237

15995 5370 13485 8404 5452 18194 66900

20891 13302 21196 15095 10825 29828 111137

Resident population that travels daily for work or study (source: CMC/GEST).

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448 The Sustainable World Regarding the number of daily exits from the municipality, 44,237 individuals registered, 36,926 (83.5%) to work and 7,311 (16.5%) to study. As for the (principal) destinations, these are the municipalities of Greater Lisbon with a total of 89.7% (mainly Lisbon – 57.9%, Oeiras – 18.6% and Sintra – 8.5%). As for the internal movement in the Cascais Municipality, this is triple of what was registered in the other municipalities in Lisbon region. It is important to notice that in the 90s the number of vehicles in Cascais grew by to 125% (approx.). From 55,997 vehicles in 1990, it increased to 125,808 in 2000 – units of light passenger and commercial vehicles. To illustrate what we have just mentioned in the last paragraph, we present more data relevant to understanding the trend in automobile traffic in Figure 3. 100.000 80.000 60.000 40.000 20.000 0 19 9 1

19 9 2

Figure 2:

19 9 3

19 9 4

19 9 5

19 9 6

19 9 7

19 9 8

19 9 9

2000

2001

2002

2003

2004

2005

2006

*

Growth of average daily traffic on the A5 e between Cascais – Estádio Nacional (source: CMC/GEST).

However, it is important to observe the growth use of collective public transport. The use of the railway, in the 1990s is taken for about 70,000 passengers/day [entries and exits] (approx.). E s ta ç ã o

E n tra d a s

C a s c a is M o n te

+

S a íd a s 1 8 5 0 0

E s to r il

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S ã o

J o ã o

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d o d o

E s to r il E s to r il

1 1 4 0 0 4 0 0 0

P a re d e

1 3 5 0 0

C a r c a v e lo s

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Figure 3:

Average daily number of passengers, entries – exits, per station (source: CP/CMC/GEST).

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3 Scope of the study To respond to the problems of urban growth it is important to answer the following questions: a) What are the costs of the present forms of mobility and how can alternative forms of mobility and accessibility be developed? b) How can the urban space be planned and managed to improve mobility and the efficiency of the infrastructures? c) How can greater efficiency of public transport be achieved in response to the different mobility needs? d) How can the evolution of the needs of the population be recognized and global consciousness increased as to the costs and external factors of mobility? Thus, it is beyond question that the STPLG be an informed and iterative process which should include (in its construction) some kind of involvement by the various intervening agents in this process, both at the level of consultation and public discussion (associations of residents, businessmen, hoteliers, employees in the community and private sectors, social work agencies and NGO’s) and at the level of discussion and decision making (elected). In this sense, for the implementation of the STPLG to be properly integrated in the local authorities future policies and projects of mobility and transport, there need to be three fundamental structures: the first the power to make decisions (executive and municipal assembly), the second the coordination (mayor’s office and heads of departments) and the three to accompanying technical support (departments and technical team). 3.1 The STPLG as a tool To gain a clear understanding, the study is importantly summarized and the content of the recent international public request for tenders (in the phase of being formally announced) will serve as a guide in the paper. According to the Bidding Specifications, the subsequent was what was presented to the applicants [1]: General clauses: “[…] Art. 1 – Objective – The object of the contract consists, in accordance with Special Clauses of this Bidding Specification and respective annexes, in the acquisition of services for the elaboration of the “Study of Traffic from the Perspective of Local Government – SPTLG” a) Acquisition of services for the elaboration of the “Study of Traffic from the Perspective of Local Government - SPTLG” b) Supply of the tools for planning (software and hardware) of the model of transport of the study to be operated in the future for the technical services of the CMC, its installation and calibration; c) Adequate technical training for 2 technicians of the CMC, to acquire skills as operators of the system to be installed. […]” Special Clauses: The STPLG aims to be, in conceptual terms, something much more complete and comprehensive than the name suggests being WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

450 The Sustainable World theoretically what is known as the Plan for Urban Travel (or Mobility Plan). This plan, which the Cascais Council aims to carry out, will be a strategic and operational tool which will support the understanding and review of the abovementioned ideas. The STPLG thus aims to respond to the recommendations of the Regional Plan for Territory Management of the Metropolitan Area of Lisbon (PROTAML). Discussion about the development of mobility patterns motivated by the urban structure and form which developed in the Metropolitan Area of Lisbon (AML) has been incorporated into the PROTAML. The example of “urban sprawl” verified in the AML has also been noted in the Cascais municipal area, especially in the districts of São Domingos de Rana and Alcabideche. This type of growth is responsible for an increasingly unsustainable kind of mobility – greater dependence on time and energy with consequent rises in costs of travel and to the environment. The urbanization process which has taken place has led to an increase in the distances travelled and journey time, whether unavoidable or for other reasons, such as lack of coordination of the collective public transport networks, to more transfers, traffic jams due to the increased volume of cars on the road and a transport network which has become highly complex and with high operation costs [11]. Some studies related with public transit strategies and solutions, indicated that public transport was viewed as a strong public good, and a viewed as an essential public service fundamental to public welfare and the environmental solutions where great coordination between investment and planning guaranteed that the different modes transit complement one another. In some European cities (such as Freiburg in Germany and Zurich in Switzerland) we can find impressive solutions with real coordination of investments and routes in the way to guarantee that the transit modes complement one another [4]. Thus it is necessary and urgent to reverse this trend, take action to combat the waste of space, time and energy, redirect the policies of new urban development and urban renewal to more controlled forms of development, creating urban areas where a mixture of occupations will allow this dependency on time and individual transport to be reduced; increasing the efficiency of alternative means (travel by public transport, on foot and cycling). In order to reach these objectives it is necessary to have an analysis done and apply it on resource money for sustainable development This goal is very difficult to reach because of the difficulty analyzing the great number of relations between the object of study and its context. So to go forward to sustainable development he have to promoted a “horizontal” perspective adapted to the real necessities of the people and the local authorities [15]. In this way guided by the objectives and the working method in the scientific area of mobility we aim to more the best choices for the population of Cascais which will reinforce the protection of the urban environmental, giving continuity to the recommendations of PROTAML and the good practice of the European Community – COM (2004)60 of 11/02/2004 and also of the UITP (International Association of Public Transport) [6]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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4 Construction methodology and contents of the STPLG To build a new design process we need a methodology which can support our management of the problem. But before defining a methodology we need to acquire a vision to increase a sustainable mobility. In Resilient Cities, Peter Newman and others refer to seven elements to help to rich this goal: 1. A Transit System that is faster than traffic in all major corridors; 2. Viable centers along the corridors that are dense enough to service a good transit system; 3. Walkable areas and cycling facilities that can mean easy access by nom motorized means, especially in these centers; 4. Services and connectivity that can guarantee access at most times of the day or night without time wasted; 5. Phasing out freeways and phasing in congestion taxes that are directed back into the funding of transit and walk/cycle facilities as well as traffic-calming measures; 6. Continual improvement of vehicle engines to ensure emissions, noise, and fuel consumption are reduced, especially a move to electric vehicles; 7. Regional and local governance that can enable visionary green transport plans and funding schemes to be introduced [5]. In this time and context the local government has the benefit of a pre-analysis (stage 0) which enables it to gather information dispersed information, as well as supplying a primary working base for carrying out the STPLG. However, methodologically, we can say that the STPLG has four stages: the Pre-analysis stage (Stage 0 – already carried out) and the stages already opened to public tender, Analysis (Stage 1), Research into Technical Solutions and Formulation of Scenarios (Stage 2) and the Implementation of the STPLG project (Stage 3) 4.1 Stage 1 – analysis This stage will enable us to understand the existing dysfunctions. The STPLG should thus identify the discrepancies between the system of travel and urban development, describe mobility and its development, the problems of accessibility, according to social and spatial structures and their form, compare the principal disparities of the different means, the insufficiency of the networks – pedestrian, cycleway, public transport, individual or goods vehicles – evaluate the criticality of damage to the urban environment as regards to safety, noise, pollution and urban landscape, and finally, itemize the inconsistencies of the system of travel. The diagnosis must have clear the compatibility of different means of transport with the other uses of the road space in the urban environment. It will particularize with what standard of service and what impact on the urban environment the system of travel guarantees mobility. It must highlight the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

452 The Sustainable World possibilities of the efficiency of each means from a socio-economic point of view. 4.2 Gathering of data The analysis will be based on the gathering of existing data (previous studies of the territory and transport, traffic counts, surveys …) and in gathering complementary data of domestic surveys (origin/destination (O/D) – motives and means, parking, alternative means, reduced mobility), interviews, etc. The gathering of data will be done through the respective dossiers (geography and demography of the territory, mobility, accessibility, environment and energy), taking into consideration the following: Territory – minimum functional breakdown – number of homes and/or establishments, areas and density of residences, private businesses (commerce, industry, services, restaurants, hotels, education), and public employees (services, health, education) resident population, students, resident and employed inside and outside the district and non-resident and employed within the district, age group, level of education, income level. Mobility – minimum breakdown of general indicators in the district and parishes – global average number of journeys/year/inhabitant by age group, by means and weight of the mobile population and of the motorised population, distance travelled by means and purpose, average travel times by means and purpose, by the resident population, students, employed and unemployed. The minimal functional breakdown of the purpose of a journey will be travel to workplace and home, school, shopping, work, health, leisure. As for the means of transport, they will be individual transport on foot, two wheels and by road, collective transport by bus and rail. The minimum functional breakdown could also be analysed by moments of the day, in respect to the peak periods in the morning (07:00h–10:00h) and in the evening (17:00h–20:00h) and others (e.g. lunchtime). Movements O/D (intra- and inter- district) by means, purpose and time period. Other results pertinent to interpreting behaviour patterns of mobility of the population of the district could also be introduced. Accessibility – An appraisal will be made of the hierarchy and structure (the physical, geometric and traffic conditions) that influence the functioning of the transport network (road and rail) and its organisation by road and rail dossiers. Pertinent to the traffic conditions are the factors which are evidence of overload, in particular, in internal and internal/external journeys (transference). Equally, data will be gathered in terms of supply and demand, of the traffic systems and parking in relation to individual transport and in relation to collective transport and the remaining alternative means (two wheels and pedestrian). In relation to traffic counts, as well as gathering figures at the rush hour and other times of the day, they will be gathered at times which do not coincide with holiday periods. A minimum of forty traffic count posts and nine O/D survey posts are being considered. This dossier will concentrate on two themes: Public Transport with an analysis of the results of traffic counts and surveys, so that we can take bearings WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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on supply and demand, relative to modal changes, the tariff system and other factors in the analysis that explain its use, and Parking so that we can show clearly the proposals for planning and the respective regulation, bearing in mind the implementation of PMOTs Environment and Energy – this item will make, at the very least, a report on the quality of the areas that are subjected to heavy traffic and which, at different times of day, register noise levels that are higher than the permitted maximum. These areas should be on the municipal noise registers, so that they can be equated to the problems at the level of the objectives that they hope to achieve. This register should identify the precise zones to which urgent measures should be applied, like for example, classify them as zone 30 or alter the traffic circulation plan. It is to be remembered that the recommendations for urban design of the road networks must take into consideration the data in the noise registers. Graphic representation of the black spots (buildings exposed to daytime noise levels higher than 70 dB is essential. The percentage of the population exposed to these levels can be compared in different situations and can be used to calculate indicators to aid in decision making. On the other hand the municipality is concerned with identifying the volume of pollution, using collectors which should be placed near the road networks where the traffic is heaviest and in zones where the population is most exposed. In this context, considering the incidence each of these has on the urban environment (public spaces), atmospheric pollution cannot be excluded. Costs of the travel system – as it is necessary for the municipality to draw up an assessment of the journeys made, we must consider it, a priori, necessary to make a primary financial calculation to give references beyond the formulation of scenarios and even the selected project. The most common first approach is to disclose the financial contributions of the different intermediaries and a balance sheet relative to the public transport networks and parking. We must avoid double sums that could result from attributed subsidies, but the global municipal budget for transport must include the revenue, running expenses and investment originating from the local government itself and what comes from central administration. In relation to the travel budget, the total of revenue and running expenses and the amount of investment must be distributed among parking and road circulation operations and that of collective transport (bus stops, stations). 4.3 Thematic analysis Subsequent to the gathering of data, issues will be made clear and the way to approach analysis of dysfunction and other problems found; the consequences for urban operation, the developments in progress and the expectations of the residents. Among the themes that we know cause problems, the following are the most obvious: urban development, organisation and management of the transport system, the use of space (ground use), collective transport, parking, motorized circulation, alternative means, reduced mobility, interconnection of the various means, environment (quality of the urban area), noise, energy and quality of life [13, 14].

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454 The Sustainable World 4.4 Validation of the analysis and definition of STPLG’s objectives Validated the diagnostic (former: meetings with the commission technique and the commission of coordination, agreement with the population…), one will structure the priorities of intervention having considered itself, in according with the objectives of the ETAC. 4.5 Stage 2 – research into technical solutions and formulation of scenarios Within the scope of the Regional Plan for Territory Management of the Metropolitan Area of Lisbon (PROTAML), the Metropolitan Area of Lisbon (AML) the further revision of the Cascais Municipal Plan and its neighboring district of Oeiras, as well as the neighborhood district of Sintra, the above stage should identify the most favorable sequence for a common solution regarding mobility. This issue should furthermore be linked to the question of financing projects/solutions aimed at altering the present scenario of preferred mode. Thus we hope to arrive at best a strategy for mobility that aims to satisfy the population and the best solution for urban mobility, especially resulting from the project of public space and ground use. “Bearing these options in mind, featuring the system of management and the provisional data of the population and of employment, in accordance with the expected growth of the residential areas, the STPLG will help us to understand the facts and serve as a basis for defining a strategy for travel. It is also important to remember that scenarios have to be drawn up after this analysis, as it is a prospective instrument to encourage collaboration between the various players and support the debate” in CMC [2]. At this stage the following must be taken into consideration: 1. Technical solutions and comparisons For each issue (dossiers) various hypotheses should be proposed for solutions or a combination of these, such as the methodology of evaluation (multi-criteria analysis or comparative benefits, investment costs, assessment of energy and environment…), which allows us to compare the procedures/measures for each scenario in the new travel system. Simulation techniques should be applied for subsequent use by the local authority. 2. Choice of scenario or the chosen solutions/projects As was necessary in the previous stage, the form in which the decision maker, starting with the principles of comparison and according to the fixed objectives, will be able to choose the technical solution or the most appropriate scenario, will be by debate at this point in the study. 4.6 Stage 3 – formulation of the STPLG project “The depth of the study must be compatible with the necessity of, having chosen the scenario of the preferred mode that we hope to achieve, knowing how to manage the complexity of a travel and transport system, linking it from the street/neighborhood level to the network/council level. Knowing how to apprehend all the means of travel and knowing how to link the different scales (global and local), acting on each means according to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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priorities, knowing how to keep in mind the impact of each measure on the whole set of means and reconcile the multiplicity of functions of the road network (with its multiple hierarchies), as for example, the different purposes of travel (and use of the road network) and the urban quality, all this must serve to ascertain the level and depth of the STPLG study” in CMC [2]. The formulation of the project must take the following into consideration: 1. Detailed study of the solutions or the scenario chosen The chosen scenario will be detailed so as to allow it to be carried out; being especially explicit in its planning, over the next 10 years: modalities, techniques, place within the institutional framework, financial framework. 2. Formalization of the STPLG project The final document will clearly show the content of the actions to be taken, its viability (technical, administrative, financial …) the plan of action, its coherence meeting the criteria for the formulation of the policy of mobility entered upon. 3. Accompaniment and evaluation –monitorization This will consist of a methodology and the respective tools necessary to accompany and evaluate the process as it goes along (table of indicators and/or other method deemed appropriate). This table of indicators – monitorization – should be accompanied by an organized plan by the entity which is going to accompany the implementation of the STPLG. 4.7 Determinant factors of process The objective of the developed process is the creation of an operative instrument to support the promotion of sustainable development, through urban planning. The elaboration of the proposed process tends to give execution to the objectives and sustainability strategies that are materialized through the urban planning. In a second point, the process still intends to facilitate an effective marking of the works and a coordination of the teams of the project in its several tasks and specific studies tends in view the obtaining of efficiency gains and to minimize losses. The inclusion of all three components of sustainability in equal weight in the process, in order to facilitate the satisfaction of conditions regarding the implementation of the human activities, is the other of the aspects of a viability of the process. The possibility of an effective participation and accompaniment of the developing works by the population, more knowledge, preventing the occurrence of possible problems and conflicts of interest, guaranteeing simultaneously a faster acceptance of the new spaces in the urban city. These results are a decisive factor of the new process. Another decisive factor of the process is the implementation stage and its efficiency warranty. The phase of implementation of the plan, foreseen to develop in an alone action it is controlled through records that have the objective of providing gain of efficiency in the three components.

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456 The Sustainable World The possible separation by functional areas of the actions to implement with the plan would facilitate that for each one of the sustainability components, specific steps are given in the correct way of new sustainability practices with rigidity and warranty of results. Those results could be comparable to the sustainability indicators used during the development of the elaboration of the plan. The result of the application of this process of sustainable urban planning would constitute a reference for future expansion and urban renewal actions supported in a base of data of the relationships: action ↔ relationship in an action relation database. That database made, made available to public entities and urban planners allow the occurrence of less efficient actions with negative effects [3].

5 Conclusions Looking at the recent history of urban development in the Cascais Municipal district, especially in the last two decades, the transport systems and their respective networks have reached max. capacity, already showing some breaking points due to the pressure that they are under (especially the road network, because of the widespread use of the private car). This fact has led to a depreciation of the quality, not only of mobility and accessibility, but of urban life symbolized by comfort (in the widest sense) and the landscape. The other side of the spectrum described above could be attained by policies on ground use and on transport, and in the relocation of home vs. work activities. But the target of mobility will never be achieved if individuals are not encouraged to opt for alternative modes of transport [10]. Whether by promotion of greater use of heavy networks of collective transport (railway), and by improving the service of the road networks (buses) regarding cover of the territory, frequency, reliability and comfort, or whether by the implementation of penalties for using private transport and encouraging movement on foot or by bicycle The implementation of the STPLG will give the Cascais Town Council a powerful tool when it comes territorial decision making about the territory. Whether it is the granting of private licenses, for carrying out PMOTs by a lower hierarchy that could lead to alterations in the Cascais Municipal Plan. By the dynamic brought about by the monitorization of the Municipal Plan, or even by local and/or global socio-economic changes, the fact is, that the local authority experts and respective political decision makers possess an instrument of evaluation by foresight of the onus of any project or plan with a resultant alternative model of the existing and planned network, subject to alterations in the load (in number or type) that could come about because of this intervention.

References [1] Câmara Municipal de Cascais, Concurso Internacional para Aquisição de Serviços para a Elaboração do estudo de Trânsito de âmbito Concelhio – ETAC, CMC/DPE/DPIE, Cascais, 2008. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[2] Câmara Municipal de Cascais, Pré-Diagnóstico do ETAC, CMC, Cascais, 2007 [3] Amado, M., O Processo do Planeamento Urbano Sustentável, Edições Caleidóscópio: Lisboa, 205 pp., 2005. [4] Beatley, T., Green Urbanism, Learning from European Cities, Island Press, Washington, 491 pp., 2000. [5] Newman, P., and others, Resilient Cities – responding to Peak Oil and Climate Change, Island Press, 166 pp., 2009. [6] Doak, J. & Martin, A., Consensus-building for environmental sustainability (Chapter 14). Integrating Environment + Economy, ed. Andrew Gouldson and Peter Roberts, Routledge: New York, 2000. [7] Friedman, A., Sustainable Residential Development, The McGraw Hill Companies: New York, 288 pp., 2007. [8] Gouldson, A.; Roberts, P., Integrating Environment and Economy: The Evolution of theory, policy and practice. Integrating Environment + Economy, ed. Andrew Gouldson and Peter Roberts, Routledge: New York, pp. 3-22, 2000. [9] Câmara Municipal de Lisboa, Plano de Mobilidade de Lisboa, Edic. CML, Lisboa, 2005. [10] Hensher, D. A, Brewer, A. M., Transport an economics and management perspective, Oxford Publisher: London, 376 pp., 2001. [11] Macário, R., Quality management in urban mobility systems: an integrated approach, Emerald Group Pub, Ltd: London, 362 pp., 2005 [12] Montes Palma, J., Projecto 2 - Trabalho Final do curso de Pós-graduação em Planeamento e Projecto da Construção Sustentável, FE/UCP: Sintra, s.r, 2006. [13] Newman, P., Beatley, T., Boyer, H., Resilient Cities – Responding to Peak Oil and Climate Change, Islands Press: Washington, 166 pp., 2009. [14] Rodrigues, V., Desenvolvimento Sustentável: Uma Introdução Crítica, Princípia Editora, Lda: Parede, 289 pp., 2009. [15] Reboratti, C. E., STerritory, Scale and Sustainable Development (Chapter 11), Sustainability and the Social Sciences, ed. E. Becker and. T. Jahn, Zed Books: New York, pp. 207-209, 1999. [16] Santos, P., Interpretação das Principais Cadeias de Viagens, Tese para obtenção do Grau de Doutor no IST/UTL, Lisboa, 1994. [17] Vuchic Vulcan R., Urban Transit - Operations Planning and Economics, Edition, John Wiley & Sons Inc.: New York, 664 pp., 2005.

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The use of the city in space and time as a new social approach for prioritising transport corridors in the metropolitan area of Barcelona (Spain) J. Cerda & C. Marmolejo Centro de Política de Suelo y Valoraciones, Universidad Politécnica de Cataluña, Spain

Abstract The traditional evaluation of transport projects principally considers the benefits produced by the reduction in journey time of the travellers, but a specific reduction is not the same for a one-hour trip as for one of 20 minutes, or for a work-related journey as for a shopping-related journey. The purpose of this investigation is to construct a Pattern of Social Behaviour in the use of the city (in space and time), and specifically the travel time patterns, to use them to prioritise different transport corridors, in the Metropolitan Area of Barcelona, under a social equity approach, in journey time. The study applies a trip chain analysis (similar to activity-based models) over the travel survey of the metropolitan area of Barcelona (2001). The results are analysed in a probabilistic dimension of Hagerstrand’s time-geography approach. The result is a new indicator of access, called functional probability, which derives from how people move in the city. This “willingness to spend time on travel” was used to identify outliers travel time, as a social equity factor, in the use of the city. The threshold of 10% of the greater travel time was used to identify inequitable travel (with different purposes and social class of travellers). Finally, the assignment of these inequity trips shows transport corridors with different spatial specialisation. The main conclusion of the research is that taking a social view of travellers, with regard to their different purposes and social class, in the form of how they use the city in terms of space and time, is a more realistic criterion to prioritise different transport corridors, by carrying out the analysis of who makes use of them, for what reason, and for how long. Keywords: social use of the city, prioritising transport corridors. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100421

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1 Introduction The traditional evaluation of transport projects is included principally in a strategic transport study. The object of these studies is the identification and evaluation of a group of transport projects, named a project plan, for the existing city and the city of the future. These types of studies apply the traditional fourstage transportation model [6]. The first stage evaluates the generation and attraction of trips in each transportation zone of the city. The second stage predicts the spatial distribution of these trips, followed by the modal distribution. Finally, the model assigns the trips to a multi modal transportation network. In this last stage, the model can include a specific transport project as a modification of the transport network. The evaluation of transport projects principally considers the benefit produced by the reduction in travel time of vehicles and passengers, in the new transport network. The reduction of travel time is multiplied by a constant value named “social value of time” to obtain economic benefit [2]. Today many studies consider others factors, named externalities, in the evaluation process. The most popular types of externalities are environmental externalities, such as gas emissions and noise pollution. Other externalities are the security condition of the transport network [1]. The above methodology, classical in transportation studies, arises from the causal paradigm of understanding the relationship between transport and city. This paradigm has been widely criticised by social scientists as being very functional, because it reduces the human dimension (and urban dimension) to a simple trip [9]. The social background of the “value of time” is only conceptual, based on the assumption that society as a whole assigns a value to the reduction of travelling time, or by the economic value of the time productivity ratio from a worker [10]. The question here is how to include the urban and human dimension in the transportation model, and also in the evaluation process of transport projects. The research problem of this study is that a specific travel time reduction does not have the same effect in a one-hour trip as in one of 20 minutes, or for a work related trip as for a shopping trip. The purpose of the investigation is to construct a Pattern of Social Behaviour in the use of the city (in space and time), and specifically the travel time pattern, to use them to prioritise (under a social equity approach, in travel time) different transport corridors, in the Metropolitan Area of Barcelona. The document is divided into four sections. The first section introduces an approach for quantifying the use of the city in time and space. The second section presents the methodology. The third section presents the results obtained for the Metropolitan Area of Barcelona, and finally the main conclusions are presented.

2 The use of the city in space and time Hagerstrand (1969) built a powerful conceptual and analytical basis for the understanding of urban social phenomenon, named "time geography” [8]. Time WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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geography highlights the necessary condition for participating in activities distributed sparsely with respect to space, and is available for only limited temporal durations. This theory identified the spatial and temporal constraints under which individuals participate in activity episodes using the now wellknown space-time prism (authority constrains). It also identifies capability constraints (biological restrictions, income, car availability, etc.), and coupling constraints (conditions to meet with other persons). All these conditions address the question of how participating in activity at a given place and time affects abilities to participate in activities in other places and at other times [3, 8]. This individual approach has been widely applied in urban sociology, specifically on issues of human perception, contacts between social classes, living space, and the new concept of “Motility” [7]. Moreover, activity theory examines how aggregate human phenomena emerge from individual activity participation in space and time, as well as the mode and route choice when moving between these activities. This approach started gaining attention in 1980s. Only in 1990s did the travel demand analysis accelerate the shift to the new activity-based paradigm [4]. Time geography and activity theory are long-standing intellectual traditions, in geography and transportation science, respectively. However, the aggregate analysis of people (not individuals) in these approaches is unusual. The “transport” vision of the city is socially reductionist, because its separation of transport from the associated activities is a mistake. The understanding of how people use the city is directly related to the behaviour of their users. People, with their characteristics and decisions are those that use the city. The behaviour of a type of resident should be investigated, in the interactions and periods spent inside the city, for specific purposes. This behaviour arises from a probabilistic analysis of the usage of the city, which is built based on the behaviour of many residents (and not an individual approach) [5]. This research understands the use of the city as the form how people, in a mass approach, satisfy their needs in the activities inside the city. This satisfaction of needs has two analytical dimensions, and two actions. The dimensions are time and space, and the actions are access and remaining therein, both in specific activities in the city. The combination of both dimensions and actions creates the “time to access” and “time to stay”, “space to access” and “space to stay”, for/in a specific activity. The pattern of access time, and staying time, represent the associated probability distribution. The present work is part of a larger project that examines these two dimensions and actions in different cities. This paper shows the results of the combination of the travel time pattern, together with the pattern of use of transport network (space), for different purposes (activities). The newness of this approach are 1) the capacity to differentiate the flow (not in the mode of transportation) for different purposes (activities), and 2) the possibility to determine travel time thresholds, for purpose, to identify situations of social inequality. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3 Methodology The study applies a trip chain analysis (similar to the activity-based transportation model) over the travel survey of the metropolitan area of Barcelona (2001). This analysis allows the validation of the travel database, in order to identify time and spatial codification mistakes. With the final database, the probability distribution of travel times is constructed for different purposes (to work, to study, to shop, for leisure, for social reasons). The inverse cumulative distribution of travel time for each purpose is used as a new indicator of temporal access, named “functional probability”. The functional probability, as a “willingness to spend time on travel”, was used to identify outliers' travel times, as a social equity criterion in the use of the city. Different distribution matrices were constructed with the inequitable trips, and also with the total trips for each purpose. These matrices were assigned to the structural network of the Metropolitan Area of Barcelona. The assignment method was an “all or nothing” optimisation, because the objective is to prioritise structural corridors at the metropolitan scale. The product from the assignment model was different flows of the inequitable trips, and total trips, for each purpose, for each arc of the network. Finally, a specialisation index was calculated of inequity trips to prioritising transport corridors with different purposes.

4 Results The original database has 17,310,838 trips (per week), the destinations of which are activities (excluding the return to home trip). The trip chain analysis identifies 2,795,566 trips with different mistakes (16%). The final database has 14,515,272 trips (per week). Table 1 shows the functional probability obtained for travel times. Table 1 shows that a reduction of five minutes of travel time does not produce the same effects for a one-hour trip as for one of 20 minutes, or for a working trip as for a shopping trip. The functional probability, as the probability to make the trip, varies differentially. The reduction of 5 minutes in a one hour trip (from 60 to 55 minutes), varies the probability from 0.076 to 0.077. The same reduction in a trip of 25 minutes (from 25 to 20 minutes), varies the probability from 0.414 to 0.744. In the first situation, the trip goes from a very low probability to practically the same. In the second situation, the trip goes from a middle probability to a high probability. In another way, the reduction of 5 minutes in a trip of 20 minutes (from 20 to 15 minutes), increases the probability to 0.16 if the purpose is to work, but the increase is 0.29 if the purpose is to shop. So, the functional probability shows a “willingness to spend time on travel”, in other words it is the probability to make or not the trip, with a specific purpose. Then the variation of probability produced by a reduction of time is not constant like as the social value of time. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 1:

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Functional probability of travel time for different purposes, Barcelona (2001). Purpose Travel time (min) To work To study To shop Leisure Social 0 ‐ 5 100,0 100,0 100,0 100,0 100,0 5 ‐ 10 96,4 95,0 94,4 94,7 95,7 10 ‐ 15 94,6 91,9 91,1 92,2 93,2 15 ‐ 20 79,1 69,0 62,4 74,7 70,0 20 ‐ 25 48,4 32,1 28,7 38,7 36,3 25 ‐ 30 47,5 31,3 27,9 37,9 35,3 30 ‐ 35 44,5 29,0 25,8 35,3 32,3 35 ‐ 40 17,8 13,0 8,3 13,7 11,7 40 ‐ 45 17,3 12,5 8,1 13,4 11,4 45 ‐ 50 14,2 10,7 7,1 11,6 9,7 50 ‐ 55 8,3 6,9 4,6 5,9 5,2 55 ‐ 60 8,2 6,8 4,6 5,8 5,1 60 ‐ 65 7,9 6,5 4,4 5,7 4,9 65 ‐ 70 2,1 2,4 1,8 1,8 1,8 70 ‐ 75 2,0 2,3 1,7 1,8 1,8 75 ‐ 80 1,8 2,1 1,5 1,6 1,6 80 ‐ 85 1,2 1,4 1,3 1,1 1,0 85 ‐ 90 1,2 1,4 1,3 1,1 1,0

Table 2:

Percentile 50 75 90 95 99

Total 100,0 95,9 93,5 74,4 41,4 40,5 37,7 15,5 15,1 12,7 7,7 7,6 7,4 2,5 2,5 2,3 1,6 1,6

Equity-inequity threshold for different purposes. Purpose threshold (min) To work To study To shop Leisure 19,7 17,6 16,8 18,4 33,6 31,2 30,2 32,4 48,6 46,0 34,5 46,4 62,5 61,9 49,2 60,9 69,9 75,7 64,6 64,7

Social 18,0 31,8 44,0 58,2 64,7

Total 18,7 32,9 47,7 62,5 77,0

Understanding this functional probability as a social cost of travel allows for the identification of equity or inequity situations in travel times. However, to identify an equity situation, a specific threshold must be defined. There are two main ways of determining the time threshold of equity-inequity; the first is to determine the threshold based on a maximum acceptable condition for a traveller (absolute magnitude of the threshold), which may be a product of specific social policy. The second way is to make the threshold relative to the situation of all travellers (statistical criterion). This study uses the second way to identify the equity-inequity threshold. Table 2 shows the threshold values (in minutes) for different criteria (percentiles) over the functional probability distributions.

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464 The Sustainable World As expected, for each statistical criterion, the time thresholds vary according to the purpose of the trip, and also with respect to total travel. This shows the error to consider only the situation of total trips to define a threshold. For example, with the threshold of 47.7 minutes (total trips), we identify 10% of longer trips in time. However, this travel time corresponds to the 89 percentile of the travel to work, the 91 percentile to study, the 94 percentile to shop, the 90 percentile to leisure travel, and the 91 percentile to social travel. So, a threshold based on the total trips hides inequities in different travel purposes. This study used different thresholds by trip purpose, with the statistical criterion of the 90 percentile (to identify 10% of longer trips). Thus, we found 1,071,253 (in the week) inequitable trips, from a total of 14,515,272 trips of the Metropolitan Area of Barcelona (7.38%). 54.9% of these journeys are from the low class, 27.0% from the middle class, and 18.1% from the high class. The purpose distribution is as follows: 40.8% are travel to work, 21.7% to study, 6.5% to shop, 4.3% leisure travel, 6.6% social travel, and 20.1% for other purposes. The modal distribution is 18.9% for walking journeys or bike trips, 20.7% by car, 17.6% by bus, 15.7% by metro, and 26.6% by train. In summary, the inequitable journeys are concentrated in the low class (but with a significant percentage in the high class), in travel to work (but all the other purposes together have a greater percentage), and with homogeneous modal distribution. These non-traditional characteristics of inequity show the dimensions that provide the approach of the social use of the city to the inequity in urban transport. Figure 1 shows the results of the assignment process (flow of inequitable journeys with the thickness of the line), and the specialisation of the transport corridors (arc with red colour). The specialisation index is the ratio between the percentage of inequitable trips in each network arc, and the percentage of inequitable trips in the whole metropolitan area. A value over 1 indicates that the arc has a greater percentage than the city. This situation is understood as specialisation in this inequitable travel (a high value, over 1, indicates high specialisation). The figure shows that the inequitable travel to work journeys concentrate their specialisation in the structural roads, namely Av. Diagonal and Av. Meridiana, in the direction to the centre of the city (Pl. Cataluña). The inequitable journeys for study purposes concentrate their specialisation in an orbital road system from Barcelona, but not in a direction towards the centre. The inequitable shopping related journeys concentrate their specialisation around the centre of the city (Pl. Cataluña), as do the leisure related trips concentrating their specialisation in the same corridors, but also in the structural roads out of the city. The social related trips concentrate their specialisation in a wider area around the centre (Pl. Cataluña and Gracia). For a clearer view of this specialisation, Figure 2 shows a profile of Av. Diagonal in the city of Barcelona, in terms of the specialisation index. In the profile table we can see that the greater specialisation of this corridor is for the purposes of shopping and social activities, between Zona Universitaria and Pl. Francesc Macia (large shopping centres and offices are located in this WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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The inequitable travel to work

The inequitable travel to study

The inequitable travel to shop

The inequitable leisure trips

The inequitable social trips

Figure 1:

Specialization corridors in inequitable travel time, for different purposes (colour online only).

sector). In the same sector the specialization of the inequitable leisure trips are concentrated. The specialisation in inequitable travel to work and to study, are not significant in this corridor. In summary, the profile shows the potential social benefits of investment in transport, in terms of reducing inequities in travel times for different purposes of the use of the city. With this approach, the real benefits of transportation projects are evaluated in terms of the trip chain, and not only in specific sections of the network. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Specialization in inequity travel  Point To work To study To shop Leisure Social 1 3,0 3,8 11,4 1,4 11,0 Zona Universitaria 2 3,1 4,5 12,0 3,1 12,2 3 3,0 4,0 10,7 3,1 12,2 4 2,8 3,8 10,0 3,1 12,2 Pl. Maria Cristina 5 2,8 4,6 9,8 3,2 12,1 6 2,8 4,5 7,4 3,2 10,7 7 3,0 4,6 7,4 3,3 10,7 Pl. Francesc Macia 8 2,0 4,8 5,3 2,0 10,3 9 1,9 4,1 4,7 1,0 12,5 10 1,8 3,8 4,1 1,1 11,1 Psg. Gracia 11 1,6 4,3 3,0 1,4 7,6 12 1,4 4,1 4,0 1,3 5,2 13 1,4 4,2 3,5 0,8 5,2 Psg. Sant Joan 14 1,4 4,2 3,3 1,0 5,2 15 0,8 0,0 3,5 0,0 5,0 Pl. Glories 16 0,9 0,0 3,8 0,0 3,5 Reference

Figure 2:

Profile of specialization index across Diagonal Avenue, Barcelona.

5 Conclusion Other studies of travel time traditionally use the average travel time [11], but as shown, the travel time is a random variable of mobility, whose statistical distribution is not usually symmetrical. So, it would be wrong to use the average time as a representative value. The functional probability shows a “willingness to spend time on travel”, in other words it is the probability to make or not the trip, for a specific purpose. Then the variation of probability produced by a reduction of time is not constant as the social value of time. Journeys with inequitable travel time, identified by a statistical approach, are concentrated in 1) the lower class, but also with a significant percentage in the higher class, 2) in travel to work, but all the other purposes together have a WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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greater percentage, and 3) with homogeneous modal distribution. These nontraditional characteristic of inequity show the dimensions that provide the approach of the social use of the city, to the inequity in urban transport. The Barcelona transport corridors are specialised in space and purpose. The specialisation profile of a specific corridor shows the potential social benefits of investment in transport, in terms of reducing inequities in travel times of different purposes of the use of the city. With this approach, the real benefits of transportation projects are evaluated in terms of the trip chain, and not only in specific sections of the network. The main conclusion of the research is that by taking a social view of travellers, with regard to their different purposes and social class, in the form of how they use the city in terms of space and time, is a more realistic criterion to prioritise different transport corridors, by carrying out the analysis of who makes use of them, for what reason, and for how long.

Acknowledgements The lead author is supported by the “Comisionado para Universidades e Investigación del Departamento de Innovación, Universidades y Empresa de la Generalitat de Cataluña y del Fondo Social Europeo”. The study is supported by the Ministerio de Fomento del Gobierno de España.

References [1] Autoritat del Transport Metropolità, Pla Director de Mobilitat, Barcelona, 2007. Online. http://www.atm.cat/cat/apartado3/ap3_04.htm [2] Banco Interamericano de Desarrollo, Manual de Evaluación Económica de Proyectos de Transporte, Washington D.C., pp. 188, 2006. Online. http://idbdocs.iadb.org/wsdocs/getdocument.aspx?docnum=1037792 [3] Bhat, CR., A retrospective and prospective survey of time-use research. Transportation, 26, pp. 119-139, 1999. [4] Bhat, CR., Activity-based Travel Demand Analysis: The Past, the Present, and The Future. Presentation of the Time Use Observatory (TUO) Workshop. Santiago, 2009. Online http://www.sistemasdeingenieria.cl/ seminarios/descargas/PresentacionTUO_Final.pdf [5] Cerda, J. El comportamiento del mercado inmobiliario en la Cuenca operacional del Gran Santiago: un nuevo enfoque de análisis (Chapter 3.2). Producción inmobiliaria y reestructuración metropolitana en América Latina, eds P. Pereira & R. Hidalgo, Serie GEOLibros – PUC: Santiago, pp. 89-106, 2008. [6] Hunt, J.D. et al, Current Operacional Urban Land-use-transport Modelling Frameworks: a review. Transport Reviews, 25(3), pp. 329-376, 2005. [7] Kaufmann, V., Motility: Mobility as Capital. International Journal of Urban and Regional Research, 28(4), pp. 745-756, 2004. [8] Miller, H., Necessary space-time conditions for human interaction. Environment and Planning B: Planning and Design, 32, pp. 381-401, 2005. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

468 The Sustainable World [9] Miralles, C., Ciudad y transporte un binomio imperfecto, Ariel Geografía: Barcelona, pp. 300, 2002. [10] Munizaga, M., Correia, R., Jara, S., Ortuzar, J., Valuing time with a join mode choice-activity model. International Journal of Transportation Economics, 33, pp. 69-86, 2006. [11] Van Wee, B., Rietveld, P. & Meurs, H., Is average daily travel time expenditure constant? In search of explanations for an increase in average travel time. Journal of Transport Geography, 14, pp. 109-122, 2006.

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Integrated system for decision help in urban mobility management – towards sustainable urban area development: VISUTRANS C. Danoh, A. N’Diaye & J. Marchal Applied Sciences Faculty, ArGenCo – Anast, University of Liege, Belgium

Abstract Urban transport problems have become more widespread and severe than ever in both industrialised and developing countries alike. Facing this situation, there is a real need in developing new strategies and innovative tools for transportation and town-planning, as well as economic activities (public or private), within the area. The current tools and systems for solving transport problems are based on using several sub-management tools related to transportation infrastructures, town-planning, road traffic, environmental effects…, which are not sufficiently in interaction. These solutions lead to a severe handicap for urban homogenous and mastered development. That is why the “Urban mobility” has to be rethought. The main idea in this article concerns the development of a multimodal, prospective and flexible tool for the sustainable development of urban areas, which could help the decision makers in urban transportation fields. Keywords: integrated transportation planning, transportation data model, transport modelling, decision help, and sustainable development.

1

Introduction

Urban transport problems have become more widespread and severe (Ortuzar and Willumsen [24]). The old problems, such as congestion, pollution accidents and financial deficits, are now coupled with land use and environmental problems. This situation reduces significantly the effectiveness of the transport system. Thus, several researches have been undertaken in order to solve them. Therefore, the problems still grow and the planning methodologies developed in WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100431

470 The Sustainable World recent decades do not efficiently change the circumstances into a sustainable situation. In this context, contemporary transport planning requires a new philosophy in terms of tools and strategies, skilled professionals and modelling techniques with implementations in software (Ortuzar and Willumsen [24]). Furthermore, Kauffmann [16] mentioned that urban transport is characterized by multidimensional aspects, which present key indications for properly handling urban transport problems. It is in this framework that the following article proposes an innovative and integrated system that aims to assist the decision makers in choosing appropriate solutions related to urban mobility. The approach undertaken in this article will first of all analyze recent developments in transport planning and their impacts on urban mobility. Then, based on this analysis, a data model will be proposed in order to provide a new conceptual and comprehensive urban mobility management tool for a sustainable urban development.

2

Analysis of recent researches

The transport planning might be a comprehensive process with the collection, analysis and interpretation of relevant data concerned with existing situation (Banister et al. [1]). One of the basic structures of the transport planning has been developed by Thomson [27]: Problem Identification; Diagnosis; Projection; Constraints; Options; Formulation of plans; testing of alternatives and Evaluation. As a strategy tool for planning, the transport planning model (TPM) is the central part of transport planning process and essential for generating and testing alternatives. Variations of the basic format coupled with TPM have been applied and carried out all over the world (Banister et al. [1]). Therefore, transport problems still appear. The optimal solutions seem to be found by the integration of land use, environmental criteria and all the disciplines involved in urban transport planning process (Meyer and Miller [21]). This new philosophy allowed the development of integrated and interactive transport planning strategies and tools which aims to contain and master urban transport problems all over most important cities in the world. Thus, integrated plans have been developed; taking generally in account land use, enhance public transport policy, traffic calming in residential and city-centres locations, road pricing, environment caution… Moreover, several multimodal transport planning software have been developed in regard to integrated plans, INRETS [15]: Emme 2/3 (Canada), Polydrom (Switzerland), TP+/ VIPER (USA), TRIPS (Great Britain) VISEM/DAVISUM (France-Germany)… The evolution of transport planning process (plans + models) brings more robustness to solutions for better handling urban transport problems. Despite these advanced, the tools developed are not enough correlated and interactions between key elements for solving urban transport problems are weakly undertaken. Moreover, those elements are often used separately while WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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urban mobility appears as a multidisciplinary phenomenon (Kauffman [16]). Town planners, urban and transport (goods and persons) agencies, public transport operators, economists, experts in external transport effects assessment contribute individually in the improvement of urban transport efficiency. Doing so, each decision maker has not really a global view of the given situation in order to provide an optimum decision. This way of dealing with urban transport problems leads to a severe handicap for sustainable development for urban areas. So, the renewed idea is to consider the traffic models developed above, as a part of a whole system where, the other transport aspects (noise, pollution, activities location, economic impact…) can be link to generate optimal solutions for transport problem. That is why the idea developed in this paper proposes a system where urban transport decision-makers will dispose of all data and information related to the whole urban transport system before developing strategies and policies in regard to transport problems. The idea is to develop an Intelligent Data Base (IDB) that is able to link the Traffic Model, Noise Model, Pollution Model, Economic Model and Optimal socio-economic Activities location by using existing efficient models and by using the plug and play technology. This vision leads to the development of integrated scenarios necessary for solving current urban transport problem. The IDB may also contain quantitative and qualitative data for monitoring the transport systems, in terms of road level of service, public transport management, socio-economic characteristics and location. The following paragraph deals with the theoretical framework of integrated transport before demonstrating the feasibility of an integrated system for urban transport management.

3 Integrated system for decision help in urban mobility management Transport is essential for any socio-economic activity: goods transport, work, school, leisure, relationship… More accessibilities and better level of transport services and life quality are key factors for development. Facing severe urban transport problem and having in mind the improvement of households and goods trip conditions, transport decision makers need to be assist with innovative, efficient and relevant management tolls. As we argued above, urban mobility appears as a multidisciplinary phenomenon: traffic engineering, urban planning, public transports, socio-economic and environmental factors, sociological aspects… Thus, optimal and adequate solutions for urban transport problems need an integrated and transversal vision trough the whole urban system. The approach to undertake transportation interest may arise from an integrated transportation planning (Meyer and Miller [21]), coupled with real decision help tool. The idea here is to develop an integrated transport planning system which will be able to support quantitative and qualitative analysis and evaluation of contemplated changes in the Urban System. The system will also help users for WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

472 The Sustainable World monitoring and analyzing the existing traffic conditions, forecasting the effects of projected strategies, estimating parameters for traffic models, validating the performance of traffic models for planning, appreciating the impacts of each alternative (European Commission [12], Taylor and Young [26], Ortuzar and Willumsen [24], Bonnel [6]) have identified the importance of transport data for any kind of transport planning process. That explains why the integrated system in interest will first of all need a theoretical framework base on a specific data model (MIDAM) which will provide the feasibility of the integrated system for decision help in urban transport analysis (VISUTRANS). 3.1 Data model MIDAM The conception and development of a transport planning tool need a data model which expresses its philosophy approach. The data model adopted in this paper concerns the data related to the whole urban system and not only set on traffic data: the socio-economic organization, the network structure, transport modes used for trips and exogenous data extract form extern models such as noise and pollution model, economic model or traffic management model. The integration of all this data, which are not used in this way before, allows decision makers to better appreciate the impacts of any kind of alternative or scenario to be developed. The data used in MIDAM are the following:  Socio-economic data characteristics and locations. Urban traffic is a function of land use. If land use could be controlled, then the origins and destinations of journeys could be determined. Socio-economic activities are identified by zone which is modelling by using centroid.  Transportation network data depicts transport infrastructures and the means of traffic management Socio-economic data Trip attraction elements

District Geographic Data

Urban unit of analysis (the zone)

Socio-economic Data Trips generation elements

Location

Transport network data

Transport modes data

Road Table

Car characteristics

Road Surface Table

Road characteristics table Public transport characteristics Link

Full road Table

Two-wheels characteristics Links Table Link characteristics table

Pedestrian characteristics

Intersections Table

External models

NOISE MODEL

OUTPUT

TRAFFIC MODEL (Emme2)

AIR POLLUTION MODEL

OUTPUT

OUTPUT

Results Box

MANAGEMENT SCENARIOS GENERATION AND DECISION HELP MODEL

Figure 1:

Integrated data model for urban transport management: MIDAM.

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

Transport modes characterise the various transport modes available on the urban study area  External models deal with Traffic model such as Emme2, noise model, pollution model, economic model…  Results box represents results from external models, which can be used as input for other models. For example, Results Box can contain travel flow from traffic model which could be used as input for external transport effects. The figure 1 shows the data model scheme: MIDAM. 3.2 Key issues from MIDAM From this data model, five main points are depicted below:  Zone depicts socio-economic unit of analysis. Generation and attraction elements are necessary to handle flow amount and patterns.  Link characterises transport impact unit of analysis. For example, in the case of congested road, the pollution will be differently appreciate if there are or not habitations around the roadway. The same analysis could be undertaken to analyse the supply of road parking along the roadway – possibility to enlarge the road and/or build sidewalk…  Relations between link and zone characterise by the duality between transport and land use. The accessibility level is strongly associated with the transport service quality level.  Integrated and multimodal data model by taking into account existing model involve in transportation field, all the modes available on the study area, socio-economical and environmental aspects, the transport model develop here bring an optimal response to urban transport problems.  Real decisions help tool for urban transport management by integrating the data model to an assessment and evaluation system in order to assist urban transport decision makers. The data model describes above, satisfies the framework concerning integrated and adequate way to better handle urban mobility problems. Furthermore, in regard to MIDAM, a demonstration has been done to prove the feasibility of such a relevant transport planning system. 3.3 Design of an integrated system for decision help in urban mobility management Based on the data model MIDAM, a demonstration tool, VISUTRANS, has been developed by using MS Access and Matlab programming tools. The overview of VISUTRANS is shown in figure 2. Nowadays urban mobility problems require contemporary transport planning such as VISUTRANS. The inputs concern urban and transport data. Land use is considered in the concept as well as external transport impacts and assessment tools.

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474 The Sustainable World VISUTRANS VISUTRANS

EMME2 EMME2

DATASTORAGE STORAGE DATA

INPUTS INPUTS

TRAFFIC TRAFFIC && SOCIO-ECONOMIC SOCIO-ECONOMIC DATA DATA

INTERACTIONWITH WITHOTHER OTHER INTERACTION TRAFFICMODELS MODELS TRAFFIC

DATAUPDATE UPDATE DATA

TRANSPORTATION TRANSPORTATION EXTERNALEFFECTS EFFECTS EXTERNAL MODELS MODELS

OUPUTS OUPUTS GRAPHICINTERFACE INTERFACE GRAPHIC DATAMANIPULATION MANIPULATIONFOR FOR DATA DECISION HELP ISSUES… DECISION HELP ISSUES…

Figure 2:

Figure 3:

Overview of VISUTRANS.

Integration illustration.

The outputs present graphical interface with integrated, multimodal and environmental lay out. Its assessment tool provides a real assistance for urban transport decision-makers. VISUTRANS presents several characteristics:  Prospective tool: Socio-economic data manipulation for creating scenarios; state of the road and highway network, road description and drawn, links characteristics;  Integrated tool: External transport models to our system such as traffic model, assessment model, pollution and noise estimation model… are linked to VISUTRANS data base by plug and play technology;  Multimodal tool: private vehicles, public transport mode, two-wheels and pedestrians are taken into account by VISUTRANS.

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3.4 VISUTRANS illustrations The graphic interface offers many possibilities to the users during the planning process and the decision making. Some illustrations of the integrated System for Decision Help in Urban Mobility Management are described below. Illustration 1: Integrated tool This illustration depicts the interaction between VISUTRANS data base and traffic, air, pollution and economic models. Illustration 2: Multimodal tool The figure below illustrates the consideration of all the modes available in an urban area. Intermodality can be studied to improve the transport system. Illustration 3: Transit lines management Figure 5 shows the opportunity to manage all kind of transit line. Number and type of lines by zone, headways, frequencies, fuel consumption, road occupancy… Illustration 4: Prospective tool Figure 6 depicts the possibilities to monitor, analyse, and modify the existing socio-economic properties, road networks, transport mode in order to master and contain urban mobility development.

Figure 4:

Multimodality illustration.

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Figure 5:

Figure 6:

Transit lines management.

Prospective illustration.

4 Conclusion Contemporary transport planning tools require renewed theoretical framework. The decision – makers have to be aware of each alternative or scenario impacts on the whole urban system in order to contribute to a sustainable development. By elaborating an integrated system for decision help in urban transport management, there is an opportunity to let the decision-makers to have an overview of the urban system. Service quality on road networks, cars patterns, public transport, urban planning, goods transport, environmental aspects are essential for transport planning issues. VISUTRANS, which is characterised by WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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this transversal and integrated issue for transport planning, represents a real tool for assisting urban transport decision makers. Its assessment tool, multimodal, integrated and prospective aspects are key components to better handle urban mobility problems. Tools like VISUTRANS are intended for municipalities, urban development agencies, public transport planners and engineering consulting firms in transport.

References [1] Banister, D., Nijkamp, P. & Priemus, H., “Mobility and spatial dynamics: an uneasy relationship”, In Journal of transport geography, n° 9, 2001. [2] Baye, E. & Debizet, G., Des nouvelles problématiques urbaines à l’innovation de l’expertise transport / déplacement: Mise en parallèle et convergence : Allemagne - France - Royaume Uni, Prédit 1996-2000, Economie et Humanisme, Cerat, 166 p., 2001. [3] Ben-Akiva, M. & Lerman, S.R., “Discrete choice analysis: Theory and application to travel demand”, The MIT Press Cambridge, Massachusetts London, England, 1985. [4] Ben-Akiva, M., Mc Fadden, D., Train, K., Choice Models: Progress and Challenges, Working paper, Mannheim Research Institute for the Economics of Aging (MEA), 2002. [5] Bonnel, P. & Zhang, C., Définition d'une typologie de la mobilité adaptée à la modélisation de la demande, Lyon, ISIS et LET, 85 p, 2001. [6] Bonnel, P., Prévoir la demande de transports, Presses de l'Ecole Nationale des Ponts et Chaussées, Paris, 2004. [7] Bonnafous, A., Patier-Marquec, D. & Plassard, F., Mobilité’ et vie quotidienne, Lyon, Presses Universitaires de Lyon, coll. Transport, espace, société, 172p, 1981. [8] Cancalon, F. & Gargaillo, L., Les Transports Collectifs Urbains: Quelles méthodes pour quelles stratégies?, Editions Celse, Paris, 1991. [9] CEMT (Conseil européen des ministres des transports) et OCDE (Organisation de coopération et de développement économique), Transports urbains et développement durable. Paris: CEMT et OCDE, 268 p, 1995. [10] Chung, J-H., Viswanathan, Kr., Goulias, K. (), Design of Automatic Comprehensive Traffic Data Management System for Pennsylvania, Transportation Research Record n° 1625, TRB, National Academic Press, Washington DC, pp 1-11, 1998. [11] Dueker, K. J. & Butler, J. A. (), GIS-T enterprise data model with suggested implementation choices, Discussion paper, Center for Urban Studies, Portland State University, 1997. [12] European Commission, Green Paper, Towards a new culture for urban mobility, European Commission, 2007. [13] Fletcher, D., Geographic information systems for transportation: A look forward, in Transportation in the New Millenium: State of the Art and Future Directions, Washington, DC: Transportation Research Board, 2000. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

478 The Sustainable World [14] Harvey, J. M. & Shih-Lung, S., Geographic Information Systems for Transportation: Principles and Applications, Oxford University Press, 480p, 2001. [15] INRETS (Institut National de Recherche sur les transports et leur sécurité, France), Intermodalité: Bilanet Perspectives des Systèmes informatiques, Rapport de Convention DTT, 2002. [16] Kaufmann, V., Mobilité et vie quotidienne: synthèse et questions de recherche, Centre de prospective et de veille scientifique, Paris: Ministère de l’Équipement, des Transports et du Logement, 2001 Plus n°48, 1999. [17] Kaufmann, V., « Mobilité quotidienne et dynamiques urbaines: la question du report modal », Presses polytechniques et Universitaires Romandes, Lausanne, 252p, 2000. [18] Masson, S., Les interactions entre système de transport et système de localisation en milieu urbain et leur modélisation, Thèse de doctorat, Université Lumière Lyon 2, France, 2000. [19] Merlin, P., La planification des transports urbains, Enjeux et Méthodes, Masson, Paris, 220p, 1984. [20] Merlin, P., Les Politiques de transport urbain, La Documentation française, 1985. [21] Meyer, M., Miller, E., Urban Transportation Planning, Second Edition, McGraw-Hill series in Transportation, 2001. [22] N’Diaye, A. B., De l'analyse du choix discret en général et du LOGIT multinomial en particulier, Département d'Analyse des Systèmes de Transport, Université de Liége, Editions ANAST, 1994. [23] Newman, P. & Kenworthy, W., Sustainability and cities. Overcoming automobile dependence. Washington: Island Press, p. 193, 1999. [24] Ortuzar, J. D. & Willumsen, L., Modelling Transport, Third Edition, John Willey & Sons LTD, 2001. [25] Sheffi, Y., Urban Transportation Networks: Equilibrium Analysis with Mathematical Programming Methods, Prentice-Hall, 1985. [26] Taylor, M. & Young, W., Understanding Traffic Systems, Data analysis and Presentation, Avebury Technical, 1996. [27] Thomson, J.M., Modern Transport Economics, Harmondsworth, Penguin, 1974.

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Locating intra city bus terminals using fuzzy logic with emphasis on city development and community alliance: case study of Tasuj N. Marsousi & K. Pourebrahim Department of Geography and City Planning, Payam Noor University, Tehran Campus, Iran

Abstract This paper is written with the objective to present an approach for site search for an intra city bus terminal, which is considered as a public service provided by the city establishment. City expansion requires careful planning. It should take place when there is controlled interaction among different factors that make up a city such as population, society, economy, etc. If a city expands without planning or without paying attention to its special factors, then it can produce undesirable social and environmental conditions resulting in prejudicial consequences. In site searches for public services, such as bus terminals, one should consider the inherent factors of city, population chrematistics of city communities, and city districts with the intention of creating greater harmony and alliance among city communities. Tasuj is a small city in the Shabestar metropolitan area in West Azerbaijan Province. Tasuj was used as a case study for applying the approach outlined in this paper with the consideration given to City expansion and increased alliance among City communities. Different communities were identified in Tasuj for this study. Population density was calculated for these communities using Köln law (for electrified metal objects). We, then, performed buffering by using population density in a GIS environment and selected common areas by applying an overlay intersect function. We, finally, arrived at the best area, which could satisfy all communities. We selected the best location by applying the fuzzification method, taking into account city expansion course and alliance

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480 The Sustainable World among city communities. Other factors play a role in site selection for an intra city bus terminals, but this paper focuses on the two already mentioned. Keywords: community alliance, skeletal development, GIS, fuzzy logic, site selection.

1 Introduction The criterion for action or judgement is the guideline for planning [2]. Ethnical and local prejudices in majority of small cities are the basis for actions and judgments. City planners should resolve these issues from a socio-cognitive point of view as they root in the social setting of a community. Sociology is based on codes of the real world and social living [3]. Life experiences are interrelated and widely interact with each other. Prejudices in city communities are one of sociological issues that are influenced by interaction of behaviors exerted by society members in attempts to fulfill their basic needs and personal objectives. Members of society are all interested in having easy and rapid access to available services. They may even compete with each other for those services. These social actions and reactions are evident in locating interacity bus terminals as it is considered a service location. Considering that proximity and accessibility are required for social integration [15], social groups enter into competition with each other to have proximity and accessibility to services in order to fulfill their needs and expectations. Therefore, the group that exerts more power can expect to enjoy more services. City management normally attempts to harmonize system with the interaction of various making components of city establishment in an attempt to fulfill its objective to provide better services to the community [6]. However, what they should do initially is to harmonize the element first and next work on the subelements. In other words, they should initially unite city population and next work on other elements (proximity and accessibility). An important issue to be considered in locating an intra city bus terminal is the physical expansion of city. This issue can be linked to the first one because any city community that can command more services, which should bring about greater employment opportunities, should expect faster development compared to other communities. City management policies also have a determining role in the decision making. Two other important factors influence physical expansion of a city. One is the development potential of a community which comes from its ecological conditions, outlook, culture, and the like. These factors can consolidate city development in a certain community. The other factor is development accelerators, which could be social, economical, and political. Development accelerators could be so powerful that would drive community potential. Intra city bus terminals are types of city services that could act as development accelerators. Wherever intra city bus terminals are located, those communities could experience economic expansion. This reason together with WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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air pollution caused by intra city bus terminals forces city planners to propose a location that would not stand in the way of city expansion. Considering all these issues, we now discuss an approach for locating intra city bus terminals.

2 Theoretical aspects 2.1 Site search Site search is a step towards fulfilling the needs of those who would benefit from using the site for its intended purposes. Criteria used for site search fall into supply and demand groupings [8]. Site search means informed and volitional intervention in relationships among people, activities and spaces with the intention to create harmony [4]. The intended objective for the site search usually has the highest influence on nominating locations for facilities [1]. In methods used for site search, such as pmedian and p-center, the location is selected in such a way that the distance and the time required to have access to the facilities are minimized [18]. The dynamic nature of demand for using facilities over time is another consideration for site search. Based on the space requirements and demand for using given facilities, both of which change continuously, several locations are unusually nominated with the consideration given to the date set out for commencement [17]. Scholars believe that the ultimate criterion for site selection is cost. Therefore, cost is used as the base for selection of the best location out of all nominated for the intended purpose [9]. It is possible to emphasize that aerial proximity has special bearing in site search with the location type and all other pertaining conditions to come next. This can become a source of quarrel between city communities, especially in small cities. An important characteristic feature of a dynamic and sound economy is the way it distributes its resources and development benefits among a majority of the population [14]. Space planners should resort to site search techniques in order to help achieving this objective, a practice that is not currently exercised. 2.2 Population density According to Köln’s law, electric charge always distribute over external surface of an electrified metal objects. The surface density of an object is the electric charge per unit area of the object. If there is surface density, then, it can be calculated from the equation, where q is electric charge and A is the surface area [16].



q a

(1)

If sigma is population density, A is surface area, and q is number of people in the area, population density can be calculated by the same formula. Halderen has used the inverse equation in calculation of awkward city growth. In Halderen WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

482 The Sustainable World model, net per capita is equal to surface area divided by the number of population [5]. In this paper, we use population density to study communities. The purpose of using this model is to calculate aerial proximity of bus terminal to every individual person living in the city. Every person living in the city has the same weight in this calculation. 2.3 Fuzzy logic This theorem was introduced for conditions of uncertainty by Professor Asgar Lotify Zadeh, at Berkley University [11]. This theorem can mathematically order many inexact concepts, variables, and systems to provide a base for analysis, control and decision making in uncertainties [12]. Study Chart: Site Selection for Intra City Bus Terminal

City Expansion

Community Prejudices

Fuzzy Logic

Selection of Best Location Based on The Two Factors

- Exploring City Communities - Population Density Calculation - Buffering Based on Population Density (1) Community Prejudices

- Using Common Intersection Function (2) - Selecting Best Location in Terms of Proximity - Selecting Best Location in Terms of Aerial Proximity and community Prejudices

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- Determining City Development Potentials - Determining City Development Accelerators City Expansion

- Input from City Officials - Determining City Expansion Course - Selecting Best Location from City Expansion viewpoint

Fuzzy logic can be applied to various sciences by following the steps discussed below [13]. A. Fuzzification: defining fuzzy sets for input and output variables B. Inference: developing fuzzy rules to include ifs and buts as well as the research criteria C. Difuzzification: assigning numerical values to data by using different approaches Applying these steps to GIS is given as an example. We first create district map for vector layers. Then, we reclassify the resulting map. Next, we assign numerical values zero and one, or fractions between zero and one to ifs and buts. In the final step, we use suitable function and select a location for the project [10].

3 Basic information about the city used for case study Tasuj is a city in Shabestar township of West Azerbaijan Province in Iran. It is also the center of Anzab District. Tasuj had a population of 7332 persons and was rated as 29th city of West Azerbaijan Province and forth city in Shabestar township according to the latest census taken in 2006. Tasuj is located 21 kilometers west of Shabestar center, 87 kilometers west of Tabriz, and 721 kilometers from Tehran. Tasuj is located at 38:19 degrees

Figure 1:

Tasuj City Communities.

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484 The Sustainable World latitude and 45:21 degrees longitude [7].The city has three large communities according to our survey. One is Dyzej Sheikh Marjan Community, which was a village earlier and became a part of the city when city expanded. The other two communities are the Central Community and Jamalou Community.

4

Site selection

The population density for these three communities are calculated and stated in Table 1 based on the area and population of each community. Considering that proposed population densities are for community alliance and solving neighborly problems, we substitute every two densities for buffering. After careful analysis of population densities, the best area from a neighborly point of view of all communities was determined and is marked by hatched lines in figure 2. As buffering is made with the objective to reach aerial proximity, therefore, every two population densities should be interchanged. Table 1:

Characteristics of community.

Community Name

Jamalou

Central

Dyzej Sheikh Marjan

Population (person)

1331

3000

3000

Area (square meters)

346509

1227036

1518230

Population Density

0.0038

0.0024

0.0019

Source: Tasuj Municipality.

Figure 2:

Approach for determining the best location from the viewpoints of proximity to all communities and solidifying community alliance.

Thus, every two communities are compared in calculations based on their population densities. The intersection area between two communities is selected. Finally, we do buffering for the two resulting sets and select their common area as the best location. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Comfort, convenience, and easy access to services are factors that face prejudice in small cities and, therefore, are considered without planning or careful site location. The course of city expansion is determined in above maps by looking at accelerating factors such as road constructions, city service provision, gas stations, and residential buildings. This was in agreement with what city officials had determined for the course of city expansions. The development potentials such as ecological and environmental conditions also fell within the course of city expansion in the area.

Figure 3:

Determining city expansion course and selecting the best location from the viewpoint of city development.

An area was finally selected for construction of intra city bus terminal, which was not in the way of city expansion. Hatched lines on the maps mark this area. Two locations in the area are selected for the bus terminal. The final location to be selected from the nominated areas should not be in the way of city expansion and should have close proximity to all city communities. We use fuzzy logic in the selection of the best location. We performed dataset combination after assigning values to the district areas. We first draw boundary maps for vector layers. We then fuzzyfied resulting polygons and selected the best location by assigning density to each layer. Both criteria had the same weight in this study. Fuzzy weights applied in the second step of graph no 4 are stated in table 2. Table 2:

Weighing index assigned to each criteria.

No

Type

Weigh

1

Best Area for City Expansion

1

2

Local Prejudice

1

Zero Outer Area Outer Area

Between Zero and One Center-Outside Border line Center-Outside Border line

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One Center of best location Center of best location

486 The Sustainable World

5 Conclusions Based on the final map, which was drawn by adding fuzzy values of different points, a location with highest fuzzy value was proposed as a suitable site for construction of intra city bus terminal in Tasuj. Population make up of Tasuj is such that local prejudices for establishing service centers are highest. Furthermore, every community competes with others for closer proximity to service center. Dyzej Sheikh Marjan community, which was a village in the past and later became a part of City, has become a source of deep social conflict for other communities. Step1 ‫ه‬

Fuzzy 1

‫ت‬

‫ا‬

Step2

‫ان‬

Fuzzy 2

Step3-(weighted sum and combined datasets)

Figure 4:

Steps in applying fuzzy logic to weighted indicators.

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Population density was proposed in this paper as an approach for preventing division among city communities. This approach is a suitable way for site selection of city service center including intra-city bus terminals in small cities. Many factors should be considered for selection of intra-city bus terminal. Social unification and course of skeletal expansion in the city were discussed in this paper. As social prejudice and availability of services result in community development, the course of city development is an indication of availability of better services in the same domain. Services are development accelerator. Ecological and natural environment are development potential. Determining the course of city expansion and its opposite course in Tasuj was proposed as criteria for selecting the best location for intracity bus terminal. With the help of GIS software and by using fuzzy approach, a suitable location can be selected by combining the best two available locations. The final objective of this paper was to propose an approach for appropriate site selection for general service provision, while preventing community division, which happens more often in small cities, creating social alliance and controlling skeletal expansion in city.

References [1] Afandizadeh, S., Afyoonian, M.R., & Jalal Barsari, A., Site Location for New Intra City Bus Terminals with the Objective to Reduce Access Time for Users, Comprehensive Traffic and Transport Studies in Tehran, 2007. [2] Poor Mohammadi, M.R., City Land Usage Planning, Samt Publishing, 4th Edition, p. 105, 2008. [3] Torab, A. A., Philosophy of Sciences. Chehr Publishing, p. 193, 1969. [4] Habibi, S. H., Proceedings of conference on administration of sparse rural areas, Islamic Revolution Housing Foundation: Tehran, p. 19, 1997. [5] Hekmat Nia, H. & Moosavi, M. N., Application of Modeling in Geography with Emphasis on City and Regional Planning. Elm Novin Publishing: 1St Edition, p. 131, 2007. [6] Razavian, M. T., City Civil Management. Paivand Noe Publishing, 1St Ed., p. 21, 2003. [7] Office of Planning and Administration, East Azerbaijan Province, 2007. [8] Sadi Mesgari, M. & Mehdi Pour, F., Sit Search for University Dormitories using GIS. 2007. [9] Saeedian Tabasi, M. & Ahmadi Azar, K., Application of GIS in Parking Management and Site Search, 2006. [10] Sanjari, S., ARC GIS9.2. Abed Publishing, 3rd Edition, p. 220, 2008. [11] Farhoodi, R. & Habibi, K., Site Search for City Land Fill Using Fuzzy Logic in GIS Environment (Case Study of Sanandaj), Journal of Fine Arts, No. 23, p. 16, 2006.

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488 The Sustainable World [12] Koohsari, M. J. & Habibi, K., Combining AHP Model and IO Logic in GIS Enviroment for Site Search for New City Amenties (Case Study: Site Search for a new Cemetery in Sanadaj), 2007. [13] Mokhtari, M. & Mary, M., Applications of SIMULINK and MATLAB in Engineering. Translated by Samadi Bokharaiee, V., Khorasan Publishing, 1st Edition, p. 103, 2002. [14] Mahdavi, M. & Karim Zadeh, H., Planimetry in Central District of Varzaghan Township for Locating Suitable Sites for Centers Providing Services to Rural Area Using GIS, Journal of Geographical Research, No. 55, p. 227, 2007. [15] Mazini, M., City and Civil Engineering Papers. Tehran University Publishing, p. 94, 2007. [16] Haliday, D., Reznik, R. & Walker, J., Electricity and Magnetic, Fundamentals of Physics. Translated by Golestanian, N. & Bahar, M., Mobtakeran Publishing, 3rd Edition, 2006. [17] William A., A Facility Location Model Trading off Maximal Covering Objectives in a Clanging Network. Department of Systems and Information Engineering, 2006. [18] Hongzhong J., A modeling Framework for Facility Location of Medical Services for Large Scale Emergencies. Epstein Department of Industrial and System Engineering, Unviersity of Southern California, 2005.

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About the characterization of urban public transport networks and their terminals Ş. Raicu, V. Dragu, Ş. Burciu & C. Ştefănică Department of Transport, Traffic and Logistics, University “Politehnica” of Bucharest, Romania

Abstract The underground network, like a high capacity infrastructure network, which is part of the public urban transport networks, plays a major role in any strategy of increasing public transportation attractiveness. The upcoming development of the Bucharest underground network stimulated the present research. We tried to emphasize the attractiveness of the designed network in relation to the existing one. In a comparative approach, on a system/network level, the essential properties of the network have been studied: ubiquity, connexity, connectivity, homogeneity/isotropy, vulnerability and the different rank of the nodes (generalized accessibility, Shimbel accessibility and nodal accessibility). Mostly because of the way ubiquity, vulnerability and isotropy studies have been conducted, original theoretical aspects could be revealed. The study’s conclusions are useful to fundament network development solutions and also to increase collaborative aspects of the services offered to passengers and to establish priorities in maintenance activity. Keywords: underground network, ubiquity, vulnerability, accessibility, isotropy.

1 Introduction Designing and realizing transport infrastructure networks, like any other technical infrastructure of society, must obey a land use principle according to the social–economical needs of the society. The network, no matter the flows residing on it, must be considered a consequence of a land use planning requirement that establishes a connection between technical capabilities and territory service [5, 9, 11].

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490 The Sustainable World The Bucharest underground network, which recently celebrated the 30th anniversary of the first line (16th November 1979), has a particular history. The project and the construction itself (including gears and transport vehicles) carry the landmark of the isolation of our country in that period. That is why decisions regarding the structure and the priorities in achieving the lines were almost exclusively technical. Correlation with major passenger flows was not a determinant argument for the underground network configuration (fig.1). Even the link with the central railway station was not a priority, being realized later, as well as the flows with origins in high-density residential areas or the links with Aurel Vlaicu or Henri Coanda airports not being priorities for the underground network development [10]. The lack of correlation of people’s major mobility needs is obvious even in the way stations have been located (distances between them of almost 1.5 km, reducing attraction). Although other stations were later built, the lack of correlation between technical achievement and people’s need for mobility still persists. The growth of the new residential areas and commercial centres intensified the discrepancies between mobility demand and underground network offer. The highly congested road network of Bucharest and the metropolitan area imposed underground network development. So, by 2030, it would have the configuration from figure 2, and the synthetic characteristics from table 1.

Figure 1:

Underground network (present situation).

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Table 1: Network

491

Underground network characteristics.

Length

No. of

No. of

No. of

Density

No. of

[km]

nodes

links

stations

[km/km2]

lines

Existing

66,95

12

13

55

0,29

4

Projected

106,75

24

30

103

0,46

6

Figure 2:

Underground network (with 2030 extensions).

2 Properties of the networks 2.1 Ubiquity The ubiquity is the network’s property of being accessible in more points in the same time/for a certain period. The degree of ubiquity reflects the spatial covering of the network. Underground network ubiquity, like for the others networks of terrestrial transportation, is strictly determined by stations’ locations. In the simplest approach, that of a continuous space, it is obvious that increasing the degree of ubiquity for the network by increasing stations density (by decreasing the distance between the stations) has a direct consequence on decreasing passengers average travel speed on the entire network. The main WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

492 The Sustainable World reason for limiting the number of stations for the underground network (excepting the aspects concerning the total investment costs) is the loss of efficacy induced by stops, stationing times and frequent start ups. Under these aspects, smooth disparities can be noticed between the present underground network and the one arising from the projected developments. So, while the existing network has an average distance between the stations, d = 1.40 km, with a dispersion σ2 = 0.19 km2, the projected network for 2030 will have d1 = 1.15 km, with a dispersion σ12 = 0.20 km2. The average ubiquity of the network, u , in the above-mentioned hypothesis of a continuous space, can be defined as ratio between the number of stations, n and the total length of the network,  L r : n 1 , or u  , (1) u d  Lr expressed in number of stations for network’s length unit (for example, km). The average value u ubiquity dispersion is: 2

d  (2)    1 . 2  nd  di  For the existing network u = 0.71 stations/km and  2u = 0.10 while for the 2u 

1

developed network of 2030 u1 = 0.87 and  2u1 = 0.18. Comparing the values of ubiquities and their dispersions in the two hypotheses (existing network and the developed/extended one) the following conclusions can be drawn: - the expected underground network development would bring an ubiquity increase and so a better served area, - the significant values of ubiquity dispersion (and also for the distances between the stations) reflect the structural specificity of the area, - the developed network is more adapted to the specificity of the served urban area (  2u1 >  2u ). 2.2 Connexity Connexity is the network’s property of assuring connexions among the considered points/areas. It is obvious, by the representation of the planar graph associated with the network (only with the points/areas connected on the network), that connexity is assured. However, under these circumstances, infrastructure connexity must be extended to the service connexity for the main lines/routes of the underground network. From this point of view, if admitting that in all the junction points of the main underground lines there is the possibility of passing from one main line to another (even by passengers’ travel from one platform to another, on the same level or from one station to another one situated on different levels), we can WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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conclude that the network is connex (figure 2) both in the present and 2030 perspective. 2.3 Connectivity The multiplicity of the connexions within a network represents connectivity. On a connective network, the possibility of choosing an itinerary between two nodes appears by comparing some alternatives. As commonly the transport infrastructure networks do not have maximal connectivity (corresponding to a complete graph in which any node has direct connexion with all the other nodes) different indexes are used to reflect the network connectivity level. Among these, [6] for the actual case study we have used α and γ indexes. The α index is defined as ratio between the number of independent circuits of the graph associated to the network and the maximum possible number of independent circuits of the graph with the same number of nodes. The number of independent circuits in a graph is given by the cyclomatic number of the graph: μ = A – N + G, (3) where A is the number of links, N – number of nodes, G – number of connected components, and the maximum number of circuits of the planar graph is 2N – 3, so:   (4) 2N  5 For the existing network α = 0.015 and for the extended one α1 = 0.022. The γ index is determined as ration between the number of links of the graph associated to the network and the maximum number of links of the graph with the same number of nodes. So, for the planar graph: A  (5) 3( N  2) The existing network has a γ index of 0.166 while the extended one of 2030 has a γ1 of 0.1. 2.4 Vulnerability

Low values of connectivity both for the existing network and for the extended one can be notice (reflected by α and γ indexes), meaning that the network (with almost a tree structure) is more vulnerable to losing the functionality of one or more links between the nodes than a complex network (following accidents or hyper congestion) [1–4, 8, 12]. For many of the links associated to the network’s graph the lack of functionality might even mean losing connexity. These links (connecting marginal nodes and also the links 1-7, 7-15 and 10-11) are critical to network functioning.

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494 The Sustainable World To the other links of the network a different vulnerability index can be credited in correlation with the consequences of prolonging the travel time necessary to assure all the connexions within the network while, successively, one link loses functionality. The total length of the shortest paths between the nodes of the network (table 1) in case of all links functioning is  L  5978.9 km and in case of links successively losing functionality (figure 2) the sum of the shortest paths among the nodes of the network is  L d presented in table 2. The ε ratio gives a measure of the vulnerability of the network’s links in relation to the considered criterion. The links of the network are differentiated by ε values that could become scale marks for a hierarchy of the links’ importance in relation to network vulnerability. Bigger values of ε signify links with high vulnerability (except the ones defined critical to the network as the loss of their functionality would bring network connexity loss too). Table 2:

Figure 3:

The shortest path among the nodes of the underground network.

Simplified representation of the links of the underground network (the case of links losing functionality).

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Table 3:

ε [%]

495

Sum of the shortest links among the nodes in the hypothesis of losing the functionality.

5 4.5 4 3.5 3 2.5 2 1.5 1 0.5

15 _1 2

19 _1 7

10 _2 2

20 _2 2

15 _1 7

9_ 10 24 _9 12 _2 0

19 _1 2

9_ 19 19 _2 2

19 _2 0

7_ 8 17 _2 4

0

Link with functionality loss

Figure 4:

Vulnerability of links with functionality loss.

The results present links 15-12, 19-17, 10-22, 20-22 and 15-17 as being the most vulnerable on the whole network. 2.5 Homogeneity and isotropy

These aspects are network properties that, in the strict way of definition [5], are idyllic, untouchable for any of the networks designed for material flow transfers. In a wider approach, topological/geometrical/technical/functional characteristics of the network can be identified, that would allow the use of attributes like homogeneity/no homogeneity or isotropy/anisotropy for a transport network. The previous references regarding ubiquity and vulnerability of the present and extended underground network revealed no homogeneity under the aspect of distances between stations and importance of the different links in assuring space-time correlations for the network. The links disparities from the vulnerability point of view can be interpreted as anisotropy, as they reveal the fact that not all the network’s links are equivalent under the aspect of the relations assured among the network’s elements. Actually, like properties of the networks, homogeneity and isotropy must be correlated to the relations assured among the elements of the network and not to irrelevant characteristics about WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

496 The Sustainable World those functioning links that the network assures for the use of the territory system. That is way the homogeneity of the underground network, under the aspect of the technical characteristics of infrastructure, transport means, technologies and even tariffs, is not presented as it is not relevant for network’s homogeneity and isotropy from the functions to be assured point of view. Relevant to the global characterization of the space-time correlations assured by the underground network we have considered to be the average transfer speed, v i [7, 9], from each i node to all the others, j (j  i),  d ij j vi  (5)  t ij j

where dij is the distance from node i to all the others, j, tij – travel time from node i to node j (including passengers’ changing the line time in underground junction stations). The izoaccessibility chart from figure 5, drawn after grouping the v i values of the extended network of 2030, shows no homogeneity and anisotropy of the network.

Figure 5:

Izoaccessibility (for v i values).

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Table 4:

497

Shimbel accessibility and generalized accessibility indexes.

2.6 Generalized accessibility

As a measure of the relative importance of the nodes given by network’s topology, the generalized accessibility [5, 7, 9], together with the other quantitative measures of network properties, completes the study’s network characterization. Starting from the direct accessibility matrix, M, for the existing network, M2, M3, …, Mp and nodal vectors, direct accessibility vectors N1 and Ni, for i  1,5 were determined (p = 5, network’s diameter). Adding them (Ni) gave us the generalized accessibility vector Ng (table 4) and ng values, obtained by dividing Ng to Ngmax = 420, for the existing and the extended network. Both for the existing and for the projected network one can see that the hierarchy of the nodes within the network is clearer as the nodal vector has a higher rank. The expected changes in network’s configuration modify nodes’ hierarchy. If in the present situation 9 and 12 nodes hold the best positions, in the future network they would be gained by 17 and 19 nodes. 2.7 Shimbel accessibility

Unlike generalized accessibility, the Shimbel accessibility takes into account only the direct links between the nodes [5, 7, 9]. Redundant links with repeated returns at origin and/or destination node are eliminated. Shimbel accessibility vector (signifying the number of sequences – links involved in the connexion from that node to all the other nodes of the graph) emphasizes the dominant positions of the nodes 9, 10 and 12 for the present situation and nodes 17 and 19 for the projected network (table 4). 2.8 Nodal accessibility

The generalized and Shimbel accessibility took into account only network’s topology while the nodal accessibility [5, 7, 9] differentiate network’s nodes from the point of view of length, travel time and transfer cost for all the links between nodes’ graph associated to the network (the links of the graph have geometrical and technical-functional characteristics associated, which integrates infrastructure aspects and technology performances of the network). Both for the existing and the projected network, the nodal accessibility, determined in relation to the transfer time between the nodes, led to the nodal accessibility vectors from table 5.

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498 The Sustainable World Table 5:

Nodal accessibility vectors.

On the existing network nodes 12 (as a pole), 10 and 11 hold a dominant position, with close values and on the projected one nodes 15 (as a pole), 7, 9, 12 and 22 hold those positions. The upcoming underground network development outlines, by the dominant positions, the nodes situated in the central network area, in concordance to city’s sights location (offices, high schools, universities, cultural sights, banks, etc.).

3 Conclusions The structural changes of transport networks’ infrastructure, following extension/reduction actions cannot be examined by the number of the links and/or nodes involved. They must be fit for the whole network needing strict evaluations of the attributes associated to their properties. The changes in any and all of the properties (connexity, connectivity, ubiquity, isotropy/ homogeneity, nodality) are the ones affecting network’s functions of assuring territory need for mobility. The comparative evaluation of Bucharest underground network for the present and future situation, using network properties, brought up complex aspects that are useful to the authorities in the field, in order to establish future directions of network extensions necessary to ameliorate its role and transport services within and to increase public urban transport attractiveness. We must notice the fact that the results of the study are not only based on the static examinations of the network for which the topological and geometrical characteristics are determinant. We also took into account the dynamic processes – consequences of service planning (lines/routes existing and projected, headways between the vehicles and passengers’ transfer time in line junction points). That is why the study is useful to fundament tactic decisions of route choosing on a certain network configuration in relation to major passenger flows dynamics. Without repeating the conclusions of the comparative calculations for the two networks in relation to every studied property and correlations within, we only emphasize the original manner of considering properties like ubiquity, vulnerability and isotropy.

References [1] Bell, M.G.H., A game theory approach to measuring the performance reliability of transport networks, Transportation Research, vol. 34B, pp. 533-545, 2000. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[2] Bell, M.G.H. and Y. Iida, Network reliability. Transportation network analysis, John Wiley & Sons, pp. 179-192, 1997. [3] Berdica, K., An introduction to road vulnerability: what has been done, is done and should be done, Transport policy, 9(2), pp. 117-127, 2002. [4] Chen, A., H. Yang, H.K. Lo, W. H. Tang, A capacity related reliability for transportation networks, Journal of Advanced Transportation, vol. 33(2), pp. 183-200, 1999. [5] Dupuy, G., Systemes, reseaux et territories: principe de reseautique territorial, Presses de l’ENCP, 1985. [6] Kansky, Structure of Transportation Networks: Relationships between Network Geometry and Regional Characteristics, Chicago University Press, 1963. [7] Mackiewicz, A., Ratajczak, W., Towards a new definition of topological accesibility, Transportation Research, 30B/ 1, 1996, pp. 47-79. [8] Raicu, S. et al. Researches about transport network reliability, PNCDI Grant, Education and Research Ministry, 2004. [9] Raicu, Ş., Sisteme de transport, Ed. AGIR, Bucureşti, 2007. [10] Raicu, S. et al. Solutions for the attractivity increasing of the urban public transportation. Case study: Bucharest city and its metropolitan area. (in Romanian: Soluţii pentru creşterea atractivităţii transportului public urban. Studiu de caz pentru Bucureşti şi aria metropolitană) research project, UPB, 2006. [11] Raicu, Ş. et al. About the high capacity public transport networks territory functions, Urban Transport XV – Urban Transport and the Environment, Editor C.A. Brebbia, WIT Press, pp. 41-51, 2009. [12] Taylor, M.A.P., D’Este, G.M., Critical infrastructure and transport network vulnerability, The Second International Symposium on Transportation Network Reliability (INSTR), New Zealand, pp. 96-103, 2004.

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Prioritization of national road projects in Saudi Arabia: weighting of multiple criteria R. Abbyad1 & I. Kaysi2 1

SETS sarl Transportation Consultants, Beirut, Lebanon Department of Civil and Environmental Engineering, American University of Beirut, Lebanon

2

Abstract The Ministry of Transport of the Kingdom of Saudi Arabia is in the process of developing a methodology for the prioritization of proposed primary and secondary road projects in the Kingdom. This process was carried out using a multi-criteria analysis model. The model, called the Saudi Road Prioritization model (SaRoP model), consists of a linear additive model where the overall performance of a proposed road project is measured by the sum of its weighted performance on a set of criteria. With such a model, a low performance of the project on one criterion may be offset by a high performance on another. The degree of compensation between the criteria is determined by the relative weights. These weights are derived using the Analytic Hierarchy Process (AHP) developed by Saaty. Ministry experts and KSA academics, as well as international consultants, were asked to fill out a questionnaire, which consists of providing their pair-wise comparisons of all criteria within a certain level of the hierarchy. The results indicated the importance that decision-makers and experts place on socio-economic development and the improvement of the transportation network over other criteria. In order to reach these results the data was organized according to consistency and homogeneity and a set of weights was derived by checking the results from several different computational models. This paper describes the research and weighting methodology of the decision-making model. It is concluded that AHP is a useful and efficient tool for organizing priorities and aggregating decisions. Keywords: analytic hierarchy process, multi-criteria analysis, linear additive model, consistency ratio, aggregation of individual preferences, aggregation of individual judgements, vector space AHP, singular value decomposition AHP. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100461

502 The Sustainable World

1 Introduction This paper describes the research and application of the weighting methodology used in the Saudi Road Prioritization model (SaRoP model). The aim of the SaRoP model is to use a hierarchy of criteria in order to pursue the goal of prioritizing alternatives of primary and secondary road projects in the Kingdom of Saudi Arabia (KSA). The top level of the hierarchy includes the broadest criteria to be taken into consideration. These are macro-criteria that reflect the government’s development goals. For instance, socio-economic development is seen as a key criterion, which contains sub-criteria, such as the extent to which the road projects serve the population, existing economic activities, planned economic development initiatives, etc. Within this primary level are additional subdivisions that describe in more detail certain aspects of the previous level. For example, existing economic activities can be subdivided into categories, such as agriculture, tourism, etc. The hierarchy created facilitates decision making by comparison of criteria. The hierarchy is presented in table 1. During a workshop in 2009, Ministry of Transport (MoT) directors and engineers involved in SaRoP (as well as from other divisions within the MoT) were asked to fill out a questionnaire which consisted of providing their pairwise comparisons of all criteria within a certain level of the hierarchy (top, primary, or secondary). The comparisons were made when each decision maker (DM) marked the intensity of their preference for one criterion over another (less important, same, more important, etc). After the data was collected, the Analytic Hierarchy Process (AHP) was used to derive a set of numerical weights which represent the criteria’s relative weights within the hierarchy. Once the weight set was calculated for each DM, an aggregation procedure was chosen in order to develop the entire group’s judgments. During the application of the AHP, a method for dealing with inconsistent preferences was employed. Several other computational models were used to verify the results of Saaty’s eigenvector method. Section 2 provides an overview of AHP as proposed by Saaty, and discusses in particular the process of consistency checking and the possible methods for aggregating individual preferences and judgments. Section 3 describes the application of AHP to the SaRoP model including the manner in which data was purged to address consistency constraints and the aggregation approaches that were considered. Finally, section 4 provides some concluding remarks.

2 Saaty’s AHP In the preliminary analysis of an appropriate prioritization framework, Saaty’s AHP was chosen over other weighting methods because it is systematic, easy to implement, and transparent. It also facilitates the development of a timescale for the implementation of said road projects. Other methods considered were the swing weighting method and trade-off method. The trade-off method is not very transparent, can lead to inconsistencies, and is difficult to implement, whereas

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Table 1: Top level

503

SaRoP hierarchy.

Primary level

Secondary level Traffic demand (A1-1) LOS without the project (A1-2)

Traffic demand and supply (A1) Additional capacity (A1-3) Freight traffic (A1-4) Transport network (A)

Multi-modal connectivity (A21) Connectivity (A2)

Connectivity within national road network (A2-2) International connectivity (A23)

Population (B1) Manufacturing (B2-1) Socio-economic development (B)

Support for existing economic activities (B2)

Agriculture (B2-2) Tourism (B2-3) Other services (B2-4) Mining (B2-5) Manufacturing (B3-1) Agriculture (B3-2)

Support for economic development initiatives (B3)

Tourism (B3-3) Economic cities (B3-4) Mining (B3-5)

Support for urban development strategy (B4)

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504 The Sustainable World Table 1:

Continued.

Time savings (C1) Economic feasibility (C)

Savings in VOC (C2) Cost/km driven (C3) Hajj traffic volume (D1) LOS during Hajj (D2)

Hajj and Umrah (D) Umrah traffic volume (D3) LOS during Umrah (D4) National security (E1) Safety (E2) Other (E)

Environment (E3) Political commitment (E4)

Table 2:

Saaty’s comparison scale.

Intensity of Importance

Description

1

Equally important

3

Moderately more important

5

Strongly more important

7

Very strongly more important

9

Extremely or overwhelmingly more important

the swing method is not flexible to new options. Within AHP itself, two theoretical aspects can be implemented: a metric that expresses the reliability of the derived weights in an objective way, and an appropriate procedure for aggregating the data from individual DMs. 2.1 Consistency of pair-wise comparisons and derivation of weights Table 2 provides the 1-9 scale Saaty [1] proposes for judging the relative importance of two criteria. This scale is based on two factors: 1) the way the mind responds to stimuli; 2) the division of qualitative distinctions into nine intensities. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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After DMs complete the questionnaire, all pairs of criteria within a given branch of the hierarchy have been judged. These judgements should be consistent: if criterion A is 3 times more important than criterion B, and criterion C is 3 times more important than criterion B, then C is 3x3=9 times more important than A. In addition, if A is 9 times more important than B, then this is equivalent to saying B is 1/9 as important as A. Thus, not only must judgments be transitive, they should also lie within the 1-9 scale and be proportional. This implies that the criteria in the hierarchy being compared must belong to this magnitude scale. In other words, two elements in the hierarchy must not be compared to one another if one is more than nine times important than the other. A metric for checking the consistency of the preference data and the relative weights of the criteria in the hierarchy can be derived by considering each branch of the hierarchy as a matrix of preference values. If the consistency condition holds then there exists a unique vector of weights for the criteria. 2.1.1 Pair-wise comparison matrices (PCMs) The metric for consistency and the relative weights of the criteria can be derived by organizing the pair-wise comparisons in the form of a matrix as given by Saaty [1]:  .

 

(1)

Here n is the number of criteria being compared and is the magnitude from the Saaty scale comparing the importance of criterion i to criterion j. Note that:    . (2) In addition, the consistency condition can be stated as: .

(3)

2.1.2 The ratio scale The ratio scale is best described by using an example. Suppose one wishes to , represent the weights of compare the weights of three objects. Let , objects A, B, and C. Then the ratio is unit-less. Suppose that all such ratios are known. Let,   

   

1

.

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(4)

506 The Sustainable World Thus, is also unit-less and represents the proportion of to the total weight , ,   represents a unique quantity, whereas of the group. The vector , , is not unique since the magnitudes are unknown. Therefore, if all ratios are known a weight set can be derived expressing objects’ relative importance. Note that is unique up to a constant multiple. 2.1.3 The eigenvector/ eigenvalue formulation of the problem Saaty [1] proved that the consistency condition for a PCM is equivalent to its being expressible in the following form:

  Furthermore

.

(5)

is consistent if and only if:

(6) , ,…, . where Moreover, is consistent if and only if the maximum eigenvalue is n and all other eigenvalues are equal to 0 (note that has rank equal to one). Any (PCM) can then be derived from a consistent matrix by perturbing its elements by an appropriate quantity. It is known that small perturbations in lead to small perturbations in the eigenvalue (Saaty [1]). With that result, the nearer the eigenvalue to n, the more consistent the matrix, the more accurate the resulting weight set , which is derived from . Thus, the maximum eigenvalue and corresponding eigenvector completely classify the problem of measuring inconsistency and forming a unique quantity that measures the relative weights of a set of criteria. If the maximum eigenvalue differs greatly from the number of criteria n, the derived weights must be discarded as inaccurate. 2.1.3.1 Consistency ratio (the AHP metric) The maximum eigenvalue of any , serves as a metric for measuring consistency. It has been shown PCM, that, ³ n. Consider the equation: (7) where is an average value taken from randomly generated PCM’s of size n, then the CR will be a metric for the inconsistency of the PCM. Saaty [2] has suggested that 10% randomness (CR= 0.10), or at most 20% is acceptable. 2.1.3.2 The derived ratio scale Once acceptable consistency has been achieved, the eigenvector corresponds to a nearly consistent matrix. Each component of this over the sum of all components of results in a meaningful weight set . Furthermore, the components of sum to one (see eqn (4)).

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2.2 Aggregation method Two aggregation methods are discussed in this section: aggregation of individual preferences (AIP) and aggregation of individual judgments (AIJ). Each method produces an aggregate set of weights for the entire group of DMs from the individual weights derived from each PCM. Regardless of the aggregation method, all averages are taken using the geometric mean at Saaty’s [3] suggestion. The geometric mean is the only mean that satisfies all of the social choice axioms (decisiveness, unanimity, independence of irrelevant alternatives, no dictator). The next step is to describe AIP and AIJ in order to determine which one is more appropriate for the SaRoP model. 2.2.1.1 AIP method This method uses the pair-wise comparisons provided by all DMs which, after averaging, are entered into a single PCM. A single calculation of the eigenvector of this composite matrix produces the group weight set. However, such an aggregation is precarious since it ignores individual consistency ratios. Suppose, for instance, as is often the case with the data collected for the SaRoP model, that an individual has a weight set for a set of criteria which is extreme when compared to others. If this individual has a high enough consistency ratio, say his PCM is 50% random, far greater than the 10% allowed by Saaty, then his judgments are still given equal weight in calculation and affect the components of the eigenvector. Yet, when combined with a matrix of near perfect consistency the CR of the aggregate PCM can be quite low. The following example illustrates the shortcomings of this procedure. Consider two DMs and their PCMs comparing three criteria: 1 3 1 1 CR=.03 1 5 1

1 7 7 1 9 CR=.48 1

Only the weight set of A is valid. The weight set of A, weight set using AIP, are: . 41, .11, .48

, and the aggregate

. 64, .18, .18

Apparently, the values of the weight set and even rank of the weight set is changed quite drastically. Furthermore, the aggregate PCM has CR= 0.04, which is well within the proposed benchmark. 2.2.1 AIJ method In contrast to the AIP method, the AIJ method allows for the removal of inconsistent matrices before the aggregation procedure. The aggregate weight set , is computed by taking the component-wise average of all individual DMs’ weight sets which have acceptable CRs.

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508 The Sustainable World It can be demonstrated mathematically that the aggregate weights obtained by AIP and AIJ are exactly the same for the consistent case, but that they can change significantly in the inconsistent case and induce a distinct ranking of the criteria. Therefore, it appears AIJ is better suited for a heterogeneous group of decision-makers that have variable levels of consistency.

3 Application of AHP to the SaRoP model Though the application of AHP to the SaRoP model is straightforward, many of the PCMs that resulted from the questionnaires did not have an acceptable CR. This section of the paper describes how the CR problem was mitigated, the chosen aggregation procedure, and a validation of SaRoP’s initial results by crosschecking with similar models that differ in computational and theoretical structure. These techniques helped to develop a stronger and more reliable set of weights. 3.1 Initial results The far right column of Table 3 (see 3.2.1.1) shows the initial weight set to be used in SaRoP. The top five overall weights are: B1 – Population directly served by the proposed road project B4 – Consistency of road project with national urban strategy A1-2 – Deterioration of level of service in case road project is not implemented A1-1 – Expected volume of traffic (AADT) on road project if implemented B2-1 – Ability of road to serve existing manufacturing/industrial activities 3.2 The issue of inconsistency Ultimately, the reliability of the weights depends on how consistent the pair-wise comparisons are. If they are highly consistent, the weight set is accepted, if not, then care should be taken. The less consistent the data, the less the eigenvector reflects the true preferences of the DM. However, the integrity of the project also depends on a sufficient amount of data. For example, setting a CR benchmark of 0.10, leaves 44% valid data (70 out of 160 PCMs have CR below 0.10). On the other hand, a benchmark of 0.20 leaves 70% valid data (112 out of 160 PCMs). The issue is resolved by taking the 0.20 benchmark and noting any deviations in the weight set when additional data in the 0.10–0.20 range is removed on the basis of extremeness of judgments (purging of outlier data). 3.2.1 Purging data on the basis of extremeness of weights and CR It can be argued that the data which is most hazardous to the integrity of the SaRoP model is data which varies from the mean or median significantly and is inconsistent. Thus, the data which does not fall below the CR benchmark of 0.10 can be purged on this basis while keeping other data in the 0.10–0.20 range. This further limits the number of people contributing judgments and also serves as a comparative measure which reflects the stability of the 0.20 data set. If this purging influences the weight set enough so that the ranks of the criteria change, then these weights are sensitive to additional judgments. In other words, an WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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additional DM contributing his/her judgment could easily change the distribution of weights and ranking among them if all judgments falling below the 0.20 consistency benchmark are accepted. Finding the extreme weights can be done by the measure of cohesion introduced later in the vector space AHP model and one can check that this corresponds to the values of box plots of the weights for each criterion. Table 3:

TOP A B C D E

The effects of outlier removal on weights and their rankings. No Adjustment for Inconsistency 2 .28 1 .40 4 .10 3 .15 5 .07

A1 A2 B1 B2 B3 B4 C1 C2 C3 D1 D2 D3 D4 E1 E2 E3 E4

1 2 1 2 4 3 1 2 3 3 4 2 1 2 1 3 4

.77 .23 .34 .26 .16 .24 .47 .31 .23 .25 .18 .26 .31 .19 .61 .11 .08

A1-1 A1-2 A1-3 A1-4 A2-1 A2-2 A2-3 B2-1 B2-2 B2-3 B2-4 B2-5 B3-1 B3-2 B3-3 B3-4 B3-5

2 1 4 3 2 1 3 1 3 5 2 4 1 4 5 2 3

.29 .33 .17 .21 .29 .54 .17 .40 .15 .10 .22 .14 .32 .12 .10 .24 .21

.2 Benchmark 2 1 4 3 5

Outliers level 1

.26 2 .46 1 .10 4 .11 3 .06 5 PRIMARY 1 .77 1 2 .23 2 2 .27 2 1 .30 1 4 .20 4 3 .24 3 1 .43 1 3 .27 3 2 .30 2 1 .29 2 3 .22 3 4 .20 4 2 .30 1 2 .18 2 1 .62 1 3 .12 3 4 .09 4 SECONDARY 2 .30 2 1 .32 1 4 .18 4 3 .20 3 2 .22 2 1 .62 1 3 .16 3 1 .38 1 4 .12 4 5 .09 5 2 .26 2 3 .14 3 1 .32 1 4 .13 5 5 .12 4 3 .22 2 2 .22 3

Outliers level 2

SaRoP weights

.26 .46 .10 .11 .06

2 1 4 3 5

.26 .46 .09 .13 .06

.26 .46 .10 .12 .06

.77 .23 .27 .30 .20 .24 .43 .27 .30 .24 .24 .18 .34 .18 .62 .12 .09

1 2 2 1 4 3 1 3 2 2 3 4 1 2 1 3 4

.77 .23 .27 .30 .20 .24 .43 .27 .30 .25 .24 .14 .37 .18 .61 .13 .08

.77 .23 .27 .30 .20 .24 .43 .27 .30 .26 .23 .17 .34 .18 .62 .12 .08

.30 .32 .18 .20 .22 .62 .16 .41 .14 .08 .23 .15 .29 .11 .11 .25 .24

2 1 4 3 2 1 3 1 4 5 2 3 1 5 4 3 2

.30 .32 .18 .20 .22 .62 .16 .45 .13 .08 .19 .14 .30 .11 .13 .22 .25

.30 .32 .18 .20 .22 .62 .16 .41 .13 .08 .23 .15 .29 .10 .13 .22 .26

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510 The Sustainable World 3.2.1.1 Results of data purging Table 3 shows the weights resulting from each layer of outlier removal and the resulting rankings of their magnitudes. The column labelled “Outliers Level 1” represents the reduced data set after purging the most extreme DM or two (depending on the size of data set). The column labelled “Outliers Level 2” represents the reduced data set after purging the next one or two most extreme individuals. The data in shaded cells indicate a shift in rank after the removal of outliers from the 0.20 benchmark data set. Thus the results for the Top level matrix, which experiences no change in rank in all three data sets, are strong (low level of volatility). The A branch of the primary level exhibits the same characteristics. C is also unchanged in the three relevant data sets (remember the first data set is unacceptable). The same holds for B. The same is true for A1, A2, and B2 in the secondary level. The data in D exhibits weaker results for the 0.20 benchmark with the results that removing outliers changed the rankings of D1 and D4. This group exhibits the lowest level of homogeneity; its coherence is 53%. As data is removed, coherence improves to 63% which is still inadequate. The same phenomenon is observed with B3. Note that the major changes in magnitudes of the weights occur between the data which is uncorrected for consistency and the data obeying the 0.20 benchmark and not between the various layers of data purging. 3.3 Appropriate aggregation procedure (AIJ) Low levels of consistency among the DM’s, and the discussion in 2.3.2 lead to the choice of AIJ over AIP. Interesting to note is that when using AIP to aggregate, the resulting PCMs have a CR well below 0.10. 3.4 Model comparison A brief description of the alternative implementations of AHP is now given. All use PCMs, but the difference lies in the computation of the weight set. Within each model the stability of the data (sensitivity to removal of judgments) can be noted by the impact of data removal. All models are analyzed side by side to verify the results of the conventional AHP of Saaty. 3.4.1 The vector space formulation of AHP (VAHP) Saaty’s version of AHP rests on the intuitive model of ratios and weights. The weights are normalized so that they represent portions of a pie and their sum, sums to the area of the pie (which is equal to one). However, the same problem can be viewed from a geometric perspective (Zahir [4]). In the perfectly consistent case, the weights generated are identical. The more similar the weights the more stable the conventional AHP seems to small changes in consistency (as the eigenvectors between methods are not the same when the PCM’s are inconsistent). Further, a measure of ‘coherence’ in a group can be defined by using the scalar product of any two preference vectors to find their angle of separation and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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comparing this to the maximum angle of separation. This measure of coherence produces results that are verified by box plots and represents the homogeneity of the group. An analysis of box plots verifies the correlation between VAHP and the conventional AHP. 3.4.1.1 Results within VAHP Zahir [4] proposes that the individual weight vectors be aggregated by vector summation followed by normalization in the Euclidean norm. However, during the data purging this method resulted in more variation in the weights. In addition to changing the ranks of criteria in B3 and D, it also altered the ranks of B2. Therefore, the conventional aggregation method of AHP which uses the geometric mean was used instead. The result is that only B3 changed in rank. 3.4.2 The singular value decomposition (SVD) approach This method as explained by Gass and Rapcsák [5] approximates inconsistent preference matrices with consistent matrices by applying the singular value decomposition (SVD). Weights are given by a combination of the values of the left and right singular vectors corresponding to the singular values of the matrix. The result is that a good approximation (using consistent matrices) is achieved for the weight set of conventional AHP. Thus, if results mimic those of conventional AHP then this is another sign of reliable results, as the SVD weights represent good approximations. 3.4.2.1 Results within the SVD approach An analysis of the rankings using the SVD approach indicates the same weight sets change rank in removing outliers as in the conventional AHP (D, and B3). However, there is the additional result that the weight set of B is ranked differently from B of the conventional AHP (although it is stable within the model itself since it does not change rank as outliers are removed). This change in ranking for B also occurs when one uses VAHP with geometric mean; however, the actual magnitudes of the differences in weight sets are small. 3.5 Strong and weak results The changes in rank for B3 and D within each model reflect an apparent weakness (volatility) in the data itself (sensitivity to additional judgments) for these two criteria sets. On the other hand, the similarity in rankings between all the models indicates the strength of the AHP framework. There is only a slight difference in the relative weights between models. Therefore, the conventional AHP eigenvector model is used to generate the initial weight set. To reflect the multiple levels of analysis, the geometric mean across all layers of data purging is taken and the results are normalized to represent weight sets. This is done to mitigate the problems of low consistency and data purging. The results are found in the far right column of Table 3.

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4 Conclusion The similarity of the effects of data purging on all models as well as the similarity in actual weight sets between models indicates the resilience of the AHP framework to different computational models. It is concluded that the SaRoP model exhibits reliable initial results. However, in the future the data corresponding to D and B3 should be strengthened with regard to consistency and homogeneity.

References [1] Saaty, T.L., Fundamentals of Decision Making and Priority Theory with the Analytic Hierarchy Process, RWS Publications: Pittsburgh, pp. 45-93, 2006. [2] Saaty, T.L., Kearns, K.P., Analytical Planning: The Organization of Systems. Pergamon Press Inc., pp. 34, 1985. [3] Saaty, T.L., Vargas L.G., The seven pillars of the analytic hierarchy process (chapter 2), Models, Methods, Concepts and Applications of the Analytic Hierarchy Process. Kluwer Academic, pp. 27-45, 2001. [4] Zahir, S. Geometry of decision making and the vector space formulation of the Analytic Hierarchy Process. European Journal of Operational Research, 112, pp. 373-396, 1999. [5] Gass, S.I., Rapcsá k, T., Singular value decomposition in AHP, European Journal of Operational Research, 154, pp. 573-584, 2004. 

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Evaluation of pricing tools in urban multimodal paths D. Ambrosino & A. Sciomachen Department of Economics and Quantitative Methods (DIEM), University of Genoa, Italy

Abstract Modal change nodes play a relevant role in urban passenger mobility. The main aim of this work is to analyse different pricing tools aimed at minimizing the negative components of the transition costs from the private modality to the mass transit one at the modal change nodes. In particular, we compute and compare the generalized cost of origin-destination paths in the case of both multimodal and private networks. We report on some data related to the city of Genoa, Italy, in that for its topological and geographical structure, and the wide offer of the public transportation system, it is well suitable for intermodality. We perform some scenario analysis using the spreadsheet Excel considering different origindestination paths and different pricing policies. In particular, we investigate some possibilities that reflect two different government policies: 1) to increase the cost of the private paths by introducing road fees and increasing the cost of the car parks in the main central areas; 2) to reduce the cost of intermodal paths by reducing both the parking fee and the bus ticket. Results obtained by using these different policies depend on many factors, among others the perception of the services offered by the mass transit transport and the cost of the transaction arcs at the modal change nodes. For these reasons, in the scenario analyses we evaluate the effect of the different pricing policies when varying the weight of two main components of the generalized cost function: the cost components and the time ones. Keywords: multimodal passenger transport, pricing tools, spreadsheet optimization, generalized cost function, shortest paths.

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1 Introduction and problem definition Origin – destination (o-d) paths in urban passenger transportation networks can be accomplished by using different travelling modes, that is cars together with buses, subways and trains. The use of more than one transportation mode results in higher monetary and time costs due to the modality change, that is the so called transition costs, associated with a greater discomfort paid by the users; on the other hand, some travelling costs can be reduced since economies of scales can be obtained when using different transportation modalities. Even if starting from the last decades the quota of users choosing more than one transportation modality for their trip is increasing, the private modality is still the most preferred one. As a matter of fact, the final selection of the path, either an intermodal or monomodal one, is performed directly by the user on the basis of the foreseen traveling cost, that includes also some subjective elements that are not easy to be evaluated, such as social economic factor, propulsion at walking, time perception and discomfort (strongly affected by the weather conditions). Of course, it is clear that the majority part of the negative cost components perceived by drivers are paid at the modal change nodes, that consequently strongly penalizes the multimodal solutions. Moreover, passengers ask for more adequate information about traffic conditions, transportation facilities and modal choice nodes. Indeed, in the evaluation of the optimal trade-off between benefits and costs, a crucial role is paid by the modal choice nodes. Motivated by the above considerations, we decided to compute the generalized cost of o-d shortest paths, both on monomodal and multimodal networks, with the aim of finding different pricing tools for moving the users from the private network to the public one. In particular, in this paper we analyse different pricing tools aimed at minimizing the negative components of the transition costs from the private modality to the mass transit one. The analysis of different pricing tolls is mainly devoted to find the best local government policy in order to reduce congestion. We investigate some possibilities that reflect two different government policies: 1) to increase the cost of the private paths by introducing road fees and increasing the cost of the car parks in the main central areas; 2) to reduce the cost of intermodal paths by reducing both the parking fee and the bus ticket. Some research efforts have been already devoted to urban passenger mobility and to pricing tools in multimodal networks. Future directions for transportation modelling are reported in a recent work of Bielli and Ottomanelli [4]. An overview of how designing urban road pricing schemas is reported in de Palma et al. [7]. In D’Acierno et al. [6] some parking pricing strategies for obtaining a more balanced modal spilt in urban areas are described together with an optimization model. The authors analyse society’s global cost due to the transportation system related to local administration revenues for parking, user costs, external costs (in terms of pollution, quality of life etc.) and operational net costs of transit system. They also include in the model the equilibrium condition according to the equilibrium assignment model (Cantarella [5]). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Hamdouch et al. [8] construct a user equilibrium and system optimal model for determining tolls in a multi modal transportation system. As far as the multimodal shortest path problem is considered, we can cite the bicriterium shortest path algorithm presented in Mote et al. [12], the method based on the evaluation of a utility function given in Modesti and Sciomachen [11], the algorithm for network with dynamic arc travel times (Ziliaskopoulos and Wardell [15]) and the adaptive methods proposed in Miller-Hooks and Mahmassani [10]. In the present work, for the computation of the shortest o-d paths we use the labelling algorithm proposed in Ambrosino and Sciomachen [2] that takes into a proper account the modal change nodes. The computation of viable paths, that is paths that satisfy some constraints on the sequence of the selected travelling modes, is considered in Lozano and Storchi [9]. Finally, Bielli et al. [3] present a very interesting multimodal travel system based on an objectoriented modeling paradigm with the help of a GIS tool. The present paper is organized as follows. In Section 2 our referring multimodal network model and its associated costs are given. In Section 3, we present the case of Genoa and we perform some scenario analysis using the spreadsheet Excel considering different o-d paths and different policies.

2 The multimodal transportation model In this paper we consider the following passenger transportation modalities: private, i.e. users in the private network are car drivers; mass transit, i.e. users in the public network go from one location to another by bus, subway, etc.; pedestrian, i.e. users move into the pedestrian network by walking. In particular, we consider the pedestrian modality only a communication link between the private and the mass transit modalities. We model an urban multimodal transportation network by a digraph G = (V,E). G = (V,E) is the union of three subgraphs, representing, respectively, the transportation modalities listed above: G = GD  GM  GW, where GD = (VD,ED) models the private network and GM = (VM,EM) is the mass transit network. Note that GM is in turn considered as a multimodal transportation network, in which different means could be used. As in Ambrosino and Sciomachen [1] we associate with each arc tij,  (i,j)  EM a weight corresponding to the value of the shortest path from i to j computed on GM by allowing at most two line changes. Moreover, we consider the mass transit network as a time-expanded graph (see e.g. Schulz et al. [14]) in which the arrival time schedule of each mean at the corresponding bus stop is known; in this way we are allowed to include the (average) waiting time in the arc weight. As far as the private network (GD) is concerned, we have to specify that weights on the arcs belonging to ED are derived by using the usual cost functions that can be found in the transportation literature (see, for instance, Sheffy [13]), provided that they are increasing function with respect to the flow on the corresponding arcs. Finally, considering the pedestrian network, GW = (P,T), where P is the set of available parking places (both on the street and on buildings), and T is the set of WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

516 The Sustainable World transition arcs that represent the possibility of commuting between the private and the mass transit modalities, we have to keep in mind that arc set T plays a crucial role in the present analysis since it represents, as well as the monetary cost, the negative factor in the choice of users between the alternative of continuing the path on the same modality, that is to reach node d by car, or taking the mass transit network. Thus, VD and VM are, respectively, the nodes reachable by car and by the public transportation means; let I = VD  VM be the set of the modal change nodes of G. We consider any arc t  T as consisting of two commutation phases, namely the search for an available parking space and the walking path from the car park to either the destination node or a bus stop. Consequently, we associate with each transition arc t  T a weight expressing tow different components: 1) the sum of the time required for looking for a car park and to go by walking, if necessary, from the car park to either the destination or the bus stop; 2) the monetary component representing the parking tariff. Many pricing tools can act on the weight of these arcs. In order to better understand the transition cost of o-d paths in a urban multimodal network, let us consider the simple network reported in Figure 1, where nodes p1, p2, p3, p4  P, bold arcs belong to GD, normal lines depict the arcs of GM and dotted lines represent the transition arcs of T towards car parking.

Figure 1:

A simple example of path components in multimodal passenger transportation network.

Let us assume that possible alternative paths connecting the origin node o to the destination node d are the following: a.

a path through the private network, in which a driver can reach either node 1 or node 2 at the barrier where has to pay the corresponding fee for entering into the road pricing zone (depicted in Figure 1 as the oval zone), and finally park the car at either p3 or p4;

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b.

517

an intermodal path, in which the driver before reaching the barrier can leave the car at a park, that is either node p1 or p2, and then continue the trip by taking a mean belonging to the mass transit transportation network.

Let us now evaluate the cost of the above choices. In the first case the driver has to travel sequentially for instance along arcs (o,2) (2,4) (4,5) and (5,d), parking the car at p3. The corresponding costs are related to the traveling time tod through the arcs belonging to ED, a possible road fee , entering the oval zone of Figure 1, the fuel cost cod, the transition cost given by the parking fee cp3, and the transition time tdp3 given by the parking time at p3 plus the walking time tp3d from p3 to d. By generalizing this simple example, let us hence assume that the generalized cost of any o-d path traveled on GD is obtained by counting all the above components and weighting them by considering parameters 1, 2  [0, 1], that correspond to the perception of the users of the time and the monetary cost, respectively, as it will be explained later; therefore, it can be easily observed that the overall generalized cost Cod(GD) of any o-d path in GD is given by eqn (1), where pj  P. Cod(GD) = 1 (tod + tdpj + tpjd) + 2 ( + cod + cpj)

(1)

In the second case, i.e. following a multimodal path, the user has to travel sequentially for instance along arcs (o, 1) (1, 3) (3, 5) and (5, d), parking the car at p2. The corresponding costs are due to the car from the origin to the modal change node, that is the traveling time to1 and the fuel cost co1 plus the cost associated with the transition arcs, that is the parking fee cp2 and the bus tickets ; moreover, we have the transition time that includes the parking time t1p2 at p2 and the walking time tp21 towards the bus stop; finally, we have to consider the traveling time t1d on the public mean. Note that also in the present case the arc weight representing the traveling time on the mass transit network includes the waiting time at the bus stop (in the example at node 1). By considering the same weights as before, the overall generalized cost Cod(G) of a path on G is then given by eqn (2), where i  I is a modal change node and pk  P. Cod(G) = 1 (toi + tipk + tpki + tid) + 2 (coi + cpk + )

(2)

Of course, the alternative paths are considered identically preferable by the users if they have the same cost. Unfortunately, as we will see in Section 3, for the most congested paths in urban areas the generalized cost given by (2) is almost always greater than that in (1).

3 Driving paths versus intermodal ones by using pricing tools We report our studies on the impact of pricing tools in the urban networks referring to the city centre of Genoa, Italy. Let us consider the map of the central area of the city of Genoa reported in Figure 2, where the main paths from east to west side, and vice-versa, are outlined together with nodes 1-11 that represent WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

518 The Sustainable World

Figure 2:

Main paths in the city of Genoa.

the centroids of the most relevant zones in terms of urban passenger mobility. The oval zone corresponds to the road pricing area. Having in mind Figure 2, let us now focus our attention on nodes 1, 10 and 11 that are located at the frontier of the central area for drivers coming both from the east and the west side of the city. By computing the generalized cost components of eqns (1) and (2) of the most congested paths having those nodes either as origin or destination, we obtained the values reported in Table 1, where columns headings are as follows: the traveling time tod and toi from origin o to destination d and to modal change node i respectively, the transition time components t (GD) and t(G) of the generalized cost function in the case of only driving and multimodal choice, respectively, and the values Cod(GD) and Cod(G) of eqns (1) and (2). Note that in order to be able to compute the shortest paths between the above nodes we have considered the average distance from any reachable modal change node, to parking places in terms of driving time on GD and the successive connection to GP. We then derived the corresponding generalized cost by assuming the time conversion factor of 15 Euro / hour. Moreover, we consider a bus ticket of 1,2 Euro and parking fees as 2 and 1 euro for car parks in central zones and in modal change nodes, respectively. In the computation of the values reported in Table 1, we first used a Dijkstralike algorithm for determining the shortest paths in both the private and mass transit network (GD and GM) for each one of the o-d selected paths and successively computed the corresponding multimodal shortest path by using the algorithm presented in Ambrosino and Sciomachen [2].

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Table 1:

1-4 1-5 1-9 1-8 1-6 1-7 1-3 11-4 11-5 11-6 11-7 11-3 10-5 10-6 10-7 10-3

519

Generalized cost components of the main selected o-d paths. t od 7,06 7,35 9,62 10,45 7,72 8,74 7,86 3,91 3,58 3,63 3,58 3,59 2,81 3,54 2,81 3,63

t oi 3,11 3,11 3,11 6,27 6,27 3,11 3,11 0 0 0,97 0,97 0,97 0 0,88 0 0,88

t (GD) 10,58 11,45 2,30 10,23 11,50 13,45 8,77 10,58 11,45 14,40 13,45 8,57 11,45 13,16 13,45 6,65

t (G) C od (GD) 11,447 5,21 13,9 5,42 16,66 4,34 17,973 5,84 20,433 5,58 16,013 6,12 11,66 5,08 13,183 4,63 14,69 4,71 22,883 5,21 7,54 5,04 9,34 4,22 14,53 4,54 16,05 5,00 10,91 4,87 9,06 3,89

C od (G) 5,63 6,05 6,51 6,66 7,07 6,03 5,61 5,03 5,58 7,18 5,76 6,06 6,46 7,16 5,85 6,00

By looking at Table 1 the reader can see that only in one case, that is path 1-7, the multimodal choice results to be more convenient than the private one; in this case the suggested modal change node is node 2 that is a well performing node, according to the attractivity value given in Ambrosino and Sciomachen [1]. In all the remaining rows the value of column Cod(GD) is less than the corresponding value in column Cod(G); however, note that the traveling time on the mass transit network, including the waiting time, is very competitive with respect to the driving time in the urban transportation network of Genoa; the factors that mainly penalize the multimodal paths are the transition time and cost. There is hence the need of evaluating some pricing tools that could have a different impact on the generalized cost function thus making the intermodal network more favorable than the private one. Let us hence think about some pricing actions that could improve the intermodal paths, provided that modal change nodes are well served as they need. 3.1 Scenario analysis The possible pricing tools that we can consider in order to increase the preferences for the multimodality are the parking fees cpk and cpj , the road pricing  and the bus ticket , where j and k are, as in (1) and (2), nodes belonging to set P in a nearby of the destination and the modal change node, respectively. We performed some scenario analysis using the spreadsheet Excel for investigating, as already said, some possibilities that reflect two different government policies: P1) to increase the cost of the private paths by introducing road fees and increasing the cost of the car parks in the main central areas; WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

520 The Sustainable World P2) to reduce the cost of intermodal paths by reducing both the parking fees and the bus ticket. Table 2 represents our spreadsheet for computing the number of preferred intermodal paths when different policies are used. In particular, the case reported in Table 2 is an example of policy P1; we evaluate how the users’ preferences change when they have to pay a road fee of 1 Euro for entering in the oval area of Figure 2. In this example, by adding the road fee the number of preferred intermodal paths passes from one to nine. Table 2:

Effect of the road pricing.

Table 3 shows the number of intermodal paths preferred to the private ones when different policies (P1 and P2) are used. In particular, we simulate different applications of policies P1 and P2, by modifying both the parking fee (Cpj) for car parks in the central area and the road pricing for policy P1 and by modifying both the parking fee (Cpk) for car parks in modal change nodes and the bus ticket for policy P2. During our experiments on different scenarios, we observed that the results obtained by using these different policies depend on many factors, among others the perception of the services offered by the mass transit transport and the cost of the transaction arcs T at the modal change nodes. For these reasons, we evaluate the effect of the different pricing policies when varying 1 and 2 in eqns (1) and (2), such that 1 + 2 =1. We remind that by WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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choosing 1 closest to 1 we consider very important the time components of the generalized cost of each path; otherwise, by choosing 1 closest to zero the cost component is considered more relevant than the cost one. Results reported in Table 3 are related to three different experiments. In the first case (1 = 0.5, 2 = 0.5) we assume that for users the cost component is as important as the time component of the generalized cost function. In the second case (1 = 0.2, 2 = 0.8), we assume that users consider more important the cost component whilst in the last one the time component is more relevant for users. The last case (1 = 0.8, 2 =0.2) reflects the expectations of richer users: for this kind of people is difficult to leave their car far from destination even if a strong policy P1 is adopted by the government that is a road fee (2 Euros) and an high parking fee (3 Euros); only seven intermodal paths are preferred. The second case reflects the preferences of users belonging to lower social class. These users are not able to pay so much for reaching their destination by cars and so they prefer mass transit modality. In this case, all the sixteen intermodal paths are preferred to the private ones. Table 3: P1

Effect of different pricing policies.

P2

# intermodl preferred

Parking fee Road pricing near destination nodes

1=0.5 , 2=0.5 1=0.2 , 2=0.8 1=0.8 , 2=0.2

2 2 2

0 1 2

1 9 16

0 16 16

0 1 4

3 3 3

0 1 2

9 16 16

16 16 16

1 4 7

Parking fee

Bus ticket

in modal change nodes

# intermodl preferred 1=0.5 , 2=0.5 1=0.2 , 2=0.8 1=0.8 , 2=0.2

1 1 1

1,2 0,6 0

9 14 16

16 16 16

1 4 5

0,5 0,5 0,5

1,2 0,6 0

14 16 16

16 16 16

4 5 7

0 0 0

1,2 0,6 0

16 16 16

16 16 16

4 5 7

Also policies P2 are not able to influence the preferences of richer users. For increasing the number of users choosing the intermodal paths, the government would act also on the mass transit offer, i.e. by improving services. Also in an unrealistic scenario in which it is possible both to travel on GM without paying a ticket and to park a car in modal change nodes without paying a parking fee, the number of preferred intermodal paths is seven. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

522 The Sustainable World Policies P2 are very effective on users belonging to middle and low classes; in fact, the number of preferred intermodal paths is really affected also by small reductions in the cost component of the generalized cost function. In all cases when the parking cost in a neighbourhood of the destination is higher than that of any modal change node the number of users that choose intermodal paths increases, even if the waiting time for an available place in the car park results lower. When considering higher traveling time in the mass transport modality the number of intermodal paths preferred decreases. As a last consideration we have to say that by computing the shortest path for all o-d pairs given in Table 2, when the intermodality results to be the best choice for users, the chosen intermodal nodes are 2 and 3, that are our most favourite intermodal nodes from a attractivity point of view, that is following the proposed approach for evaluating the intermodal nodes (Ambrosino and Sciomachen [1]).

4 Conclusions Some analysis performed by using the spreadsheet Excel was carried out to assess the impact of different pricing tools in the choice of multimodal paths in urban networks. The results reported in this paper confirm us that the social class of users influences their expectations and preferences, in particular, a road fee is acceptable by most drivers belonging to medium – upper class, that attach a high monetary value at the travelling time. Moreover, the perception of both the services offered by the mass transit transport and the transaction costs for changing modality really impact on the effectiveness of pricing policies.

References [1] Ambrosino D., Sciomachen A., Selection of modal choice nodes in urban intermodal networks. Urban and transport XII, eds. Brebbia C.A., Dolezel V., WIT Press, pp. 113-122, 2006. [2] Ambrosino D., Sciomachen. A, A shortest path algorithm in multimodal networks: a case study with time varying costs, April 2009, Proceedings of INOC International Network Optimization Conference, Pisa, Italy. [3] Bielli M., Boulmakoul A., Mouncif H. Object modelling and path computation for mutimodal travel systems. European Journal of Operational Research, 175/3, pp.1705-1730, 2006. [4] Bielli M., Ottomanelli M. (eds). Feature issue on “Traffic and transportation modelling”, European Journal of Operational Research, 175/3, pp. 1431-1434, 2006. [5] Cantarella, G.E., A general fixed-point approach to multimodal multi-user equilibrium assignment with elastic demand. Transportation Science, 31, pp. 107-128, 1997. [6] D’Acierno, L., Gallo, M., Montella B., Optimisation models for urban parking pricing problem. Transport Policy, 13, pp. 34-48, 2006. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[7] de Palma, A., Lindsey, R., Proost, S. Research challenges in modelling urban road pricing: an overview. Transport Policy, 13, pp. 97-105, 2006. [8] Hamdouch, Y., Florian, M., Hearn, D.W., Lawphongpanich, S., Congestion pricing for multi-modal transportation systems. Transportation Research B, 41, pp. 275-291, 2007. [9] Lozano A., Storchi G., Shortest viable path in multimodal networks. Transportation Research A, 35, pp. 225-241, 2001. [10] Miller-Hooks E., Mahmassani. H., Path comparisons for a priori and timeadaptive decisions in stochastic time-varying networks. European Journal of Operational Research, 146, 1, pp. 67-82, 2003. [11] Modesti P., Sciomachen A., A utility measure for finding multiobjective shortest paths in urban multimodal transportation networks. European Journal of Operational Research, 111/3, pp. 495-508, 1998. [12] J. Mote I., Murthy D., Olson. L., A parametric approach to solving bicriterion shortest path in urban multimodal transportation networks. European Journal of Operational Research, 53, 81-92, 1991. [13] Sheffy Y., Urban transportation networks. Prentice – Hall, Englewoods Cliffs, NY, 1985. [14] Schulz F., Wagner D., and Weihe K., Dijkstra’s algorithm on-line: an empirical case study from public railroad transport. J. Exp. Algorithmics, 5, 12, pp. 1-23, 2000. [15] Ziliaskopoulos A., Wardell W., An intermodal optimum path algorithm for multimodal networks with dynamic arc travel times and switching delays. European Journal of Operational Research, 125, pp. 486-502, 2000.

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An integrated approach for studying the safety of road networks: logistic regression models between traffic accident occurrence and behavioural, environmental and infrastructure parameters F. Crocco, S. De Marco & D. W. E. Mongelli Territorial Planning Department, University of Calabria, Italy

Abstract The current tendency is to attribute the cause of each road accident to certain factors that, closely related, define a system whose crisis points can construct serious elements of danger for road safety. The situation then becomes complex when it is impossible to attribute the cause of an accident to a sole component of the system ‘driver – vehicle – environment – infrastructure’, because more than one problem is present when investigating the path leading up to an event and it is unclear in what measure to hold the driver responsible for actions that have risked his or her own life, and in many cases, the lives of others. This is a problem that cannot be solved by assigning closed formulas when the investigation of different locations presents diverse characteristics and the variables in play can change even slightly from case to case in the same network under study. In this article, logistic regression models are proposed to evaluate the reliability of a roadway, where it is understood as a probability that a driver travels along a path in a specific period of time and in specific operative conditions, without an accident with injury or death occurring. The analysis has been conducted globally, placing in contemporaneous correlation infrastructural, environmental and behavioural components. The models have been applied to a stretch of freeway and state roads in the province of Cosenza (Italy) by defining the seriousness of the accidents that occurred. Keywords: accident, driver, environment.

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Figure 1:

The system “driver – vehicle – environment – infrastructure”.

1 Introduction Road accident occurrence is an ever-present problem of widespread interest given the repercussions this phenomenon has on the collective, be it in terms of human life loss or social impact. In fact, road safety begins with the interaction of various factors related to the human behavioural environment, infrastructural characteristics, vehicle conditions and the surrounding environment. As a result, it is extremely difficult to unequivocally pinpoint incidents to a specific defective field or aspect. Every movement can be seen as part of a system where the components consist of drivers, vehicles, the environment and the infrastructure which, if analyzed separately, have to be investigated in the complexity of their own interactions. The moment in which one or all of the components manifest functional anomalies, dangerous situations of varying levels arise that can determine the total breakdown of a system. Each component can be distinguished by diverse risk factors and keeping this in mind, the strategies to attain the objectives for a safe road can also be defined. Road examination requires careful attention to the geometry axis or section; the surface characteristics of pavement, safety tools (guard rails, road signs, lighting, etc.); test criteria of the passive safety of roads; regulatory systems and traffic control; traffic accident statistics, road rules of conduct, etc.; traffic and infrastructure service levels. Regarding environment, traffic conditions cited include: fog, ice, constant rain etc. Fatal factors for the driver include excessive velocity, non-compliance with road regulations, distracted driving or poor physical driving conditions such as fatigue, alcohol and drug abuse (both legal and illegal), etc. Characteristics among drivers that increase road incidents include: age, sex, feelings of superiority, irritability and social influence. The unpredictable character of events and the complexity of factors that appear cause the regulation of safety, understood as the identification of reasons for danger and their removal, to be a difficult and complex operation. It is thus the objective of this article to propose an integrated approach for studying road safety that envisions a unitary system in which infrastructural, environmental and behavioural components are taken into consideration at the same time. From this WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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point of view, the estimated reliability of a road system is translated into the value that each individual mobility component can take on for a specific period of time, in specific infrastructural and environmental conditions, within a complex enough system where, at times, the behavioural component plays an important rule. The system “driver – vehicle – environment – infrastructure” is always functional until the moment in which breakdowns or accidents occur. The reliability of the system is non-existent if the interactions of the components it is composed of cause accidents with injury and/or death. In other words, the reliability of the system is evaluated as the probability that the systems functions correctly in a specific period of time and in specific operative conditions (maintenance of infrastructure, traffic, environment and above all the behaviour of the road user).

2 State of the art The issue of road system reliability has been discussed by many authors that have investigated it in terms of competitive system loss. This can occur on specific occasions in the moment in which some of the variables in use take on heightened values and are incompatible with infrastructure, or even when they have broken some branch of the network. In recent years, Bayesian methods have found several applications in traffic crash analysis. Christiansen et al. [1] and MacNab [2] developed hierarchical Poisson models for crash counts and surveillance data. Miaou and Song [3] used Bayesian generalized linear mixed models with multivariate spatial random effects to rank sites by crash cost rate. Three crash severities were analyzed: fatal, incapacitating injury and non-incapacitating injury crashes at the county level. The authors were mainly interested in ranking criteria and did not discuss correlation structures. Liu et al. [4] used a hierarchical Bayesian framework to estimate ZIP regression models and develop safety performance functions (SPFs) for two-lane highways. Pawlovich et al. [5] employed a Bayesian approach to assess impacts of road design measures on crash frequencies and rates. Washington and Oh (2006) developed a Bayesian methodology for incorporating expert judgment in ranking countermeasure effectiveness under uncertainty. Bijleveld [6] proposed a method to estimate the covariances between crash and injury counts from within the accident data, using individual accident information on the relevant outcomes, for example the number of victims and fatalities. This method however, estimates only covariances within an observation ignoring covariances between observations. Song et al. [7] further explored the issue of multivariate spatial models. Instead of correlated severities, the authors studied correlated crash types: intersection crash, intersection related crash, driveway access crash, and non-intersection crash. The authors found that the model with correlated spatial random effects fit the data better than the model with independent random effects. Although summary statistics of the correlation coefficients between the responses were not provided, plots of the posterior distribution of the coefficients WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

528 The Sustainable World indicated significant correlations ranging from 0.3 to 0.6. Ma and Kockelman [8] used multivariate Poisson regression within a Bayesian framework to estimate the number of victims per road segment in five different severity classes: fatal, disabling injury, non-disabling injury, possible injury and non-injury. The model did not allow for extra-Poisson variation in the data and restricted the covariances for the five different severity levels to be identical and positive. Park and Lord [9] extended the Bayesian Multivariate Poisson specification to include extra-Poisson variation and relaxed the covariance specification to allow for different covariances among severity levels by including a log-Normal random effect. The authors analyzed crash counts for three-legged unsignalized intersections and five severity levels: fatal, incapacitating injury, nonincapacitating injury, minor injury and property damage only. The posterior means of the correlation matrix indicated high correlation between different crash severities (from 0.69 to 0.85). Ma and Kockelman [10] also used a Bayesian Multivariate Poisson log-Normal specification to model crash counts at the segment level. However, the correlations found by the authors were significantly lower than the correlations found in [18], ranging from 0.01 to 0.43. Aguero-Valverde and Jovanis [11] uses Full Bayes Multivariate Poisson logNormal models to estimate the expected crash frequency for different crash severity levels and then compares those estimates to the independent or Univariate Poisson log-Normal estimates. The finding of high correlation between contiguous severity levels is consistent with some of the literature, but additional tests of multivariate models are recommended. The improved precision has important implication for identification of sites with promise (SWiPs) as one formulation includes the standard deviation of crash frequencies for similar sites as part of the assessment of SWiPs.

3 The construction of the database The relevant files are shared among provincial prefectures. At each prefecture, meetings were organized with relevant authority figures (Traffic Police, Carabinieri, Local Police) where the uniformity of the report files were established in order to have an accepted and homogenous observation base. The information reported in the files is qualitative and concerns: - weather conditions: calm, cloudy, rain, fog/mist, snow; - road surface: dry, slippery, snowy, wet, icy; - state of pavement maintenance: indicated by normal and low-quality; - geometric characteristics: straight, curve, tunnel, bridge, intersection, exit, incline/decline; - type of accident: frontal, side, pile-up, road crossover, pedestrian runover, hitting fixed objects, running off the road. The data was organized in a database where specific fields indicate for each accident date of accident, time, place, road type, cause of accident, collision type, infrastructure details in which the event occurred (geometric characteristics, pavement status), weather condition information, driver information (age, sex,

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seatbelt/helmet, state of being i.e. intoxication level), characteristics of the vehicles involved in the accident and type of injuries acquired in the accident. Data processing through logistic regression models was preceded by a detailed statistical analysis that brought to light the incidence of factors in play in the series of accidents that are the object of study. Accident data differentiated by road type demonstrate a strong localization of accidents on freeway (35.83%), built-up areas (32.40%) and state roads (16.78%). Analyzing the distribution of accidents by road characteristics it becomes evident that more than half of the total number of accidents (60.65%) occurs on roads with straight stretches. Roads with curves account for 21.97% of the total. Statistical analysis clearly demonstrates that the accident risk factor does not depend on the visibility factor. In fact, 85% of accidents occur in situations of good visibility. Figure 4 illustrates road situations at the moment of an accident in relation to weather conditions: 63% of accidents occur in clear weather conditions and the road surface is dry in the majority of cases (70%). Difficult weather conditions such as fog/mist and snow occur very rarely whereas rain is present in only 19% of the cases and the percentage of accidents that occur on wet road surfaces account for 22% of the total.

16.78%

State Road 9.51%

Provincial Road 5.48%

City Road

32.40%

Built‐up area

35.83%

Freeway 0%

10%

Figure 2:

20%

30%

40%

Incident distribution by road type. 60.65%

Straight Stretch Incline/Decline

1.18%

Bridge

0.34% 14.58%

Intersection Tunnel

1.28% 21.97%

Curve 0%

Figure 3:

10%

20%

30%

40%

50%

60%

70%

Incident distribution by road characteristics.

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6%

22%

1% 1%

70% Dry

Figure 4:

Slippery

Icy

Snowy

Incident distribution by road surface.

16%

14.91% 13.29% 12.78%

14%

11.51% 10.61%

12% 10% 8%

Wet

8.35% 6.66%

6% 4% 2% 0.31%

6.65% 5.57% 3.19% 2.69%2.04% 0.93% 0.40% 0.11%

up

to 15 15 -2 0 21 -2 5 26 -3 0 31 -3 5 36 -4 0 41 -4 5 46 -5 0 51 -5 5 56 -6 0 61 -6 5 66 -7 0 71 -7 5 76 -8 0 81 -8 5 86 -9 0

0%

Figure 5:

Incident distribution by age.

Analyzing the distribution of accidents by type, it can be shown that 40% of accidents occurred in the province of Cosenza over the three year period 2004 – 2005 – 2006 and the most common accident type was the “front – side” impact. Pile-ups were also among higher accident types (18%) as well as crashes against stationary objects (12%). The age span of drivers involved in road accidents stretches from 21 – 25 years of ages (13.3%), 26 – 30 years of age (13.2%), 31 – 35 years of age (12%), 36 – 40 years of age (11%) and 41 – 45 years of age (10%).

4 Proposed logistic regression models and results The data used was processed to develop logistic regression models that can be valid evaluation tools for the reliability of a road way. Two models were specified, calibrated and validated: - a logistic regression model to consider the A3 freeway in the province of Cosenza from the north side of the Laino Borgo municipality to the south side of Grimaldi; - a logistic regression model for state roads in the province of Cosenza. In the logistic regression model, the dependent variable Y (reliability) is considered dichotomous and functions together with independent variables X.

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SS19

SS504 SS19 SS105

SS105

SS92

SS19

SS18 SS534

SS534

A3

SS106 radd

SS106

SS533

SS105

SS533 SS283

SS107

SS107

SS19 SS178

SS278 SS535

SS108

Figure 6:

SS616

Roadways under investigation.

The dichotomous expression excludes, or minimizes, subjective elements so that the model fixed the reference conditions, allows an unambiguous definition if the conditions, state, behaviour etc., are or are not congruent with the pre-fixed reference conditions. In this way they are considered as respectful or disrespectful of technical norms, in the road project phase; appropriate or inappropriate behaviour of the road user, regarding road signage, the rules and road code, the environmental and traffic conditions; whether the overtaking distance or braking distance exists or not (in relation to visibility); whether there is fog, rain or snow present; proper or poor maintenance of road pavement etc. The value of Y in logistic regression represents the probability that a variable response can take on a harder condition than others in relation to specific values of explicative variables x: P[Y=1|x] or P[Y=0|x], this estimation ranges between 0 and 1. q

logit π (x)  β   β x 0

i

i

i

(1)

where

 π(x)  logit π(x)  ln    1 - π(x) 

(2) and p(x) shows the probability that Y is worth 1 depending on the explicative variables x: p(x) = P(Y=1|x). The logit transformation is the functional tie that allows a description of the relationship between the dependent variables and the explicative variables. The probability of Y can be expressed as a logistic function in the form:

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π(x) 

e

β0 

1  e

 xi βi β0 

 xi βi

(3) From the estimation of the parameters  of the observed data set, the expected value of E(Y0|x0) is expressed by the formula:

E Y0 /x0  

e

β0 

 x0 i βi

1  e

β0 

 x0i βi

(4) In the definition of the logistic regression model, six explicative variables of the system components have been considered that are believed to have a greater affect on the reliability of the mobility system and road safety. The choice of the variables is coherent with the set objective because the research concerns the global reliability of the path and not the single components. The variables are: structural (1), maintenance (2), behaviour (3), environment (4), age (5), gender (6). For each variable it is necessary to provide the following specifications: - the structural variable (1) contains geometric characteristics: straight stretch roads, curves, tunnels, intersections, bridges, exits and inclines/declines; - the maintenance variable (2) consists of two conditions: optimal maintenance and non-optimal maintenance of road pavement; - the behaviour variable (3) consists of two conditions: driver behaviour according and not according to the law; - the environment variable (4) considers road pavement dry or wet; - the age variable (5) concerns the age of the driver; - the gender variable (6) considers if the driver is male or female. The definition of the system’s components and of the corresponding explicative variables (x1, x2, x3......xn) has allowed the general formulation of a logistic regression model according to:

π(x) 

e β0  β1 x1  β2 x2  β3 x3  β4 x4  β5 x5  β6 x6 1  e β0  β1 x1  β2 x2  β3 x3  β4 x4  β5 x5  β6 x6

(5)

where it has been indicated with: 0: regression constant, 1: regression coefficient related to the structural variable containing geometric conditions,  2: regression coefficient related to the maintenance variable, 3: regression coefficient related to the behavioural variable, 4: regression coefficient related to the environment variable,  5: regression coefficient related to the age variable,  6: regression coefficient related to the gender variable. In the parameters estimation of logistic regression, the maximum likelihood algorithm (maximum likelihood – ML) is used as it values the model parameters WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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in a way that maximizes the function (log – likelihood function) that indicates the probability to obtain the expected value of Y given the value of the independent variables. In the application of the model, the dependent variable Y was associated with the six indicated variables and the set of variables (independent and dependent) were treated as dichotomous variables with the assumption of values of 1 and 0, with the following explanations: - to the structural variable containing geometric conditions, a value of 1 has been assigned when there are straight stretch roads and a value of 0 when there are curves, tunnels, bridges, inclines and declines; - to the maintenance variable, a value of 1 has been given when there is a ‘normal’ state of maintenance and a value of 0 when the state of maintenance is in ‘disrepair’; - to the behavioural variable, a value of 1 has been assigned when the behavioural condition of the driver is “not in accordance with the law” and a value of 0 when the behavioural condition of the driver is “in accordance with the law”; - to the environment variable, a value of 1 has been assigned when there are dry road surfaces and a value of 0 when there are wet road surfaces; - to the age variable, a value of 1 has been assigned if the driver’s age is less than 50 and a value of 0 when the driver’s age is over 50; - to the gender variable, a value of 1 has been assigned if the driver is male and a value of 0 if the driver is female. The assigning of values 1 or 0 to the structural variable containing geometric conditions, maintenance and environment originated from the information analysis obtained from the accident files from the province of Cosenza. Regarding the behaviour variable, values 1 or 0 originated from the information analysis of the accident descriptions with the indications of probable causes determined by the accident, including the driver’s behaviour. Concerning the dependent variable Y, by the end of the application of the model, it was considered as a dependent “observed” variable, assigning the value Y=1 when there are road accidents with injury or death and a value of Y=0 when there are road accidents with only minor damages. From data processing, through regression analysis, the coefficients  of regression for single independent variables have been generated. The results reported from the calibration of the models regarding the A3 freeway and the state roads in the province of Cosenza follow: It can be seen in the table that, for both models, in the moment in which the explicative variables have favourable values, reliability decreases. This result confirms the indications provided from the statistical analysis and explains, keeping in mind that when all the conditions are negative, drivers instinctively adopt an increased sense of attentiveness and better behaviour. In the moment in which the varying conditions are optimal, the driver experiences an excessive level of trust in the safety level, followed with an increase in velocity. In these conditions, should an accident occur, negative

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Calibration results of logistic regression models.

Coefficient

Model 1 (Freeway) Model 2 (State Road) Value t-Student Value t-Student



-3.359

137.364

-5.134

236.190

1 2 3 4 5 6 N. observations

0.433 2.901 0.797 0.864 1.285 0.412

12.702 321.500 40.270 46.129 100.957 4.228 2314 0.468

0.915 2.104 0.515 1.033 1.308 0.631

50.466 67.880 16.201 75.203 83.637 24.068 1555 0.448

2

results are heightened. It is also important to consider that the database used is comprised only of the conditions (behaviour, geometric conditions, maintenance, environment and traffic) when there are accidents whereas the conditions in absence of accidents (in such a case, maximum reliability) are not dealt with. The decrease in reliability and the occurrence of an accident, serious or minor, is often not exclusively due to one sole component of a system, but to causes connected to many components that come about with different affective levels.

5 Conclusions The methodological approach used is valid for the reliability analysis of a roadway. The results obtained are congruent with the objectives formulated at the beginning of this work. Successive research developments will regard the refining of the model, broadening the database with the file values that will be provided by the Road Police. The level of information detail concerning the accidents could be increased, making it possible to use as a tool to point out with precision how the accident occurred and also to identify the characteristics of a location in the time a fatality occurs. The possession of punctual information surveyed with rigorous methods constitutes a fundamental presupposition for the localization of risk areas and for the adoption of strategic precautionary planning so as to improve system reliability and reduce accident risk. In any case, the results obtained demonstrate the interesting nature of a global approach to the problem of evaluating the reliability of a road system; these have otherwise confirmed the validity of the choice to use the logistic regression model. The parameters considered each possess their own value with respect to the evaluation of reliability. The parameters considered (geometric characteristics, environment conditions, pavement conditions, driver behaviour, gender and age) are often WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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present contemporaneously in the unfavourable occurrence of an accident; these parameters entwine mutually creating the conditions for an accident. Therefore, it is hardly realistic to attribute an accident to a sole cause; the presence of rain and any other plausible weather condition is not generally the only cause of an accident as it is essential to examine erred driver behaviour and/or poor vehicle maintenance, etc. Often serious accidents occur even with but a single negative element. In particular, appropriate information to a driver during travel by means of electronic road signs (i.e. Variable Message Panels), mobile phones, web sites and other mobility information tools, can adequately advise drivers about appropriate road behaviour according to the operative conditions of the system in specific moments and location. Therefore, drivers can take advantage of a heightened level of safety and avoid unnecessary risks.

References [1] Christiansen, C.L., Morris, C.N. & Pendleton, O.J., A Hierarchical Poisson Model with Beta Adjustments for Traffic Accident Analysis (Technical Report 103). Austin, TX: Center for Statistical Sciences, The University of Texas at Austin, 1992. [2] MacNab, Y.C., A Bayesian hierarchical model for accident and injury surveillance. Accident Analysis and Prevention, 35(1), 91-102, 2003. [3] Miaou, S.P. & Song, J.J., Bayesian ranking of sites for engineering safety improvements: Decision parameter, treatability concept, statistical criterion, and spatial dependence. Accident Analysis and Prevention, 37(4), 699-720, 2005. [4] Liu, J., Ravishanker, N., Ivan, J.N. & Qin, X., Hierarchical Bayesian estimation of safety performance functions for two-lane highways using Markov chain Monte Carlo modeling, J. Transport. Eng. 131 (5), pp. 345– 351, 2005. [5] Pawlovich, M.D., Li, W., Carriquiry, A. & Welch, T.M., Iowa's experience with road diet measures: use of Bayesian approach to assess impacts on crash frequencies and crash rates, Transport. Res. Record 1953, pp. 163– 171, 2006. [6] Bijleveld, F.D., The covariance between the number of accidents and the number of victims in multivariate analysis of accident related outcomes. Accident Analysis and Prevention, 37(4), 591-600, 2005. [7] Song, J.J., Ghosh, M., Miaou, S. & Mallick, B., Bayesian multivariate spatial models for roadway traffic crash mapping, J. Multivariate Anal. 97, pp. 246–273, 2006. [8] Ma, J. & Kockelman, K.M., Crash modeling using clustered data from Washington State: prediction of optimal speed limits, Proceedings of the IEEE Intelligent Transportation Systems Conference Toronto Canada, 2006. [9] Park, E.S. & Lord, D., Multivariate Poisson-Lognormal Models for Jointly Modeling Crash Frequency by Severity. Transportation Research Record: WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

536 The Sustainable World Journal of the Transportation Research Board, No. 2019, TRB, National Research Council, Washington, DC, pp. 1–6, 2007. [10] Ma, J. & Kockelman, K., Bayesian multivariate Poisson regression for models of injury count, by severity, Transport. Res. Record 1950, pp. 24– 34, 2006. [11] Aguero-Valverde, J. & Jovanis, P.P., Bayesian Multivariate Poisson LogNormal Models for Crash Severity Modeling and Site Ranking. Paper presented at the 88th Annual Meeting of the Transportation Research Board, Washington, D.C., 2009.

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System requirements control and risks control: mind the gap A. Cointet1 & C. Laval2 1 2

RATP, System Risk Control, France APTE System, France

Abstract This paper sets out to analyze, within the framework of a development or of an upgrade of a system, how the logic of requirements definition impacts on the relevance of identification and evaluation of the risks. This is true all the more as the system is complex and questions raised by the relation between requirement and level of safety and security are numerous:  How can we guarantee that needs and constraints identified in the “customer” specifications constitute the complete set of requirements attached to the various functions, and that they are optimized for the targeted uses?  How can we help the “customer” to express the multiple aspects of needs by keeping distance with technical solutions?  How can we distinguish the safety and security functions?  How can we bring to light that the same function can have different safety and security levels, according to the contexts of system use?  How can we deal with safety functions of segregated levels?  How can we identify the risks connected to the non-compliance with these requirements or to the inadequacy of requirements? The paper suggests showing, on the basis of an example, how a rigorous systemic and functional approach and concepts of defence in-depth allow wider points of view, structure the requirements and facilitate the identification of the risks. Keywords: functional analysis, system engineering, defence in depth.

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1 Classic approaches Do classic approaches allow one to answer these questions? The answer is “partially”. First of all, because the “customer” (contractual and restrictive notion), as an operator or representative of the operator of the future system, has a different vision compared to designers and manufacturers. The expression of needs and constraints of stakeholders on the customer side (or from the customer terms of reference), is going to be translated, on the basis of results of preliminary studies and a choice of concepts, by formulated specifications in the form of requirements. The expression “capture of requirements” evokes not the reasoning on needs and constraints, but the almost documentary analysis of their textual formalizations, which does not guarantee at all their relevance and, even less, their exhaustiveness. Requirements Engineering is then going to allow drawing, from these “reference tables” of requirements, their consideration by the gradually developed solutions, as well as their evolution. The satisfaction of the requirements will be established under the base of conformity matrices between performances reached by the solutions and specified requirements. These approaches becoming very quickly attached to technical solutions (the project owners and contracted entities for construction having, for different reasons, some difficulties to express real needs, which suppose a prospective and objective logic), there is mostly confusion between the notions of requirements (needs and operational constraints) and the performances (reachable results by the possible solutions). So it will be easier to specify such performance of a given radar, instead of taking the risk of expressing that on such horizon it will be essential to detect such group of persons walking in a forest close to a city where will be held international summits …. Only the real need is source of innovation of break (in the previous example, the requirement will imply the search for data merging from miscellaneous sensors). These classic approaches limit besides the point of view by being only interested in the environment in terms of interfaces and constraints, and therefore by losing the global vision on the system and on “systems of systems” to which it contributes: Now, only the notions such as “finality” and “global vision” can pretend to go to the sense of a justification and a validation of the exhaustiveness of the requirements. Finally, risks analyses (PDA, PRA, FMEA), are carried out by specialists, experts in their domains, during project development to secure the envisaged system: choices of conception being almost made, those analyses treat essentially risks generated by dysfunctions of the technical solutions. What succeeds to add “firewalls”, that complicates, even weakens the final system, while it should be the efficiency of the conception that allows to make from the upstream, the choices which guarantee the targeted levels of safety and security. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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2 Relevance of requirements and control of risks Why and how should relevance of requirements and the control of risks be correlated? “If we do not change our way of thinking, we shall not be capable of resolving the problems which we create with our current modes of thought” (Albert EINSTEIN) A systematic approach is proposed which replaces the requirements at the functional level, by anticipating, from start-up, the consideration of the services in the various modes and the states of the system. Only a structured and prospective method of study of need, then rigorous declension of this need in term of functions and constraints can supply the development frame. It is then a question of encircling the real justification of the system or its component, while leaving free the field of the possible in terms of solution: needs, functions and constraints are independent from solutions, and more stable than them, on the condition of approaching them with a systematic approach. The risk control is therefore developed on a systemic and functional background which is supported by a “Defence in Depth” approach. 2.1 The term “holistic” Is the term “holistic” not often wrongly used? The “theory of the systems”, which refers to a scientific context, and formulates in terms of mathematics and physical appearance (physics) (Wiener, Channon) The Systemic approach, or “science of the systems”, which refers to a way of modelling a reality perceived or conceived as complex, in order to lead the thinking towards the efficiency of the decision and the action (H. Simon, J. de Rosnay, J. Mélèse, J-L Lemoigne). The System Engineering, which refers to some form of collaborative interdisciplinary processes during a system definition, which satisfies an identified need, by trying to balance the global economy of the solution on all the aspects of the problem, and in all the phases of system life, The System analysis, which is only one among others of the processes of the system life cycle (refer to the EIA 632), and which has for purpose to replace at the global level the study of the conflicts (contradictory requirements, alternative solutions) and to propose compromises in order to optimize quality, costs and deadlines of a program or a project. 2.2 The expression “functional analysis” The same confusion applies for the expression “functional analysis” which recovers miscellaneous approaches. In System Engineering, this term concerns mostly the function breakdown in sub-functions and interfaces (within the framework of an essentially Cartesian approach), and is more similar to system operations analysis (what makes the system):

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540 The Sustainable World In creativity, it is sometimes associated to a brainstorming process, which can turn out perfectly unsuitable for the study of a complex system, in particular when the rigor of reasoning and the control of tools are not there … Anyway, in systematic approach and value analysis, this term also covers: The earlier phases of identification and structure of the finalities, the environments, the interactions with these environments, needs and constraints then their declension in functions and constraints that must be satisfied by the system (services to be returned - or “ sub-system of finalization” in the sense of the systemic). The design phases, through creative research of principles and a field of what is possible, the traceability between the purposes/functions/requirements, and their breakdowns, and through the choices of eligible or retained principles. 2.3 The defence in depth concept Risk control must itself be replaced in this global framework and not be restricted to system safety, which referring to the capacity of a system to return without failure the services specified for an interval of given time and in fixed conditions of use, limits itself generally to the notions of reliability, maintainability, availability of the system components and to the safety and security. The concept of defence in depth proposes this global vision by integrating:  all the potential final effects, that they are connected to the environments, to the provided services, to the property and personal integrity, to the company corporate image, etc...  the processes of prevention and protection, as well as those of safeguard, of crisis management, of recuperation and system recovery. The defence system identification and analysis approach which is developed by the Authors of this presentation is clearly embedded in this “Holistic process for Risk Control”.  Defence in depth is focused on the control of final effects within the limits of acceptability defined with regard to elements considered as sensitive.  Dangers and therefore the risks of exposure to such dangers are inherent to the system and its environment. The levels of acceptability for final effects are duly part of decisions made at a “political” level.  The notion of depth takes its entire meaning in the structured and hierarchic implementation of defence actions to avoid or limit the consequences and prevent the combined creation of other effects on one or more sensitive elements. The defence functions result from system functional analyses, and are expressed according to systems and implied entities: attackers, potentially aggressive flows, sensitive elements, whether they belong truly or partially to the system or are fully external. The rigor of system functional analysis does guarantee to get an exhaustive list of undesired contexts and thereby structures the initiating events that classical risk analyses do not allow. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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The defence system architecture is supported by a systems engineering process and includes three levels:  A first level of structure by lines of defence, comparable to the definition of functional architecture at a subsystem level,  The second level of structure by principles of action, comparable to the definition of logical architecture of the defence system,  The third level of structure by means of action, comparable to the definition of technical architecture of the defence system. The features of the system can be so specified then declined at the level of the defence elements: autonomy, activation, sequence of events, success or failure, elementary functions, for highlighting indicators of efficiency and precursors.

3 Development and illustration A typical function of a rail transportation system as the public address system (message for the passengers aboard trains) will serve here as a base to illustrate these approaches and bring answers to the questions raised in the introduction. On board PAS generally includes miscellaneous components such as public address units, amplifiers, loud speakers, which are all scattered along the various cars. The on board PA system is activated by the train driver when setting up his driving cab ready for departure. The second public address unit located in the other cab is then disconnected. The communication link is one way, from “train driver to passengers”. The functioning check is done at the time of preventive maintenance. Checks are equally carried out online to assess the “quality” of the announcement and feed an indicator monitoring process. When a failure occurs during a journey, the train can be changed at the end of his journey according to the availability of spare train. 3.1 A first approach for a functional and risks analysis The technical system has for object the one-way communication between the driver and the passengers. The main function may be defined as follows:  FP1: To allow the driver to deliver messages (sound) of service to the passengers inside the train.  This function must be fulfilled while respecting the other functions of the train (FC1) while ensuring protection against external aggressions (FC2).

Figure 1:

Generic configuration of PAS.

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Figure 2:

First representation of the on board public address function.

The requirements attached to the function are going to integrate criteria such as:    

the quality of the delivered message (content, speech, relevance, language), the sound level inside the cars (decibel, spatial distribution), the frequency of messages, system reconfiguration in case of failure (resiliency). Note that evolutions have taken place on recent rolling equipment, especially the possibility to activate pre-recorded messages, either by the driver or via traintrack communication. The driverless stocks can receive messages from the traffic control centre. The dangers assessments (FMECA type) are based on identified components failure scenarios.  the message is delivered by the driver but is not heard by the passengers (impact on the quality of service),  the message is delivered by the driver but is not understood, or not partially understood, by the passengers (impact on the quality of service, impact on the image of the company, the impact in term of passengers’ possible falls). 3.2 Second functional (more system oriented) approach To adopt a systemic approach supposes a change of logic of thinking: we hereby shall develop some aspects in order to illustrate the analyses which it engenders. 3.2.1 First axiom in systems analysis: understand the ultimate goals Applied to our example, the question becomes: in what purposes do we want “to allow the driver to deliver messages to the train passengers” (FP1)? C1 – NOMINAL OPERATION WITH PASSENGERS Besides the nominal mode of the system, the analysis also has to take into account needs:  In the failure modes for each of the previously listed functions, and  Also in environment degraded conditions while the concerned system is in nominal or failure mode. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 1. Function

Principles

Requirement

F1

To provide passengers with information for their travels

belongs to the quality of service and travel comfort

F2:

To prevent or resolve a passenger related undesired event during platform train transfer

F3

To protect passengers against aggressions during their travels To protect passengers from invasion of non revenue operations areas

By informing on the name of the next station, on the availability of lines in correspondence or the other means of transportation in interface, commercial information, or other Either by sending a message before train stops on the existence of “gaps” ( “Mind the gap” practiced in the UK), or the opening side of doors, Or by suggesting interventions of other passengers. By addressing messages related to the presence on board of risky passengers (such as pickpockets for example) By addressing messages on the arrival at terminals

F4

Figure 3:

belongs to the safety of passenger movement

belongs to the security of passenger movement. belongs to the safety of passenger movement and also to the infrastructures protection against potential passengers intrusions

Representation of functions for the on board PAS in a nominal operating context with passengers on board (APTE® method).

CD2 – DEGRADED MODES OF OPERATION FD1: In case of train evacuation in a station or in a tunnel, passengers must be informed and be given as precise as possible mandatory instructions. FD2: In case of not availability of the local devices of treatment of the platform - train accessibility, inform the passengers of the non-opening of the train doors. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

544 The Sustainable World Clearly this category lies in the field of “safety passenger’s movement” This functional analysis, which is more rigorous than the previous one makes obvious that:  The requirements attached to the on board Public Address System cannot be the same, depending on the functions to which it contributes (it is effectively very different to inform on the following station in normal operation or the station of correspondence and to deliver instructions in order to evacuate a train).  In risk analysis, unavailability or the misunderstanding of a message delivered by the driver can have unacceptable impacts following the cases. In these cases, PA functions, can take then the status of “Safety function”. It will then become necessary to specify:  The undesired contexts and the potential final effects (among which subsequent consequential effects),  The acceptability levels for the final effects, and thereby the safety levels to be targeted. Decisions made about those levels do determine the safety requirements. 3.2.2 Second axiom in systems analysis – understand the interactions with the environment Applied to our example one might wish to ask the question: Into which environments (functional, organisational and technical) does the onboard Public Address system integrate? Such subsystem previously considered and handled separately, also needs to be considered as part of a larger group of audiovisual media including functions related to:  Passenger routes within the infrastructures,  Passenger transfer between platforms and trains,  Trains movements. The need to communicate information to the passengers is not limited to the movement aboard the train. All the stages of the passenger progression inside the transport system are concerned, since its access to the system until its final destination. This global need of information to be supplied to the passengers is going to be analyzed according to a systemic approach and is going to lead to consider a system including audio and visual means which needs to serve both simultaneously needs for passengers and the operator’s constraints, while taking into account the various ways of functioning (nominal mode, failure modes, degraded conditions of environment). The functions become transverse and integrate all the interfaces. At the train level, the need of passenger’s information will also include the following functions:  To allow the passengers to communicate with the operator,  To allow the passengers to communicate with the outside of the transport system,·  To allow the station staff and line staff to communicate between themselves.

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Communication becomes bidirectional and such functionalities are also required for platform operation. The onboard PA system will have to interface adequately with the other functionalities. This approach noticeably evidences:  Interactions between the train PA and the platform PA, in particular during critical situations (train evacuation, station evacuation, passenger transfer problem, presence of aggressive passenger either within train or within platform), What coherence between messages delivered aboard the train and on the platform do we have to guarantee and for which situation? What priorities do we have to set up between types of messages, between the various sources?  Interactions between the PA system and other audiovisual means, such as the interphone and the video in the train, etc. The requirements will also have to take into account that the specified system must integrate into already existing equipments which is often the case due to programmed adjustments, and therefore specify interfaces with existing equipment in the various contexts of operations. According to the levels of safety and security defined by the operator, the functional analysis of the failure modes can lead to specify a “fallback” additional system with its own requirements in terms of services to be offered and of implementation. The issue of resilience is effectively raised in similar terms. In order to ensure the vital system functions continuity in crisis mode, in order to be able to restore the system stability when exiting the crisis, while limiting the final effects, imposes a culture and an anticipation of risks as soon as the first expression of finalities and needs within a combined systemenvironment approach. So, a breakdown of PA system may oblige the operator to order unloading of the passengers at the next station and to replace the failed train by a spare train. That supposes that the operator has spare train. This solution may not seem very efficient, considering on one side improvements made on equipment availability and on the other side the economical constraints which incite the Operator to decrease strongly the spare rate of trains. To improve the resilience potential it is mandatory to therefore consider other paths of solutions in regard to functions to fulfil, but also, to the final effect acceptability and risk of combination of effects: for example, the use of other information systems, the switching to the second PA unit located on the rear end of the train, other specific mode to be activated in those cases, etc, and at the origin, to be able to detect onboard PA failures.

4 How do these approaches bring elements of answers to the questions raised in the introduction? We shall mention here the key points for those approaches compared to the questions put in introduction of the present communication:

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How can we guarantee that needs and constraints identified in the client’s “Terms of Reference” represent the set of requirements pertaining to the various functions? And that they are optimised for the benefit of the targeted needs?

2

How to help the “client” in expressing the multiple aspects of their needs while establishing the required distance with the technical solutions? How to distinguish the safety functions?

3

4

5

How to prove that the same function can have different levels of safety according to the contexts of use? How to deal with a function featuring different levels of safety according to the contexts?

By carrying out a real systemic functional approach to focus the object of the study in relation to:  finalities he has to contribute,  envisaged context of operation  interface with the external environment  conditions and modes of functioning : nominal mode and contexts of use, failure modes, degraded situations (related to the environment). By finding the design choices allowing passing from the needs to the functionalities of the object, and to dispatch those needs in requirements By adopting an approach over passing the contractual point of view with a “client”. By avoiding pushing the customer towards solutions “on shelf” … By using a rigorous method to formulate the needs, By helping the client to adopt a more prospective approach and considering the system or equipment studied as a black box interacting with various environments. First of all by clarifying the meaning of the term “safety function” By making sure that the “customer” expressed well the levels of acceptability of the final effects, and that he defined the priorities:  The expected level of safety for a function of a system or for one of its inner subsystems is directly linked to the level of risks acceptability and potential final effects, what comes from decision made by the project owner.  For the same function, the safety level will vary depending on the system context adopted as a standpoint: So, the communication between the driver and passengers may, depending on the various system states, recover from the simple quality of service or from the safety and security of the passengers. By assessing each context as a standalone (each context is a standpoint) and then to only make the synthesis By reasoning at first at general principles of solutions, which appear to be in a limited number:  Then either in over sizing the solution with regard to the most constraining level of safety,  Or in developing adjusted solutions to each context (to which one transition management function will be associated).

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Table 2: 6

How to identify risks linked to inadequate respect or the insufficiency of requirements?

547

Continued.

By applying answers as per questions 1 to 6.  The main sources of danger and their associated risks can be identified early in an independent way from the solutions because they are linked to: interactions between the system (or subsystem) and its environments (system environment depending on operating contexts, or other subsystems in interaction), degraded situations within those environments at stake, and/or failure modes of functions expected in nominal situations for the element at stake.  They will then have to be completed by the risks which can be generated by: choices of retained principles, choices of functional architecture and correlated interfaces, choices of technical architecture and correlated interfaces. By applying a rigorous and wholesome method (such as Defence in Depth) with the intent to identify risk reduction dispositions, the related requirements and the ultimate goals. The analysis will thereby focus on the defence system and its characterization (typology of the elements of defence).

5 Conclusion Why do these approaches meet difficulties in merging into the present organisations? The single fact that rigorous processes are available for actors and keep improving just has a very evident interest only if they are actually applied to practical example. Today, the status of integration and the effective level of control of those approaches within the bodies remain very incomplete. Why is it so? This question raises, for a conclusion, the thought on the roles, interests and responsibilities of the various actors: who should rather use these approaches? who can or has to use them? in what contexts, for which objectives? A first answer, which demonstrated its efficiency on a certain number of projects, is to use these approaches to understand, reformulate and so validate Terms of Reference (ToR) of a project owner, specifications or risks analyses. We then apply another logic of reasoning, other than that of specification writers and designers, which is going to allow one to bring to light the lacks, the errors or ambiguities of requirements and apprehension of the risks. However, would not it be advisable to initiate that process earlier during the ToR specifications and risks analysis establishment? Should not we introduce into the programs additional files such as Justification of Needs, Justification of Risks, as well as Justification of Requirements, Justification of Definition? WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

548 The Sustainable World However, bringing some rigor of reasoning, that implies sometimes deep doubting for envisaged solutions, and working practices. By evidencing choices to be made, and thereby decisions to make and justify, such processes inevitably raise the question: “Who can decide what” and its subsequent question: “who wants to take the risk to decide what?”

References [1] Jean-Louis Lemoigne, La théorie du Système Général, Version 2006 (www.mcxapc.org) [2] Methodology of Defence Elements Identification within a Transport System (Alain Cointet - LAMBDAMU 14 Bourges) – Oct 2004, [3] Defence-in-Depth & Human Factors (Jean Marion & Alain Cointet ESREDA Ispra) Oct 2005, [4] Risk Management Policy based on the Defence-in-Depth Concept (Jacques Valancogne & Alain Cointet - HKRMS Hong Kong) Dec 2005, [5] Defence-in-Depth & Risk Analysis (Alain Cointet - SRA Orlando) Dec 2005, [6] Risk Control, Defence in Depth, Indicators & Precursors (Alain Cointet & Gilles Foinant – ATEC Paris) Feb 2006, [7] Catherine Laval & Alain Cointet, Defence in depth &System Engineering: A synergy for the benefit of a global approach of the risks and the responsibilities, - Congres λµ 15, October 2006.

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Rolling-stock change risk management: an innovative approach J. P. Bert & F. Jubert Department of Safety Control, RATP, Paris, France

Abstract The objective of this paper is to provide an empirical analysis of the difficulties encountered by drivers from a metro line in adopting a new type of rolling stock and to present the innovative process set up to accelerate this adoption. The introduction of a new type of train on a Paris metro line was met by some drivers with a sense of nervousness. Initial difficulties, in terms of training and braking, added to various technical problems, hindered the adoption, causing a genuine concern about driving the new trains. A rather superficial knowledge of the rolling stock made switching over to the new trains more difficult, leading to a fear of rejection of the new rolling stock by drivers and a prolonged delay of the processing of faults. Having identified those risks, the management of the metro line commissioned a report on human and organisational factors, with a view to identifying several management levers to facilitate switching to the new rolling stock. The initiative presented in this paper was started in this context. This innovative perspective, which aims at reducing the risks related to changing rolling stocks, derived from a meeting between a sociologist who graduated recently and a seasoned executive with a strong background in people management. This blend between theory and practical experience enabled one to build an innovative process, combining knowledge-management and operational marketing. Keywords: rolling-stock change, risk management, qualitative approach, knowledge-management, operational marketing.

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550 The Sustainable World

1 Introduction The study proposes an empirical analysis of the problems drivers from the Paris metro line 2 faced whilst switching over to a new type of rolling stock and describes in detail the innovative process set up to speed up this adoption. 1.1 Focus of the study Line 2 is one of 14 lines of the Paris metro. It follows a semicircular route in the northern part of Paris, by and large following the former outskirts boulevards. It was the second line to be opened in the capital: its first section was commissioned in December 1900 and it was completed in April 1903 in its current configuration between "Porte Dauphine" and "Nation" (fig.1). The line has remained unchanged ever since. It ranks #7 in terms of traffic and is 12.4 kilometres long. Up until 2006 the line consisted only of type MF67 trains. On the 17th of January 2007, a preproduction MF01 was introduced on the line in manual driving mode. MF01 units (fig.2) gradually replace the old MF67. Nevertheless, the introduction of this new type of train on the line gave rise to a kind of apprehension on behalf of drivers. A more superficial knowledge of the train hindered the adoption process, generating a fear of rejection of the new rolling stock by drivers and a prolonged delay of the processing of faults. Faced with these risks, the management of the line commissioned a report on human and organisational factors with a view to identifying several management levers to help with the adoption of the new train type. It was in this context that the work presented here was carried out.

Figure 1:

Figure 2:

Plan of line 2.

Exterior of the MF01.

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Table 1: Assignment station Position

551

Interviewed staff.

Nation

Porte Dauphine

Total

Drivers’ supervisors

1

2

3

Drivers

11

4

15

Total

12

6

18

1.2 Survey methodology About 15 informal interviews were carried out with drivers in their cabin in standard operation conditions. These interviews lasted between 30 and 40 minutes. Drivers were chosen randomly as trains arrived. More than 70% of the driver population present at the time on the line (tab.1) was interviewed. Several topics related to MF01 were addressed during those interviews: training, the strong and weak points of the train, and braking issues. Short notes summarising these points were then written shortly after each interview. Additional interviews are also conducted with drivers’ supervisors, in order to collect their opinion on the various types of training on the new train. 1.3 Presentation Taking over a new type of rolling stock always follows a learning curve that starts with training and ends when driving is fully mastered. In order to follow this evolution over time, the proposed analysis follows a chronological sequence. Initially it focuses on the problems encountered by train drivers when the first MF01 arrived on the line. It then describes the innovative process set up to speed up the adoption of this new type of train. Finally it addresses the results obtained using this approach.

2 A difficult start The early days of MF01 on line 2 were met with a kind of reluctance by drivers. Initial difficulties in terms of training and braking, added to various technical problems hindered the adoption of the train, causing a genuine fear about driving the new type of train. 2.1 Training issues Whilst the actual contents or the training was reasonably positively perceived by drivers, it failed to remove the last remaining worries about the new type of train. This residual fear was twofold: training was considered too short and some important technical points had not been addressed during the course.

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552 The Sustainable World 2.1.1 Training perceived as being too short Training sessions lasted four days. Then two rotations of driving under supervision on the new trains took place before drivers could drive on their own. These training sessions were considered too short by a majority of drivers who were interviewed. In fact, they found it too short to ensure that they were comfortable enough driving the train. Many mentioned in the interviews that they were uneasy during the initial months driving the new trains. One driver actually admitted he always took his training booklet in the cabin with him when he had to drive an MF01. 2.1.2 Technical points left unaddressed In the course of the interviews, it appeared surreptitiously that the operation of sandboxes used to restore the grip on MF01 was not known by all, including a driver's supervisor who had himself trained drivers. Actually, some drivers thought that the sanding process on MF01 was identical to that of MF67, which it is not. Besides, it seemed that the change in the lubrication system had not been addressed either. Actually, in the case of MF67, lubrication is carried out by a track lubrication system performed by just a few units whereas, in the case of MF01, it is performed by a wheel flange greaser which features on every single MF01 train. Both issues on the track-wheel interface had apparently not been addressed in training, yet they are essential in ensuring safety. 2.2 Different reactions on braking Many drivers acknowledged having encountered difficulties on grasping the braking behaviour of MF01 in operational use. They all mentioned the difference in perception between the old and new trains while slowing down with breaks. 2.2.1 Braking with MF67 One first behavioural difference between both types of trains was that operational braking on MF67 was performed by all five cars. Thus the driver had a feeling the train gripped the track. This reaction was distinctly noticeable while braking. When a loss in grip occurred while braking in standard operation conditions, MF67 would jam (wheels would jam, there would be a feeling of sliding) a phenomenon that could be identifiable instantly and trigger an immediate reaction from the driver. 2.2.2 Braking with MF01 As braking with MF01 in standard operational conditions applied only to three power cars, for a given breakage intensity, the train would rely more on grip than MF67. It is therefore more sensitive to deterioration of the grip in standard braking conditions. When faced with the same loss of grip than MF67, MF01, which is fitted with a jam-prevention system, optimises the intensity of braking in standard operation WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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conditions with respect to the available grip, thus giving the driver the feeling of limp braking, which does not call for reaction to recover the grip. In fact, the technical performance specific to each train accounted for the difference in sensation, the MF67 jerk being greater than that of MF01. It was this difference that initially led to the lack of confidence in the MF01's braking behaviour. 2.3 Various technical issues Various technical issues also hindered the early days of MF01. 2.3.1 Issues connected to door operations Issues of door closures on MF01 occurred first. These anomalies occurred in the event of heavy traffic. The pressure exerted by passengers on door wings prevented the doors from closing. As far as drivers were concerned, the pressure was too low, hence the need to perform several closing cycles before triggering the departure sound signal, causing a subsequent delay before the train could start again. 2.3.2 "Sliding" issues Besides, several sliding problems faced MF01 in controlled manual-driving mode caused long delays in stations however not causing a safety threat. Now these incidents, together with a discrepancy in perceived braking, contributed to a kind of apprehension regarding the behaviour of the new rolling stock. 2.4 Risks related to changing rolling stock Several difficulties upset the early days of MF01 on line 2, leading to a fear of extended delays in dealing with faults and worse still, the outright rejection of the new train by drivers. 2.4.1 An increased delay in the time dealing with faults The most experienced drivers, who often had the longest driving experience on the line, knew the "nooks and crannies of the MF67 by heart". Now, this "nook and cranny knowledge" could not be transposed to the MF01 owing to technological changes, from a wired technology to embedded computers, and also because technical training was considered less in-depth compared with that on MF67. This more superficial knowledge on MF01 accounted partly for the reluctance felt by drivers fearing faults and also difficulties they came across, to deal with them rapidly. 2.4.2 Rejecting the new train Beyond these difficulties related to dealing with faults, a more significant issue of the increasingly bad reputation of MF01 arose. The new train was increasingly perceived by drivers as being less safe than MF67, this being based on the

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554 The Sustainable World various incidents that occurred on the line. Many drivers actually threatened to stop driving new trains. On top of this, some drivers used the MF01 shortcomings for their own strategic goals. As it were, the introduction of this new type of train reshuffled the expertise level on trains: expert MF67 drivers were not necessary expert at driving MF01. To put it differently, the most experienced MF67 drivers had a lot to lose, in particular their expert status, which could lead them to exaggerate issues, thus disrupting the introduction of MF01. For them, this new train meant starting from scratch, going back to square one, which meant a drop in selfesteem which was difficult to accept and could lead to an outright rejection of MF01.

3 The proposed approach To alleviate these risks related to the change of rolling stock, we proposed an original approach to the management of the line. This innovative prospective resulted from the meeting between a sociologist who had recently graduated and a seasoned executive with a strong background in managing people. This blend between theory and practical experience allowed one to build an innovative process combining knowledge-management [1] and operational marketing. 3.1 A knowledge-management strategy The following proposals blend naturally in a global knowledge-management strategy, building on trained and technically competent supervisors/trainers. 3.1.1 Progressing by encouraging the involvement of drivers’ supervisors The various exchanges that took place between several departments within the company following the various issues of MF01, allowed to derive the first teachings. They seemed explicit enough to be conveyed directly to drivers' supervisors for them to convey them in turn to drivers in order to avoid various opinions that were often wrong as regards the occurrence of such and such an incident. It was a matter of being part the spearhead of a knowledge-management strategy, with a view to widening the scope of knowledge [2] of drivers' supervisors on the technical points that could be responsible for incidents. To put it differently, supervisors had to be provided with a framework of knowledgemanagement to allow them to reassure drivers about the behaviour of MF01 through consistent and rigorous technical explanations. The ultimate objective was to spread the relevant up-to-date information to every level in the hierarchy of the line. 3.1.2 Designing practical training The uneasiness about the processing of potential faults on MF01 that was identified in the course of interviews could be overcome thanks to enhanced practical training. Training, which had the unanimous backing of drivers, could in our opinion be used as a strong management tool allowing one to alleviate the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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residual fear on driving the new type of train. This is why seeing their numbers increase was a genuine benefit for all parties. As far as the content is concerned, it was beneficial to increase the training on the processing of faults that were most commonly met by drivers. Besides, we believed it necessary to provide a more in-depth technical insight on braking incidents, to delve into sanding and lubricating operations and finally to explain the difference in the braking perception in the light of the performance of both types of train used on the line. Increasing these practical training sessions on line 2 also required increasing the number of trainers. 3.2 An operational-marketing initiative Many drivers who had been interviewed felt they had not been heard when it came to the MF01 driving issues. They accused the management of the line of not being sensitive and not addressing the issue. However, tests were being carried out to solve the various braking and door closing issues. Following an operational-marketing approach in this matter [3] by focusing more on communication and by better publicising the various tests could alleviate the perceived reluctance to change thus alleviating growing tensions. This involved energetically emphasising and promoting the attempts by the management of the line to solve the technical issues in order to show to drivers that management cared about their concerns [4].

4 Results Once implemented, it did not take long for the first tangible results to appear and it could be said that today there are no adoption issues of MF01 as such. Following the recommended technical and practical training, drivers adapted driving to the specificities of the new train and now master it fully. Based on what they say, drivers have adjusted braking to the new train. Besides, the operational-marketing initiative carried out during the tests on braking and door closure allowed one to alleviate the budding tensions between drivers and the management of the line, thus preventing the risk of the new train being rejected. Finally, whilst adopting the new rolling stock started as a struggle, it finally succeeded nevertheless. The fact that a wide majority of drivers who were interviewed now prefer driving MF01 despite having blamed it previously is clear sign of this success.

References [1] Wright, K., "Personal knowledge management: supporting individual knowledge worker performance". Knowledge Management Research and Practice 3 (3): 156–165, 2005.

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556 The Sustainable World [2] Wenger, E., McDermott, R. & Synder, R., Cultivating Communities of Practice: A Guide to Managing Knowledge - Seven Principles for Cultivating Communities of Practice, Boston: Harvard Business School Press, 2002. [3] Kotler P., Le Marketing: de la théorie à la pratique, Editions Gaëtan Morin, 1991. [4] Kotler P., Dubois B. & Manceau D., Marketing Management, Publi-Union, 12e édition, 2006.

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Improving safety in Greek road tunnels K. Kirytopoulos1, A. Rentizelas2, I. Tatsiopoulos2 & K. Kazaras2 1 2

University of the Aegean, Greece National Technical University of Athens, Greece

Abstract Tunnels are regarded as one of the most important infrastructures in Europe, as they may improve the connection of regions and aid economic development through facilitating the transportation of people and goods. In order to achieve a minimum acceptable level of safety, the EC issued Directive 2004/54/EC, which describes specific safety measures that have to be taken for all road tunnels in the trans-European road network. In parallel, there are several qualitative or quantitative methods for measuring road tunnel safety, while the method that seems to be the most accepted by administrative authorities for quantitative risk analysis is the OECD/PIARC QRA Model (QRAM), which has been developed by INERIS, WS-Atkins and the Institute for Risk Research. QRAM is based on engineering software that aids quantitatively assessment of the societal risk due to transporting goods and dangerous goods with Heavy Goods Vehicles (HGV) through road tunnels. The aim of this paper is to expose the effectiveness of the measures imposed by the EC in Greek road tunnels. A typical road tunnel, as designed and implemented after Directive 2004/54/EC, is compared to the same tunnel as if it was developed before the Directive was put into action. The comparison is made on the basis of the societal risk existing in the two cases. The conclusion of the paper, based on the outcome of the risk analysis with the QRAM method, is that the safety of Greek Tunnels is significantly improved due to the implementation of the measures imposed by the EC Directive 2004/54/EC. Keywords: road tunnel, risk analysis, quantitative analysis, safety, dangerous goods, Greece.

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1 Introduction Road tunnels improve the connection between different regions by minimizing the time needed for travelling from one region to another. This is quite important for both transportation of individuals and goods. Moreover, tunnels may also lead to the economic development of those areas that were previously isolated. However, the increasing number of these important infrastructures is raising upfront an endogenous problem, which is the severity of accidents that may occur. The most important kind of accident in a road tunnels is fire, as it can lead to losses of users and furthermore it may cause significant damage to the infrastructure itself, along with the environment. The problem is amplified when dangerous goods are involved in accidents in road tunnels. The most important incidents relevant to road tunnels are considered to be the Mont Blanc and Tauern disasters (1999), the Kaprun tragedy (2000), the Gleinalm tunnel fire (2001) and St Gotthard tunnel fire (2001), which caused fatalities and severe traffic restrictions [4]. One of the most severe road tunnel accident until now is the Mont Blanc Tunnel disaster in 1999 which resulted in 39 fatalities and to the closure of the tunnel for three years [6]. Conclusions were that fatal consequences could have been greatly reduced by a more efficient organization of operational and emergency services. Right after the Mont Blanc Tunnel accident, the Tauern Tunnel disaster came to take place and led to a huge fire catastrophe with 12 fatalities [11]. Two other fires in road tunnels caused a significant number of casualties. The Gotthard Tunnel accident that led to 11 fatalities and the Gleinalm Tunnel accident that resulted in five fatalities [1]. The common characteristic of the aforementioned accidents is that all occurred in long (> 6km) single bore tunnels. Moreover, apart from the direct impact, these accidents led to traffic congestion in alternative routes and in turn, caused a further rise in accident risks [6] for many months or even years after the disaster. Due to these and other high impact accidents in road tunnels, the European Commission concluded, after years of consultations, to the Directive 2004/54/EC. The EU Directive entitled “minimum safety requirements for tunnels in the trans-European road network” is today one legislative text of major importance for EU countries, setting basic requirements for tunnels in the Trans-European Road Network. The EU Directive lays down a set of harmonised minimum safety standards dealing with the various organizational, structural, technical and operational aspects. The aim of the EU Directive is to ensure that all tunnels longer than 500 meters, whether in operation, under construction or at the design stage, comply with the new safety requirements. In order to achieve a minimum acceptable level of safety, the EU Directive suggests, apart from the measures imposed based on tunnel characteristics, the implementation of a risk analysis in cases such as the opening of a road tunnel to dangerous goods. However, the EU Directive does not indicate either the method for performing the risk analysis or the criteria for risk acceptance. Thus, each WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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country/administrative authority or even each tunnel manager may select the appropriate method of analysis as well as the criteria for risk acceptance. The method that seems to be the most widely accepted by administrative authorities for quantitative risk analysis is the OECD/PIARC QRA Model (QRAM). The QRAM not only assesses the risks from the transportation of dangerous goods in a quantitative way but it also evaluates the effect of the mitigation measures carried out in a specific road tunnel [17]. The research problem that this paper addresses is the improvement of safety in Greek road tunnels due to the adoption of the EU Directive. The research is based on the comparison of the societal risk existing in a typical road tunnel designed and implemented after the EU Directive to the societal risk existing in the same tunnel as if it was developed before the Directive was put into action. The method used in this work regarding the quantitative risk analysis and the societal risk assessment is the aforementioned QRAM. The rest of this paper is structured as follows. The second section presents the literature review for risk analysis in road tunnels and the use of QRAM. The third section provides information about the evolutions in the operational safety of Greek road tunnels whereas the fourth section is divided in two subsections dealing with the pilot case description and the QRAM results. The paper concludes with a discussion section which summarises the findings and makes some suggestions for further research.

2 Literature review Risk management entails the processes of risk identification, analysis, mitigation and follow up and for each process a set of potential tools exist to aid risk managers in their work [12]. Specifically for risk analysis, simulation is one of the mostly used tools [16, 18]. Risk analysis methods were initially developed quantitatively in the nuclear industry in the early 1970’s [15]. After two severe accidents with hazardous materials in chemical plants (Bhopal, Seveso) the risk analysis methods were adjusted to chemical plants in the late 1970’s [2]. In the context of transport, quantitative risk analysis was initially applied to transportation of hazardous materials and later to all transport. The fundamental steps in the risk analysis methods for these different applications are the same and involve the description of the system, the identification of hazards and the assessment of the frequency as well as the consequences of each hazard. Risk analysis for road tunnels produces a quantified risk expressed as an individual risk and a societal risk arising from the public’s aversion to high numbers of fatalities in a single accident [8]. A broad range of quantitative methods are available, thus the choice of the methods should be done by considering the respective advantages/disadvantages in the context of a specific situation [14]. However, one of the most widely accepted quantitative methods for measuring road tunnel safety is the QRAM that has been developed by INERIS, WS-Atkins and the Institute for Risk Research. The aim of the QRAM is to quantify the risks due to transport of dangerous goods on given routes of the road WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

560 The Sustainable World system. A complete assessment of the risks involved in transporting dangerous goods would require consideration of all kinds of dangerous materials and other general variables such as meteorological conditions. As the coverage of all circumstances is very difficult in practice, simplifications are made. Thus, the QRAM considers 13 accident scenarios. These accident scenarios (namely HGV fire 20 MW, HGV fire 100 MW, BLEEVE of LPG in cylinder, motor spirit pool fire, VCE of motor spirit, chlorine release, BLEEVE of LPG in bulk, VCE of LPG in bulk, torch fire of LPG in bulk, ammonia release, acrolein in bulk release, acrolein in cylinders release, BLEEVE of carbon dioxide in bulk) are representative of the groupings of dangerous goods as described in the proposed regulations of PIARC [13] and have been chosen to examine different severe effects such as overpressure, thermal effect and toxicity [9]. The QRAM methodology is based on the following steps [17]. 1. Choice of a restricted number of dangerous goods 2. Choice of representative accidental scenarios implying those dangerous goods 3. Identification of physical effects of those scenarios for a tunnel section 4. Evaluation of their physiological effects on road users and on the local population taking into account the possibilities of escape/sheltering 5. Determination of yearly frequency of occurrence and relevant number of fatalities (+injuries) for each scenario The most important inputs of the model include: a) The infrastructure of the tunnel b) The mechanical and electrical installations of the tunnel c) Traffic data The outcome of the Model is the Individual Risk as well as the relevant F/N curves for fatalities and injuries [7]. F/N curves present graphically the frequency (F) of accidents with N or more victims, where N ranges upward from 1 to the maximum possible number of victims in the system [5]. The evaluation of the tunnel based on the F/N curves provided by the Model is usually made either on a comparative basis (comparison to alternative routes) or according to the positioning of the F/N curves compared to a threshold of non-tolerable risk. In this work, the safety of the examined tunnels is evaluated with respect to one another option. The version of the Model used in this work is the currently latest QRAM-DG 3.61 version. The model consists of spreadsheet-based tools and a Fortran program for some finer results. It is aimed at being simple to use, but experts may make changes to take account of specific situations or data [10]. The Model is already used in several European Countries [14] whereas in Greece, the use of the QRAM has been proposed by the Greek tunnel administrative authority as the most suitable method for risk analysis when transportation of dangerous goods is allowed through a tunnel. However, the proposal is still under approval process by the State. It must be mentioned that the literature concerning the use of the QRAM is not as extensive as one would expect, compared to the extent of its use. Most publications relevant to the QRAM refer to case studies. Thus, the research gap WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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identified here is that the evaluation of the effectiveness of the measures imposed by the EU Directive in the trans-European road network for the transportation of dangerous goods has not been studied as a standalone issue. It should be noted here that HGVs that do not carry dangerous goods but may lead to significant fires (greater than 20MW) when involved in an accident are taken into consideration by the QRAM. In this study only these types of HGV will be taken into account, thus the typical dangerous goods are excluded. This option has been followed so that this research could investigate the improvement in Greek road tunnels by the enforcement of the EU Directive even for cases where dangerous goods vehicles (DGVs) are not allowed in a tunnel. The improvement when DGVs are allowed in a tunnel is expected to be even broader.

3 Evolutions in the operational safety of Greek road tunnels The last decade many new roads and highways have been constructed, with many long tunnels due to the mountainous Greek terrain. In fact, Greece will be ranked fourth among EU-15 members in number of tunnels with length greater than 500m after the year 2010; therefore, it is only natural that the safety of road tunnels is an issue of crucial importance. Table 1:

Minimum safety measures enforced by the EU Directive.

Classes

Class 1

Class 2

Class 3

Class 4

Class 5

Tr <2000

Tr <2000

Tr >2000

Tr >2000

Tr >2000

L>1000

500
Corresponding 2004/54/EC category 500
L>3000

N

N

Every 500m

Every 500m

Every 500m

Cross-connections for emergency services

N

Every 1500m

N

Every 1500m

Every 1500m

Control centre

N

N

N

N

Y

N

N

N

N

Y

Y

Y

Y

Y

Y

Ventilation Mechanical Ventilation

N

N

N

Y

Y

Equipment Traffic signals before to close the entrance tunnel

N

Y

N

Y

Y

Traffic signals inside tunnel

N

N

N

N

Y

Radio re-broadcasting for emergency services

N

N

N

Y

Y

Monitoring Video systems Automatic detection/ detection

Incident fire

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562 The Sustainable World The EU Directive of 2004 changed deeply the way road tunnels are constructed in Greece. The mitigation measures of a new tunnel as required by the EU Directive are described in Table 1. However, it has been noticed that all the new tunnels built in Greece after the enforcement of the EU Directive are designed and equipped with much more safety features than required. It is indicative that a typical design consists of twin bore (uni-directional) tunnels with two lanes per tube and the typical characteristics showed in Table 2. On the contrary, the majority of Greek road Table 2:

Main characteristics of the tunnels examined.

Cases

Construction data

Structural measures

Monitoring systems

Ventilation

Equipment to close the tunnel

Case 1 (old specifications)

Case 2 (new specifications)

Length (m)

1500

1500

Type

Single-bore

Twin-bore

Lanes (per direction)

1

2

Gradient

0%

0%

Camber

2,50%

2,50%

Width (m) Open cross-sectional area (m2) Emergency exits

9,5 66

9,5 66

2 (every 500m)

3 (every 375m)

Cross-connections for emergency services Drainage open area (m2)

N

N

0,08

0,08

Drainage interval (m)

75

25

Control centre

N

Y

Video

N

Y

Automatic Incident detection and/or fire detection Emergency communications

Υ

Y

Υ

Y

Mechanical Ventilation

N

Y

Normal Operation (m3/s)

0

160

Emergency operation (m3/s)

0

220

Traffic signals before entrance

N

Y

Traffic signals inside tunnel

N

Υ

Radio re-broadcasting for emergency services Time to stop traffic (min)

N

Υ

180

5

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Table 3:

563

Detailed traffic-related data.

Traffic-related data HGV traffic (% of total traffic) Bus traffic (% of total traffic) Average number of persons in a car Average number of persons in a HGV Average number of persons in a bus/coach

9 1,5 1,85 1.17 40

tunnels in the past were bi-directional single bore tunnels with two lanes in total for both directions, equipped with neither mechanical ventilation, nor monitoring systems. Typical paradigms are the Vrachassi road tunnel in Crete, the Aetos tunnel in Arta and many others. Even in long tunnels with length more than 1000m and dense traffic volume the design and construction characteristics were similar to the aforementioned. Typical example of such a case was the tunnel of Artemissio in Peloponnesus.

4 Case study 4.1 Pilot case description The aim of the research is to expose the effectiveness of the measures imposed by the EU Directive of 2004 in Greek road tunnels. A typical road tunnel as designed and constructed after the EU Directive is compared to the same tunnel as if it was developed before the EU Directive was put into action. In Table 2 the main characteristics of both typical tunnels examined is presented. The comparison of the safety of the two typical tunnels is made regarding their societal risk for three different traffic volumes. The first is 5000 vehicles/day, the second is 9000 vehicles/day and the last is 15000 vehicles/day. Table 3 shows detailed traffic-related data that are common for the three traffic volume scenarios. This paper explores the safety of typical tunnels and not specific existing ones. Since the transportation of dangerous goods is forbidden in the majority of Greek road tunnels up to now, consideration is taken only for HGVs that do not carry dangerous goods but may lead to large fires, and therefore calculations are performed only for scenario 1 and scenario 2 of the QRAM. 4.2 QRA model results The following charts show the results of the QRAM for the three cases examined. In each chart the F/N curve of the “old” type of tunnel is compared to the F/N curve of the “new” type of tunnel, according to the assumed traffic volume. For traffic volume 5000 vehicle/day (case 1) for the typical tunnel with the old specifications, the expected value (fatalities+injuries per year) is 1,285E-2 whilst for the tunnel with the new specifications it is 1,344E-3. By this yardstick WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

564 The Sustainable World the level of safety of the “new” tunnel is almost 10 times (one grade of magnitude) higher than that of the “old” tunnel. As shown in Figure 1, the F/N curve of the new type tunnel lays well below the F/N curve of the old type for any given number of victims. Additionally, the maximum number of victims for the new type of tunnels is less than seven whereas for the old type may lead to more than 15 victims. In case 2, traffic volume is assumed to be 9000 vehicles/day. For the typical tunnel with the old specifications the expected value (fatalities+injuries per year) is 2,646E-2 while for the tunnel with the new specifications is 4,08E-3. By this yardstick the level of safety of the “new” tunnel is almost 6,5 times higher than that of the “old” tunnel. As shown in Figure 2, the F/N curve of the new type tunnel lays well below the F/N curve of the old type for any given number of victims. Additionally, the maximum number of victims for the new type of tunnels is almost 12 whereas for the old type may lead to more than 25 victims. Lastly, for traffic volume 15000 vehicles/day (case 3), for the typical tunnel with the old specifications the expected value (fatalities+injuries per year) is calculated as 5,325E-2, while for the tunnel with the new specifications it is 1,074E-2. By this yardstick the level of safety of the “new” tunnel is about 5 times higher than the “old” tunnel. As shown in Figure 3, the F/N curve of the new type tunnel lays well below the F/N curve of the old type up to 14 victims. For a number of victims ranging between 15 and 19 there is the same probability for both the “new” and the “old” tunnel. However, the maximum number of victims for the new type of tunnels is 19 whereas for the old type may lead to more than 40 victims.

r) 1,E+00 a e /y (1 y c n e u q 1,E-01 e rf d e t a l u m u C

Old Tunnel - EV = 1,285E-2

New Tunnel - EV = 1,344E-3

1,E-02

1,E-03

1,E-04

1,E-05 1

10

EV = Expected Value = Fatalities (+Injuries) / year

Figure 1:

Safety level comparison for traffic, 5000 vehicles/day.

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r) 1,E+00 a e y / 1 ( y c n e u q re f d 1,E-01 e t la u m u C

565

Old Tunnel - EV = 2,646E-2

New Tunnel - EV = 4,080E-3

1,E-02

1,E-03

1,E-04 1

10

100

EV = Expected Value = Fatalities (+Injuries) / year

Figure 2:

Safety level comparison for traffic, 9000 vehicles/day.

)r 1,E+00 a e y / 1 ( y c n e u q e fr d 1,E-01 te la u m u C

Old Tunnel - EV = 5,325E-2

New Tunnel - EV = 1,074E-2

1,E-02

1,E-03

1,E-04 1

10

EV = Expected Value = Fatalities (+Injuries) / year

Figure 3:

Safety level comparison for traffic, 15000 vehicles/day.

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5 Conclusions and further research For all the examined cases the typical Greek tunnel designed or/and constructed after the adoption of the EU Directive has a higher level of safety than the same tunnel as if it was constructed before the implementation of the Directive. It is therefore deduced that the safety measures imposed by the EU significantly improved the safety of Greek road tunnels. Although the implementation of the EU Directive seems to improve the safety level of road tunnels in the trans-European road network, an interesting further investigation would be to explore the sufficiency of the minimum tunnel safety measures imposed by the EU Directive. Another controversial area for further investigation is whether the traditional way of risk assessment is sufficient for human-technical systems such as road tunnels. Traditional risk assessment techniques are neither dynamic nor systemic enough to cope with the danger arising from humans’ actions in such systems. The investigation of new risk assessment techniques in human technical systems would therefore have great scientific interest.

References [1] Carvel, R., Beard, N., Jowitt, W. and Drysdale, D., Fire Size and Fire Spread in Tunnels with Longitudinal Ventilation Systems, Journal of Fire Sciences 23, 485-518, 2005. [2] COVO, Risk analysis of six potentially hazardous industrial objects in the Rijnmond area, Dordrecht Reidel, 1982. [3] EC, Directive on minimum safety requirements for tunnels in the transEuropean road network, Official Journal of the European Union, L 167, 2004. [4] European Thematic Network Fire in Tunnels, Fire in Tunnels General Report, WTCB, Brussels, Belgium, 2007 [5] Evans, A., Transport fatal accidents and FN-curves 1967-2001, Research report 073 for the Health and Safety Executive, University College London, UK, 2003. [6] Haack, A., Current safety issues in traffic tunnels, Tunnelling and Underground Space Technology, 17, 117-127, 2002. [7] INERIS, Transport of Dangerous goods through road tunnels Quantitative Risk Assessment Model (v. 3.60 and v. 3.61) Reference Manual, Verneuilen-Halatte, France, 2005. [8] Khoury, G.A and Molag, M., Actual time tunnel safety-A new approach, Tunnels and Tunnelling International, pp 46-48, 2005. [9] Knoflacher H., Pfaffenbichler P.C. and Nussbaumer H., Quantitative Risk Assessment of Heavy Goods Vehicle Transport through Tunnels - the Tauerntunnel Case Study, 1st International Conference Tunnel Safety and Ventilation, Graz, 2002. [10] Lacroix, D., Cassini, P., Hall, R. and Saccomanno, F., Transport of dangerous goods through road tunnels: an integrated qra model developed WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[11] [12] [13] [14] [15] [16] [17] [18]

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under the joint oecd/piarc project ERS2, International ESReDA Seminar, Oslo, 1999. Leitner, A., The fire catastrophe in the Tauern Tunnel: experience and conclusions for the Austrian guidelines, Tunnelling and Underground Space Technology, 16, 217-223, 2001. Leopoulos, V., Kirytopoulos, K., and Malandrakis, C., Risk management for SMEs: Tools to use and how, Production Planning and Control 17 (3), 322-332, 2006. OECD, Safety in tunnels – Transport of dangerous goods through road tunnels, Organization for Economic Co-operation and Development OECD Publications, Paris, 2001. PIARC, Risk analysis for road tunnels, World Road Association (PIARC), France, 2008. Rasmussen, NC., Reactor Safety Study, Nuclear Regulatory Commission Document WASH-1400, NUREG 75/014, 1975. Rentizelas, A., Tziralis, G., Kirytopoulos, K., Incorporating uncertainty in optimal investment decisions, World Review of Entrepreneurship, Management and Sustainable Development 3 (3-4), 273-283, 2007 SAFE-T, Appendix 1: Tools for Probabilistic risk assessment, SAFE-T research project report, 2008. Tziralis, G., Kirytopoulos, K., Rentizelas, A. and Tatsiopoulos, I., Holistic investment assessment: Optimization, risk appraisal and decision making, Managerial and Decision Economics 30 (6), 393-403, 2009.

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Application of a genetic algorithm to reduce the search time for traffic signal control H. Kazama1 , H. Mochizuki2, S. Takahashi2 & H. Nakamura2 1 Kyosan

2 College

Electric Manufacturing Co., Ltd., Japan of Science & Technology, Nihon University, Japan

Abstract In order to minimize average travel time (ATT) through traffic signals, a traffic parameter offset and optimized offset pattern are discussed. For practical use, the search time of the optimized offset pattern should be as short as possible. To this end, a genetic algorithm is introduced. In the conventional method of searching for an optimal solution, a target fitness value is not given, making it extremely difficult to reduce the search time. To overcome this problem, here we introduce a new method that depends on the ATT distribution characteristics and that derives the target fitness value by using the target road parameters. In addition, the effectiveness of the method is illustrated with a case study. Keywords: traffic signal, genetic algorithm, offset, search time, average travel time.

1 Introduction One method of searching for an optimal solution is a genetic algorithm (GA). If a GA is given a target value of the optimal solution, it can be terminated upon reaching that solution; however, if the target value is unknown, a method such as treating the convergence conditions of the solution search as a basis for terminating the algorithm, or treating the best solution obtained during several trials as the “found solution” can be adopted. In either case, however, if the target value is unknown, it inevitably takes a long time for the simulation compared with the case where the target value is known. We investigated optimization of systematic traffic signal control using a GA. In this problem too, no target value of the optimal solution is given, and the best solution obtained during a large number of trials is treated as the “optimal WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100521

570 The Sustainable World solution” [1]. Because the optimal solution is not knowable, it is considered appropriate to describe the solution obtained in these cases as a quasi-optimal solution in the strict sense; however, here we call it the optimal solution without making such a distinction. Optimal control of road traffic signals, which are one form of social infrastructure, is important from the standpoint of safeguarding the environment and achieving energy savings, and there has been a great deal of research on this topic [2]. There are three control parameters of traffic signals: cycle length, split, and offset. Cycle length is the time required for a signal to display a complete sequence, that is, the time from start of the current green indication to the start of the next green indication, generally expressed in seconds. Split is the length of time assigned to the green indication during the cycle time, expressed in seconds or as a percentage of the cycle length. Offset represents the time lag for commencing the green indication between adjacent signals, expressed in seconds or as a percentage of the cycle length. Cycle length and split are control parameters of independent signals, but in systematic control involving adjacent signals and multiple signals, offset is used as an additional control parameter. In systematic control optimization, there are also issues such as division of the road system and assigning system-wide cycle lengths for individual roads; however, the basic concepts have already been shown [3] and are now in practical use. From the combination of offsets at each intersection, the problem of obtaining the offset combination that ensures smooth traffic flow is the key issue. However, the process of determining the signal control parameters for oversaturated traffic conditions is influenced by government policies on traffic management, and therefore, the subject of this study was non-saturated traffic. The model road studied here has 21 intersections. If it is assumed that the offset can be set to 100 values from 0% to 99%, the solution search space becomes enormous; therefore, the optimal offset combination was sought using a GA. In the search for this optimal solution, the solution was calculated with the average travel time in both traffic flow directions defined as an evaluation metric, and its reciprocal defined as the fitness value. However, as described above, because a target value of the fitness, which is a function for evaluating the solution, is unknown, in order to obtain a solution in a practical amount of time, a method for reducing the simulation time is required. In this study, noting that the fitness distribution when offset patterns are randomly given follows a probability distribution, we decided to obtain the fitness target value using road data of the simulated road as parameters, and we successfully reduced the simulation time.

2 Searching for an optimal (quasi-optimal) offset using a genetic algorithm The number of offset combinations becomes enormous as the number of signals increases. For example, for a road having 21 intersections, as shown in fig. 1, the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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1

21

2

: Traffic signal

Figure 1: The model road.

offset for each intersection has 100 patterns, from 0% to 99%, and the number of combinations is 10021, so it is impossible in practice to evaluate all of them to find the optimal offset combination. In this study, therefore, we investigated the use of a genetic algorithm (GA). On the other hand, one simple method currently used in calculating the offsets in practice involves limiting offsets to basically two values, 0% and 50%, using the concept of link round-trip required travel time [3]. In brief, the blockage or passage of traffic flow according to the offset is obtained by simulation, and the flow is plotted on a time-space graph; the planner then decides the offset pattern by iterating a method involving fine adjustment of the offsets particularly for intersections where flow is obstructed, followed by re-simulation. However, this planning requires manpower, takes time, and the obtained offsets may or may not be optimal. Because the workload involved is high, once this offset pattern is set, unless there is a serious problem, it remains in use for a long time. To overcome this problem, our goal is to realize optimal signal control according to the traffic flow by automatically calculating the offset pattern in response to changes in traffic flow conditions. In traffic control centers, measured values of the traffic flow volume etc. are obtained every 2.5 to 5 minutes. Even at midsized traffic control centers, there are 500 to 1000 signal intersections, and even unit roads for systematic control, known as sub-areas, may include as many as 100 to 200 roads, and in practice, the time required to search for optimal offsets is multiplied by the number of roads. In addition, central processing units in the traffic control center are not used exclusively for offset searching, and therefore, there is a demand to substantially reduce the time required to search for the optimal solution in order to allow them to function in real-time systems. The simulator employed in this study is what we call ”Smooth-Kun 2”. The Architecture of the simulator is shown in fig. 2. It is constructed of a traffic simulator that calculates fitness values for vehicles traveling under the control of signals according to the supplied offsets, as well as a GA engine that performs a sequence of processes, such as evaluation, selection, crossing, and mutation based on the fitness values obtained from the traffic simulator. As the fitness values calculated by the traffic simulator, we used the reciprocal of the average travel time (ATT), which is the average value of the travel time of all vehicles. In the offset evaluation, rather than just a simple travel time, a journey with a small number of stops in response to signals for the same travel time was considered to be better, and to take this into account in the calculation of the average travel time [3], 30 s was added to the travel time as a penalty for each WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Traffic simulator Fitness value

1 ATT

Individuals given an offset pattern

GA engine Figure 2: Architecture of simulator ”Smooth-Kun 2”. stop. The fitness value is given by: fitnessvalue = 1/AT T

(1)

where AT T =

N 1  (Ti + 30 × Si ) N i= 1

(2)

Here, the parameters are: Ti : travel time of the i-th vehicle (including actual waiting time at stop signals), Si : number of stops of the i-th vehicle, and N : total number of vehicles in both directions. The genes in the GA corresponded to the arrangement of offsets for each signal, and the optimal offset combination was sought by iterating for a fixed number of generations. An example of the results is shown in fig. 3 [1]. From fig. 3, in the GA search, it was found that the ATT converges to an optimal solution as the number of generations increases, but the rate at which it converges is generally unclear. Ideally, all roads should converge to an optimal solution within the observation period of the traffic conditions; however, because of issues such as the computational performance of the computers that implement the GA, and because the target value of the evaluation function is essentially unknown, there is a limit to the reduction in search time, while necessarily depending on the method used, such as iteratively executing the calculation and terminating it when an improvement in the solution is no longer seen. From the example results in fig. 3, the average travel time (ATT), which corresponds to the reciprocal of the fitness value, converges to about 610 s after about 550 generations. This means that, if a target value of about 610 s could be estimated prior to searching, there is a possibility of substantially reducing the search time. To implement this technique, it is necessary to estimate a value of the ATT (target ATT) which gives the target fitness value, indicating the degree of fitness of the solution, as the basis for terminating the GA calculation from the given conditions. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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800 Offset calculated by GA Zero offset

750

ATT[s] ]s

700

[ T T A 650

600

550 0

200

400 600 Generation number

800

1000

Figure 3: ATT versus generation number.

3 Possibility of estimating target ATT To estimate the target ATT, it is necessary to ascertain the kind of distribution exhibited by the ATTs for random offset patterns in the solution space for the target road. If the details of the ATT distribution can be determined, there is a possibility of estimating in advance the optimal ATT obtained in the optimal offset search time as the target ATT based on that distribution. From this standpoint, we attempted to derive a general expression for estimating the target ATT, by considering an application to searching for an optimal offset. In estimating this ATT distribution, a generalized approach is preferred, rather than focusing on a specific road. We decided to vary the parameters characterizing the road (called traffic parameters) to derive an estimation formula that does not depend on the road. The traffic parameters used in this study are explained here. There are many traffic parameters that are considered to have an influence on the ATT characteristics. Of these, we focus on the total road length, the number of signals, the average link length, the link length variation, and the traffic demand factor, which expresses the level of traffic flow. The cycle length and the travel speed can be dependently inferred from the influence of the average link length with the concept of link roundtrip required travel time, and therefore, they were treated as fixed values. Also, regarding the split, because its proportional relation with the stopping probability is clear, it too was treated as a fixed value and was excluded from the scope of analysis here. As the link length variation in this study, the standard deviation of the link length was defined as the link deviation. ATT increases as the total road length L increases, which also influences the number of intersections. Therefore, to perform a comparison by varying the traffic parameters, it is not appropriate to make direct use of the ATT value. Thus, we decided to normalize the ATT to enable comparison between them. To normalize the ATT, the travel time required to pass through all intersections without encountering any stop signals was defined as 0, and the travel time required when a vehicle is stopped by the signals at all intersections was defined as 1. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Traffic demand factor

10 %

Traffic demand factor

20 %

Traffic demand factor

30 %

Frequency

0.6 0.5 0.4 cy n u req F

0.3 0.2 0.1 0 0

0.1

0.2

0.3

0.4

0.5 0.6 Normalized ATT

0.7

0.8

0.9

1

Figure 4: Normalized ATT distributions obtained by varying the traffic demand factor.

3.1 Effect of demand factor The demand factor was varied in steps of 10% in the range 10-30%, and the ATT distribution for randomly produced offsets was normalized and is plotted in fig. 4. From fig. 4, we find that the distributions for all demand factors take a form resembling a normal distribution. The number of vehicle groups experiencing saturated flow tends to increase as the demand factor increases; therefore, because the signal stopping probability increases, the distribution also shifts in the direction of increasing normalized ATT. 3.2 Effect of link deviation The ATT distribution was calculated while varying the link deviation. The ATT was calculated for roads in the case where the link deviation was set to 0 m and approximately 200 m, from a reference time. Because there are multiple combinations of link length when the link deviation is approximately 200 m, we examined the following two patterns, the results of which are shown in fig. 5: Link pattern 1 (0:362:766:260:612m) Link pattern 2 (0:317:790:311:582m) From fig. 5, all the distributions approximated normal distributions, and when the link deviation was large, the variation was also large, and the standard deviation of the distribution increased. 3.3 Effect of average link length and number of intersections Next, we looked at the ATT distribution for random offsets when the average link length was varied. Because the average link length is determined by two parameters, namely, the total road length and the number of intersections (number of links), both of them were varied to obtain the ATT distribution. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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0.4 Link variation 0 m 0.35

Link variation 200 m (1) Link variation 200 m (2)

Frequency

0.3 0.25 yc ne u 0.2 qe r F0.15 0.1 0.05 0 0

0.1

0.2

0.3

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Figure 5: Normalized ATT distributions obtained by varying the link variation. 0.4 Total road length 1000 m 0.35

Total road length 1600 m

0.3

Total road length 2000 m

Frequency

0.25 0.2 0.15 cy n u req F

0.1 0.05 0 0

0.1

0.2

0.3

0.4

0.5 0.6 Normalized ATT

0.7

0.8

0.9

1

Figure 6: Normalized ATT distributions obtained by varying the total road length.

First, variation of the average link length was achieved by varying the total road length. The number of links was fixed at a reference value, and the total road lengths were set to 1400 m, 1600 m, and 1800 m. The resulting average link lengths were 350 m, 400 m, and 450 m. The ATT was calculated for the road in each case, and the results obtained for the normalized ATT are shown in fig. 6. From fig. 6, the distributions took a form resembling a normal distribution also for the case of varying the total road length. Moreover, although the center value did not vary, the distributions showed a smaller variation as the total road length increased. In contrast, the results for the ATT distributions when the number of links was varied, keeping the road length unchanged, and when the average link length was varied are shown in fig. 7. In this analysis, by keeping the total road length fixed and setting the number of links to 5 and 8, the average link length was varied, taking values of 400 m and 250 m, respectively. From fig. 7, the frequency distribution of the normalized ATT could be approximated by a normal distribution also in the case where the number of links was WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Number of traffic signals

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8

Frequency

0.25 0.2 cy n u req F

0.15

0.1 0.05 0 0

0.1

0.2

0.3

0.4

0.5 0.6 0.7 Normalized ATT

0.8

0.9

1

Figure 7: Normalized ATT distributions obtained by varying the number of links.

varied. In addition, although the distribution showed a large variation as the number of links was increased, no large variation was observed in the center value. From the above results, for the ATT distributions in the case where random offsets were applied and four parameters were varied, the center value of the distribution changed when the demand factor was varied; however, when the demand factor was constant, even when the road length, the number of links, etc. were varied, the center value was substantially the same, and only the variation of the distribution was affected. These findings were elucidated by introducing the concept of normalized ATT. We found that the ATT distribution obtained when giving random offset patterns was a normal distribution. To derive a target ATT on the basis of the normal distribution, the center value and standard deviation of the distribution should be obtained. Thus, we examined a method of calculating the center value and standard deviation from the demand factor and road parameters.

4 Normal distribution and parameters Given that the normalized ATT can take a form resembling a normal distribution, the data is plotted on a normal probability plot to determine the center value and the standard deviation. The normal probability plot, in which the normalized ATT is plotted on the horizontal axis and the cumulative probability (Z value) on the vertical axis, shows that the straighter the line, the closer the data fits a normal distribution. The intersection with the horizontal axis represents the mean of the distribution, and the gradient corresponds to the standard deviation of the distribution. First, fig. 8 shows the results of the normal probability plot for the ATT distribution obtained while varying the demand factor. From fig. 8, the ATT distributions obtained while varying the demand factor shows substantially linear characteristics in the region ±2. The standard deviation increases as the demand factor is increased, and the mean also increases. Additionally, as the demand factor increases, the distribution becomes more linear. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Traffic demand factor

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Traffic demand factor

30 %

Z value

1 0 0 value Z

0.1

0.2

0.3

0.4

0.5

0.6

0.7

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0.9

1

-1 -2 -3 -4 Normalized ATT

Figure 8: Z value characteristics obtained by varying the traffic demand factor. 4 3 2

Link variation

0m

Link variation

200 m (1)

Link variation

200 m (2)

Z value

1 0 0 e alu v Z

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1

-1 -2 -3 -4 Normalized ATT

Figure 9: Z value characteristics obtained by varying the link variation.

Similarly, the results of the normal probability plot for the ATT distribution obtained while varying the link deviation are shown in fig. 9. From fig. 9, there is a small variation in the distribution when the link deviation is 0, and the mean remains at approximately the same value even when the deviation differs. For a link deviation of 200, an interesting result was obtained in that, although the deviation is the same, two cases occur where the value differs, but they are both the same distribution. In addition, we performed analysis by changing the number of links without changing the ATT distribution or the road length, while varying the average link length according to the total road length, and determined the relationships between them. Based on the results of these analyses, we attempted to derive a general formula for estimating the ATT distribution.

5 Derivation of formula for estimating ATT distribution by multivariate analysis From the results of our investigation thus far, the ATT distribution obtained by varying the traffic parameters that we focused on can be considered a normal WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

578 The Sustainable World distribution. Therefore, to derive a formula for estimating the ATT distribution, two formulae should be derived, one for estimating the mean and one for estimating the standard deviation. Assuming that the various traffic parameters are independent of each other, we attempt to estimate the mean and standard deviation of the ATT distribution using multivariate analysis in which each estimated value is simply linearly combined. Defining X1 as the average link length, X2 as the number of links, X3 as the link deviation, and X4 as the demand factor, the formula derived for the mean, μ, obtained by multivariate analysis is shown in (3) , and the formula derived for the standard deviation, σ , is shown in (4): μ = 7.49 × 10−5X1 − 0.01X2 − 2.37 × 10−6X3 + 0.76X4 + 0.36

(3)

σ = −0.2 × 10−3X1 − 0.59 × 10−2X2 −4.22 × 10−5X3 − 0.15X4 + 0.21

(4)

In order to determine the validity of these formulae, we investigated the estimated values obtained with the derived formulae and the distribution obtained with the traffic simulator using the coefficient of determination R2. The results of investigation for the mean of the ATT distribution are shown in fig. 10, and the results of investigation for the standard deviation are shown in fig. 11. From these results, in the means of the ATT distribution, a high correlation of about R2 = 0.97 was obtained between the calculated value and the estimated value. In addition, a high correlation of about R2 = 0.91 was also obtained for the standard deviations. From these findings, the assumption that the various traffic parameters are all independent is valid, demonstrating that the mean and standard deviation of the normalized ATT can be calculated using the traffic parameters.

0.7

0.968

Estimation value

0.6

0.5

e lu v n ao stim E

0.4

0.3 0.3

0.4

0.5 Caluculated value

0.6

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aonvlue stim E

0.04 0.02 0.00 0.00

0.02

0.04

0.06 0.08 Caluculated value

0.10

0.12

Figure 11: Comparison of the standard deviation value.

6 Verification of method for reducing search time by estimating ATT distribution We verified the validity of applying this method to a target road containing 21 intersections. Because the converged value of the solution in the conventional search method is unknown, we adopted a method in which the calculation is terminated at a fixed number of generations, and the smallest solution obtained by performing this operation multiple times is selected. The total number of generations using the GA search was 10,000. In contrast, when estimating based on conditions involving the road parameters and the vehicle demand factor, the estimated optimal solution -3 away from the mean was 0.224 in the normalized ATT. In terms of the ATT, this corresponds to 610 s, and therefore, we performed a search with 610 s set as the termination condition for the GA search. As a result, the search time of about 85 minutes required in the conventional method was reduced to about 4.5 minutes. It was thus possible to achieve a substantial reduction in the search time, demonstrating the validity of the proposed method.

7 Conclusions The aim of our study was to substantially reduce the calculation time required to search for optimal control conditions of traffic signals using a genetic algorithm (GA). Our strategy was to derive a target ATT serving as a basis for terminating the GA calculation, from given conditions for the road under study. We examined the tendency of the ATT distributions in cases where four traffic parameters were varied for random offsets. As a result, for all of the parameters investigated, the ATT distributions were found to be close to normal distributions. Then, based on this finding, we attempted to derive estimation formulae for the mean and standard deviation of the ATT distribution by multivariate analysis, assuming that WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

580 The Sustainable World the ATT distribution is a normal distribution. As a result, although the demand factor needed to be considered in categories, it was possible to achieve a high correlation between the calculated value and the estimated value for the mean and the standard deviation. Also, as a result of conducting a case study based on these results, a substantial reduction in search time compared with a conventionally used GA search method was achieved, demonstrating the high potential of the proposed method. In future it should be possible to improve the precision by conducting more detailed case studies. In addition, once the precision is validated in practice, we will examine the possibility of applying our method to real-time processing software in actual systems for systematic control of traffic signals.

References [1] S. Takahashi, H. Kazama, T. Fujikura and H. Nakamura, ”Adaptive Search of an Optimal Offset for the Fluctuation of Traffic Flow Using Genetic Algorith”, The transactions of the Institute of Electrical Engineers of Japan. D,, vol. 123, no. 3, 2003, pp. 204–210. [2] G.E. Shoup and D. Bullock, ”Dynamic Offset Turning Procedure Using Travel Time Data”, Transportation Research Record, vol. 1683, no. 99-1086, 1999, pp. 84–94. [3] Manual on Traffic Signal Control (Revised Edition), Japan Society of Traffic Engineers, 2006.

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Study of car emissions in the Athens Restriction Ring from the mid 1980s to 2007 with a prediction scenario for 2011 using air quality indices A. Loster-Mańka1, K. Karkalis2, G. Arapis2 & M. Jedziniak1 1 2

KOMAG Institute of Mining Technology, Poland Agricultural University of Athens, Greece

Abstract The main objective of this paper is the analysis of the change in car emissions from 1986 to 2007 and by consequence, their impact on the general atmospheric conditions in the city of Athens in correlation with the Athens Traffic Restriction Ring. At the first stage, an observation of the increment of the vehicle fleet in the city of Athens from the mid 1980s to 2007 was made, and its impact on the atmospheric conditions was assessed. At the second stage, based on this data, a possible car fleet number in 2011 was predicted. The different traffic volume data, obtained and elaborated between the period 1986 and 2007, shows no significant increment of the traffic flow inside the Athens Restriction Ring. However, an increment of traffic volume (number of vehicles) was found in the observation points situated outside the Ring. Concentrations of particular pollutants (CO, NO, NO2, SO2 and PM10) decreased, despite the fact that the number of vehicles remained constant inside the Ring, due to new technology. The decrease is, most of the time, not sufficient to keep pollution levels in compliance with the EU legislation limits. A prediction for the year 2011 was made on the basis of the trend line obtained while using traffic volume data for the period between 1986 and 2007. For the year 2011, the number of cars inside the Athens Restriction Ring will not change. However, the trend outside the Ring shows the increment in traffic volume in the next two years. As a result of using COPERT IV, a strong correlation between vehicle emissions and pollution concentrations was found at a factor of 0.91. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100531

582 The Sustainable World Keywords: Athens Restriction Ring, air pollution, vehicle emission.

1 Introduction This study results from a cooperation action in the scientific and technical research in the field of transport called “Towards the definition of a measurable environmentally sustainable transport” (COST 356) [1]. Several members, coming from different countries all over Europe, are involved. The Action began on October 14, 2005 and finished in January 2010. Athens sprawls across the central plain of Attica at the Saronic Gulf and at the Northern part is surrounded by mountains. This specific location causes a problem with the free propagation of pollutants. A breeze coming from the sea during the day pushes the pollutants to the land and the mountains surrounding the city stop the pollutants. Additionally, high temperatures during summertime cause smog. The Athens Traffic Restriction Ring is a traffic measure that aims to alleviate environmental pollution, and the traffic congestion in the centre of Athens [2]. It means that defined central traffic roads in the city of Athens are restricted to circulation (from 07.00 to 20.00 during working days) by all private vehicles according to their matriculation plate last number. If the driver’s plate number of the vehicle ends with an even number, the given vehicle can circulate during the even calendar days of the running month. If the matriculation plate number of the vehicle ends with an odd number, the given vehicle can circulate during the odd calendar days of the running month. In exception are those private cars whose owners live inside the ring, rented cars, private cars used for special

Figure 1:

Athens Traffic Restriction Ring – the line shows the boundaries of the Ring.

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public services or emergency (for example doctors trying to reach a patient in case of emergency, or people trying to reach a hospital and so on) and finally all hybrid cars. Taxis and public buses have free access. The Ring has been used since 1982 as a measure for the control of smog and atmospheric pollution in the Greek capital. Apart from The Athens Traffic Restriction Ring, the use of diesel vehicles has also been restricted since 1982. Only taxis equipped with Diesel engines can move in the restriction ring. The physical boundaries of the traffic restriction ring coincide with the centre of Athens and are defined by the traffic roots/Avenues covering a surface of approximately 14.25 km2 (see Figure 1). The functional validity of the Athens Traffic Restriction Ring needs to be verified at present due to the fact that the Restriction Ring was updated in the 80s when there were about 400,000 cars in Athens [2]. This number has increased many times within last 20 years, changing the whole traffic structure of Athens. Even if the traffic in the city centre is somehow alleviated, the traffic in avenues that define the boundaries of The Ring increases due to over congestion. Since emissions are not stationary but flow all over the city, one could assume that the Restriction Ring increases smog instead of preventing it.

2 Methodology Information data as regards pollutants concentration and traffic intensity, used in the analysis, is collected from the measuring stations located inside Athens Restriction Ring, in its vicinity (1 km) and outside its border. It was assumed that such a selection of monitoring stations would enable determining the impact of Athens Traffic Restriction Ring on quality of local air. The measuring points were selected in such a way to have an access to information about traffic intensity near the measuring point at the same time. The monitoring station, for Table 1:

The location of stations in the monitoring network in Athens [5].

Station location

Pollutants measured SO2

NOX

CO

O3

x

x

x

x

Aristotelous (ARI)

x

x

Patision2) (PAT)

x

x

Athinas1) (ATH) 1)

2)

Goudi (GOU) Marousi3) (MAR)

PM10 x

x

x

x x

x

Meteo

x x

x

x

1)

x

x

The stations inside the Athens Restriction Ring; 2) the stations situated on the “border” of the Ring (1 km max distance); 3) the stations outside the Ring (over 1 km).

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584 The Sustainable World which comparison analysis (correlation between vehicle emission and pollution concentration) was made, was the station that provided most detailed information.         Data of concentration of pollutants [3, 4] due to the traffic in the Athens region have been collected and analyzed over the period from 1986 up to 2007 for the following 5 districts (see Table 1) in order to study the traffic volume possible impact on air pollution. The regions were: Athinas, Aristotelus, Patision, Goudi and Marousi. In the same manner, the data of traffic volumes from different avenues near the aforementioned pollution monitoring stations were collected in order to study changes and estimate future trends in traffic volume. The avenues where: Athinas, Aristotelous, 3rd Septemvriou Alexandras, Patision, Ilision, Kimis, Louis Olimpionikou Spirou. A statistical analysis was carried out in order to evaluate changes in traffic flow between 1986 and 2007 and to make prediction of possible traffic changes in the next two years (2009-2011). In order to estimate the vehicle emissions inside the Athens Restriction Ring the software COPERT IV was used [6, 7]. The model, developed within the framework of the activities of the European Topic Centre on Air Emissions, can be used by EEA member countries for the compilation of CORINAIR emission inventories.

3 Description of the main results obtained After having compared different collected data, it becomes evident that despite of an increase in the vehicle fleet from 400,000 vehicles to over 3,400,000 [8] in

Figure 2:

Levels of SO2 μg/m3 in the monitoring stations of Athinas, Marousi, Patision and Aristotelus.

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Figure 3:

Levels of NO2 μg/m3 in the monitoring stations of Athinas, Marousi, Patision and Aristotelus.

Figure 4:

Levels of PM10 μg/m3 in the monitoring stations of Marousi and Aristotelous.

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586 The Sustainable World the Greater Athens region these past decades (1980-2007), the traffic volumes inside the ring remain relatively constant. On the other hand, levels of pollutants, as monitored by the five urban traffic stations inside the Athens Restriction Ring, are most of the time above the limits of the EU [9] despite an upgrade in car fleet technology due to the European emission standards [10]. To compare, the average annual pollutants concentrations were used. The data collected for those regions inside the Athens Restriction Ring (e.g. Athinas – see Figure 5) indicate that the level of concentration of pollutants (for example NO2) has recorded values above the EU limits for all the years from 1986 to 2007. Traffic flow is maintained constant. The same applies to those regions situated in the distance less than one kilometre from the Athens Restriction Ring borders like Patision Avenue (Figure 6). On the other hand we can see that for areas that are in a relevant distance outside the Traffic Restriction Ring (over 1 km) like Marousi (Figure 7) the concentration levels (for example NO2) are quite stable, below the EU limits while the traffic volume of vehicles seems to be increasing in number from 1986 to 2007. In general, all the different traffic volume data obtained and elaborated over the period 1986 and 2007 show no significant increment of the traffic flow inside and on the borders of the Athens Restriction Ring. However, an increment of traffic volume (number of vehicles) has been found in the observation points situated outside the Ring. This is probably due to the fact that from the mid-eighties there has been an increase in the number of cars market sales in Greece and therefore in the Great Athens area. However, the traffic volumes inside the ring remain more or less constant for the same period. The engines of

Figure 5:

Levels of NO2 μg/m3 and traffic volume per year observed in the monitoring station point in Athinas Avenue.

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Figure 6:

Levels of NO2 μg/m3 and traffic volume per year observed in the monitoring station point of Patision.

Figure 7:

Levels of NO2 μg/m3 and traffic volume per year observed in the monitoring station point of Marousi.

the vehicles had been improved in the 1980s up to 2007, with reference to the European emission standards. This trend can be observed on the basis of the data from traffic pollution monitoring stations situated inside the Athens Restriction Ring. Concentrations of particular pollutants (CO, NO, NO2, SO2 and PM10) have decreased despite of the fact that the number of vehicles has remained constant inside the Ring. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

588 The Sustainable World This decrease is most of the time not sufficient in order to keep the pollution levels in compliance with the EU legislation limits [9]. In order to alleviate the atmospheric conditions in Athens a “Green” enhancement of the vehicles engine technology alone could prove to be insufficient in the long term if not supported by other solutions (for example: an expansion of the Metro lines, pedestrian zones, a further development of the sustainable public transport, bicycle paths, parks). A prediction for the year 2011 has been made on the basis of trend line obtained while using traffic volume data for the period over 1986 and 2007 (see Figure 5). For the year 2011, the number of cars inside the Athens Restriction Ring will not change. However, the trend remaining outside the ring shows the increment in traffic volume in the next 2 years (for Kimis and Olimpionikou an increase of approximately 18% and 10%). The calculation of vehicle emission has been made for a rough assessment of the Athens Traffic Restriction Ring’s ability to mitigate the concentration of pollutants inside the Ring. The obtained results show a correlation between vehicle emission and pollution concentration (see Figure 9). The comparison was made for data (traffic intensity, average annual NO2 concentration) from the same station. After processing the data using COPERT IV, it becomes obvious that there is a strong correlation between vehicle emission and pollution concentration, the correlation factor is 0.91.

Figure 8:

Estimation of future traffic volume on the basis of given data.

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Figure 9:

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Correlation between vehicle emission and pollution concentration for Aristotelous.

Proposal: Instead of using an alternation of odd-even numbers in the Athens Restriction Ring, the European emission standards could be used in order to control the frequency of private car vehicle access to the city centre as defined by the Restriction Ring.

4 Conclusions  Decrease of concentration of pollutants inside the Athens Restriction Ring has been found, despite the fact that the number of vehicles has remained constant. On the other hand, for those regions significantly distant from the ring borders (10 km), the traffic volume increases while the concentration of pollutants is relatively stable.  Inside the Athens Restriction Ring recorded concentrations of pollutants were over the EU limits for all years from 1986 to 2007. For the areas that are in a relevant distance from the traffic restriction ring (over 10 km) the concentration levels of for example NO2 are quite stable under the EU limits.  An increment of traffic volume in the year 2011 has been estimated. The number of cars inside the Athens Restriction Ring will not change. However, the trend remaining outside the Ring shows an increase of approximately 18% and 10%.  On the basis of statistical data and COPERT IV software, the vehicle emission inside the Athens Restriction Ring has been calculated. A strong correlation between vehicle emission and pollution concentration has been found. The correlation factor presented value of 0.91. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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References [1] Loster-Manka A., Karkalis K. & Arapis G., An example of impact assessment: Athens restriction ring. Indicators of environmental sustainability in transport: An interdisciplinary approach to methods,COST356 Final Report, pp. 307-311, not published yet [2] Athens Restriction Ring, Wikipedia, the free encyclopedia www.el.wikipedia.org/wiki/Δακτύλιος_Αθηνών [3] Ministry of Environment, Physical Planning and Public Works (Υ.ΠΕ.ΧΩ.ΔΕ). Ministry of Environment, Physical Planning and Public Works Web Site, Athens. www.minenv.gr/4/41/000/2 008i.atmosferiki.ripansi.stin.athina.ekthesi.2007.doc [4] Hellas in numbers. General Sectretariat Of National Statistical Service Of Greece. www.statistics.gr/eng_tables/hellas_in_numbers_EN.pdf [5] Air4EU city assessment for Athens; Air4EU. http://www.air4eu.nl/Word/CA_Athens.doc [6] Generalna Dyrekcja Dróg Krajowych i Autostrad (GDDKiA). Portal Ochrony Srodowiska Web Site, www.oos.pl/pliki/File/copert2/ ZalacznikNr4-v2.pdf [7] EMEP/CORINAIR Emission Inventory Guidebook – 2007; European Environment Agency (EEA). www.eea.europa.eu/publications/ EMEPCORINAIR5/B710vs6.0.pdf [8] National Statistical Service of Greece, Statistical Year Book of Greece, The Statistical Information and Publications Division: Pireas, Vol. 1984-2007 [9] Directive 2008/50/EC of the European Parliament and of the Council on ambient air quality and cleaner air for Europe; EUR-Lex, Official Journal of the European Union. www.eur-lex.europa.eu/LexUriServ/LexUriServ. do?uri=OJ:L:2008:152:0001:0044:EN:PDF [10] European emission standards. Wikipedia, the free encyclopedia. www.en.wikipedia.org/wiki/Euro_III

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Section 5 Sustainable tourism

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Sustainable tourism at mass tourist destinations: best practice from tourist producers in Europe A. Sörensson Mid Sweden University, Sweden and Åbo Akademi University, Finland

Abstract Within the tourism industry, a large focus has been made towards sustainable tourism since the 1990s. Sustainable tourism focuses on tourism from an economical, social and environmental aspect. There is a big consensus among politicians, tourist producers and researchers that the tourism industry should be sustainable. However, the question is how can this be reached? Previous research has not yet focused on the tourist producers’ perspective on sustainable tourism at different mass tourist destinations. The aim with this study was to examine how different tourist producers at different mass tourist destinations work with sustainable tourism as a strategic marketing tool in their tourism product development. The study was conducted with a qualitative approach using case studies. The data was collected during 2006–2009 from interviews with tourist producers and observations at the destinations. Four destinations were selected as cases in Europe: Rimini in Italy, Lloret de Mar and Granada in Spain and Gotland in Sweden. There was also a mix of different tourist producers at the destinations: hotels, restaurants, attractions and experiences. The result indicates that the destinations’ conditions have an impact on the tourist producers’ reasons for working with sustainable tourism. Sustainable tourism is used by the tourist producers as a strategic marketing tool but in different ways depending on the destination. There is a variation among the tourist producers between the destinations and they focus mainly on one of the three aspects within sustainable tourism. The result indicates that the different producers have different strategic agendas when working with sustainable tourism. Keywords: sustainable tourism, marketing, case study, mass tourism, tourist producer, tourism product development.

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1 Introduction Tourism is one of the fastest growing sectors in Europe and has been a prioritised area for the European commission since the mid-1990s. The tourism sector is Europe’s largest industry, with over 60% of all tourism in the world, and it is expected to grow even more. Resources within tourism are limited due to natural, economic, social and cultural aspects and will not survive continued growth. Demands are being made by the European Union that the necessary steps are to be taken in order to achieve successful sustainable tourism. The goal in Europe is to guarantee economically, socially and environmentally sustainable tourism [1]. There is a consensus that tourism development should be sustainable, but the question is how? [2, 3]. The concept of sustainable tourism has its starting point in the Brundtland Commission Report, which defined sustainable development [4]. It is all about finding a balance between economical, social and environmental issues. But can a balance between these three values really be reached? The definition of “sustainable development” contains a contradiction. It has a focus on preservation but also on development, which implies a society where economic growth leads to greater wellbeing. Harris and Leiper [5] define sustainable as “not using non-renewable resources faster than renewable substitutes can be found for them”. Sustainable development has been interpreted in a spectrum from very weak to very strong sustainability position. In the same way, sustainable tourism is still discussed and evolving [6, 7]. Those with a very strong approach argue that sustainability can only be reach if focus is on no use of the natural resources meanwhile those with a very weak approach argue that economic growth is a must by using technical innovations as well as natural resources. These different interpretations exist not only among researchers both also frequently in governmental policy documents [8, 9]. Swarbrooke [10] believes that sustainable tourism is maximizing the economical, social and environmental benefits, while at the same time suggesting that sustainable tourism involves a maximization of the economical, social and environmental benefits of tourism with a simultaneous minimization of cost. Middleton and Clarke [11] state that the new economy has to find a balance between these three dimensions. Economic interests should be balanced against the environment. Companies should maximize their profits, but also take an environmental responsibility. Companies prefer to mass produce with a focus on the economy and low costs, but the tourist prefers quality and also wants to enjoy a destination’s social life through its culture. But how can tourist producers find a balance within these three factors? Previous research has not yet focused on the tourist producers’ perspective on sustainable tourism at different mass tourist destinations. At a tourist destination the tourist are buying different services and the importance of service quality is well established within the business context, both among researchers as well as among organizations like tourist producers [12, 13]. Therefore, for the service industry tourism is an essential part [14]. Tourism, as an industry, differs from ordinary industry in mainly three ways. Firstly, the tourist must be imported to the production site (the destination). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Secondly, the tourist is a co-producer and an active part in the production, delivery and consumption. Thirdly, the destination involves many co-operative collective bodies but still there is individual business competition [15]. With the emerging interest for service marketing, the concept service quality became interesting to study in the 1980s [16]. Services are defined by the four main characteristics; intangibility, inseparability, heterogeneity and perishability [17]. These four characteristics are now being questioned since the emergence of a new marketing paradigm, the service-dominate logic (S-D logic), which argues services more as a process where value is created [18–20]. Further on, S-D logic shows that marketing become more a management strategy that includes all part of the organization instead of just a marketing department. S-D logic argues that all types of organizations are selling services. A hotel is not selling a hotel night but instead sleep, the same way as selling a drilling machine means selling holes in the wall [21, 18]. For the tourist producers it can therefore be strategic to focus its marketing on sustainability as a part of the value the tourist are buying. It will not be sustainability that is the core value but instead an indirect value connected to the service. This new paradigm, the S-D logic, can therefore create a new focus for tourist producers that work with sustainable tourism. The aim with this study is to examine how various tourist producers at different mass tourist destinations work with sustainable tourism as a strategic marketing tool.

2 The concept of sustainable tourism Since tourism is a rapidly growing industry it is important to create more sustainable tourism in order to make the tourist return to the destination. There are many dimensions to a destination, such as economical, social, cultural, political, geographical and environmental aspects. This makes it hard to limit the question of sustainability in to a certain research field [22]. Additionally, Hall and Lew [23] discuss how defining sustainable development is difficult since it is problematic incorporating all these three fields into one definition. How can we achieve sustainable development when we refer to sustainability in tourism in the opposite way, preservation instead of development? Clarke [6] has shown that the concept has gone through several paradigm shifts. At the starting point there was a difference between tourist producers that was working with mass tourism and the opposite which instead worked with sustainable tourism. The second step was to see mass tourism as a continuum where mass tourism was one side and on the other side there was sustainable tourism. Both this paradigm did not really show the reality of tourism. Tourism is instead a far more complex and dynamic industry since there are several tourist producers at a destination. Another issue is also that sustainable tourism often is small scale and mass tourism is not, instead there are a huge number of tourists coming to the destination. The latest paradigm is arguing upon sustainable tourism as a goal for all tourism, despite its size [6]. Tourists’ behaviours depend on price, quality and the image of the destination and also on the tourist’s individual interests. In tourism production many actors create the entire “product”. The marketing of destinations therefore depends on WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

596 The Sustainable World these actors’ different values [24]. Von Friedrichs Grängsjö [25] claims that destination marketing differs from the traditional marketing. Instead there must be a focus on networking, where the firms are part of the destination’s surroundings. Coase [26] discusses is that when many actors are involved in tourism, it often results in the firms wanting to raise their profits without thinking about the environment. There is often a lack of responsibility for the shared environment. For small businesses it seems to be easier to set up sustainable commitments. This might be due to good communication and coordination within the firm [27].

3 The service-dominant logic Vargo and Lusch [18] argues that there has been a paradigm shift within the marketing field where the term “service” has gotten a new meaning. In the traditional service marketing there has been a difference between products and services. Vargo and Lusch [18] define service as “the application of specialized competences”. Due to the new paradigm, the service-dominant logic (S-D logic), a larger focus has established on service delivery to the tourist.“It is important to note that S-D logic uses the singular term, “service”, which reflects the process of doing something beneficial for and in conjunction with some entity, rather than units of output – immaterial goods – as implied by the plural “services” [28]. In this sense all employees become service delivers of the value to the customer [29]. Vargo and Lusch [18, 19, 28, 30] argue that all offers are services which means that the entire management must be included in the work. For a destination this means that all tourist producers become a part of the final value for the tourist. The tourist travels to the destination for a particular reason that can differ for various tourist segments. At a destination the tourist wants to stay at an accommodation, dine at restaurants and experience activities [31]. There are several parts that together give the tourist his or her experience but it is the final value that is of interest. The S-D logic argues that there are several steps in the supply chain but it is the final value for the tourist that is central. When travelling to a destination it is the total experience that is the final value, despite that it can be several tourist producers involved in the supply chain. Therefore is the image of the destination central [18, 32]. For the hotel or a restaurant it is important not to have only a marketing department, but instead see the entire organization as service providers to the tourists. Gummesson [33] discuss that all employees are marketers; on full time or part time and therefore is the entire firm marketers. When value is created the guest must be part of the process as co-creator. Value is depending on the guest since the value is created during consumption. Hotels and restaurants at a destination are dependent on its surrounding environment, because that is the main reason for the tourist to come there. They need to preserve it in order to exist in the long run [34]. The hotel can therefore not deliver value, but only offer value propositions. For the hotel to get more information about their guest they need to create relations. Only by knowledge about the guest needs can the management offer value to meet the guests’ expectations. Many guests have the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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experience of getting an individual value offer that meets the exact needs. Guests have different needs which are depending on their subjective service quality needs. The hotel therefore need, more than ever, to create methods for continuing knowledge about the expectations and needs of the guests [18, 32].

4 The research process The study was conducted with a qualitative approach using multiple case studies. The data was collected during 2006–2009 from interviews with different tourist producers, and observations at the destinations [35, 36]. The study was performed under several years and the whole research process was done with an abductive research process [37]. Halinen and Törnroos [38] list several steps in a research process which was followed in this study. The first step was carried out through observation at tourism producers, where the tourist producers presented their firm’s work with sustainable tourism. The second step was that qualitative interviews were carried out with the tourist producers, in some cases up to one year after the first observations. At some of the destination another observation was performed as a third step. Four destinations were selected as cases in Europe; Rimini in Italy, Lloret de Mar and Granada in Spain and Gotland in Sweden. There was also a mix of different tourist producers at every destination; hotels, restaurants and activities. At each destination three tourist producers were interviewed using a semi-structured questionnaire. At each destination a local actor from the municipality helped by naming the best examples of sustainable tourism at their destination. The results were based on the empirical data from both interviews and observations. The data was analyzed and interpreted, resulting in categories structured from the three dimensions of sustainable tourism. Lincoln and Guba [39, 40] discuss trustworthiness as a way to judge the quality in qualitative research. Since there was only a few tourist producers at each destination that was interviewed, the result cannot be generalized for all tourist producers at each destination. There is however a first step in theory generation that should be followed by comparison to other cases of sustainable tourism at mass tourist destinations [41, 38]. This also leads to that the results are tested and a complete theory can emerge.

5 The case of sustainable tourism at European mass tourist destinations All four destinations are mass tourist destinations. In Rimini, the majority of tourists are domestic, but there are also international tourists primarily from June until August. The entire season is from Easter until October for most of the tourist producers in Rimini. From May until September, Rimini has 1.9 million tourists and over 12.7 million overnight stays [42]. However, in recent years there has been a decline in tourism in Rimini. The peak was during the 19701980s and since then fewer tourists have chosen to spend their holidays in Rimini. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

598 The Sustainable World In Lloret de Mar the main category is budget tourists, and the majority arrive during July and August. There are about 38,000 inhabitants in Lloret de Mar and during the summer season the destination often has over 200,000 people, including the local inhabitants, in the city. Most of the tourists are international guests, mainly from the United Kingdom, France and Germany, who come for the beach and the sun. There are also domestic guests that come to Lloret de Mar, often for weekends or they may own a second home there. In Granada, most of the tourists are international; mainly due to the main attraction “Alhambra” which is one of Europe’s most famous attractions in Europe, an old palace built by the Moors. More than two million tourists come to visit the monument every year. Many of the tourists come during the day and do not spend the night in Granada. They come by bus in the morning and leave in the afternoon. One problem for Granada is thus that tourists come to the coast during the summer and to the mountains in the winter, but not many choose to stay in Granada. Gotland is one of the most popular summer destinations and is also the biggest island in Sweden with tourism and agriculture as its two main industries. The last ten years has the tourism industry grown and attracts now about 800,000 tourists per year. The tourists come mainly during the summer season from Sweden and also from Germany [43]. Except for these tourists there is a large segment of tourist that has their second home at Gotland [44].

6 Tourist producers developing sustainable tourism Different tourist producers work in different ways to create sustainable tourism at the different destinations. They focus on the three factors – economical, social and environmental – but are creative in different ways, for different reasons. In Rimini tourist producers are focusing on working harder with environmental questions. Italia in Miniatura has received the ISO14001 standard and has also created a specific attraction, like an eco-house, within the park that focuses on environmental issues for children. This is the only theme park with an environmental label in Europe. They say that they are trying to think about environmental issues as a chain in the entire firm. Italia in Miniatura wants to be a serious company with a strong brand, but with responsibility. “Hotel Sport” has also started changing environmental issues at the hotel, especially by focusing on bikers. The tourist producer that runs the “Bano” has also worked with the environmental issues. He says that it is an ethical responsibility. The beach has reduced their water consumption by 70–80%. At the beach they also have an info point that informs the tourists about the water and air quality every day. Another change is that the path down to the sea is not longer made from concrete but from olive stone and foam, which are recycled from olive production in the area. In Lloret de Mar the focus is mainly on economic interests. “Hotel Samba” was the first hotel in Spain to get the eco-labels ISO14001 and EMAs, and is also the first hotel in Europe to have both. These labels have given the hotel a lot of publicity and reports in different magazines and TV programs. The hotel manager thinks that Lloret de Mar has been and still is a low cost destination that WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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offers sunshine and beaches. Recently they have tried to change the mentality at the destination. He says that they have to believe in what they are offering to the tourist, and not just focus on low prices. The hotel has changed their water, energy and garbage systems. The investment cost is high, but in two years the investment has paid off due to a significant reduction in water and energy consumption. The main reason for this is that the hotel saves money and makes a higher profit. The environmental issue is not the reason behind. The bike company started their business since because there was no bike rental firm in Lloret de Mar. According to the owners their business idea is sustainable, since they are hopefully getting tourists to use bikes instead of cars or buses, but the main reason is to have a company they can live on. Therefore, the economy is the main reason for these tourist producers as well. The tourist producers in Granada focus mainly on the social aspect of sustainable tourism. According to the owners of the firms there is no major focus on environmental questions, but instead more on cultural and social aspects. The bike firm “Otros Caminos” focuses on the culture in the area, letting the tourist bike from one village to another. The routes that they bike on are old and have a specific cultural heritage. The reason is to allow the tourists to “taste the history”, according to the owner. The hotel “Casasola” was originally a family home that the owners have renovated and turned into a small hotel. The feeling of the hotel should be like being at home. Most of their tourists come for biking and hiking, and they learn more about Granada’s history, nature and gastronomy. The food that the hotel serves the tourists is mainly locally produced (90%). The owner said that they are presenting rural tourism, which also means that the tourists do not just come during the busy summer months but all year round. The ecological restaurant “El Molino” specializes in the revitalization of regional gastronomy. The restaurant has been renovated after being a ruin when the owner started. The aim is to serve locally produced food in the restaurant and also use traditional recipes from the region. The tourist producers in Gotland focus most on the environmental aspect of sustainable tourism. The hotel “Furillen” has from the starting point focused mainly on the environment. The hotel is a former fabric that was rebuilt into a hotel, focusing on exclusive design based on mainly local produced furniture with a strong cultural aspect to Gotland. Furillen is one of the most famous hotels in Europe and attracts a large number of photographers for fashion magazines in the world. The hotel offers a surrounding that is well suited for photoshoots. The entire hotel has an environmental focus and also with strong cultural focus. The restaurant at the hotel also serves mainly local, environmental friendly food. The owner has plans to charge the hotel guest extra if the use the heaters, instead of using the fire place in their rooms by themselves. The other restaurant, Creperiet, situated in the central parts of the major city Visby, serves lunch and dinner with a focus on environmental friendly food as well. They started the company with the idea of living on Gotland and enjoying life. The social aspect also has a big focus for the manager of the restaurant and also here design is in focus in the restaurant. The fishing company, Fish your dreams, has an environment focus on the company. He offers exclusive fishing trips around WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

600 The Sustainable World the island. The entire trip should be an experience that offers accommodation and dining as well as the fish experience.

7 Discussion The destinations are at different stages of the product lifecycle. Granada, Lloret de Mar and Gotland are at the maturity stage, while Rimini is at the decline stage. There is also a difference in their types of tourists; Rimini and Gotland has mainly domestic tourists, compared to Granada and Lloret de Mar that have more international tourists. There are also differences in what the destinations have to offer tourists. Rimini and Lloret de Mar mainly have beaches and sun, while Granada has its history and traditions, mainly “Alhambra”. Gotland main attraction is the sun and beach, but there is also a culture inheritage that attracts some tourist segments. The strategic sustainability issues also differ for the destinations. Rimini has a focus on improving the quality of the seawater, while both Spanish destinations want to earn more money from the tourists. In Lloret de Mar they have mass tourists who come for cheap holidays. In Granada the tourists come for the day and therefore do not spend money on hotels and restaurants. Gotland has the problem of attracting tourists mainly during two months of the year. The results are shown in the table below. Table 1:

Strategic destination issues.

Destination

Lifecycle

Tourism

Rimini

Decline

Lloret de Mar Granada

Maturity Maturity

Gotland

Maturity

Domestic April-October International May-September International All year Domestic June-August

Main attraction Sun and Beach Sun and Beach, Sport History and Culture Sun and Beach, Culture

Strategic issue Quality of the seawater Low budget strategy Day tourism Short season

There are differences in how the tourist producers prioritize in their marketing of sustainable tourism at mass tourism destinations as illustrated in the table below. Table 2: Destination Rimini Lloret de Mar Granada Gotland

Marketing focus of sustainable tourism. Primary focus Environment Economy Social Environment

Secondary focus Economy Social Environment Social

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In Rimini they primarily focus on environmental issues. They want to create more sustainable tourism and are doing so by working harder with the environment. By changing tourism and making it more environmentally friendly, they are earning more money. For instance “Italia in Miniatura” can use their children’s environment room to attract more schools and thus have a longer season than before. If this is seen as a chain, we can see that starting working with the environment leads to earning more money and therefore causing social effects. One example of social effects could be that the inhabitants can work almost all year and not just during the summer months. Compared to Rimini, Lloret de Mar’s tourist producers are focused on earning money using a low cost strategy. They are not yet working with environmental issues to the same extent. At “Hotel Samba”, the efforts to reduce consumption is done mainly in order to lower costs for water and electricity. If they earn money, this will have social effects and then they might have time to focus on environmental issues. In Granada the social and cultural roots are the focus of all the tourist producers. They are trying to display their history and tradition in the tourist products they offer. By using their history, they attract tourists and therefore earn money, so in the end they might have time to work with the environment. The tourist producers at Gotland focus on environment but also with a clear social and cultural focus.

8 Conclusions The destinations have different problems at their destination and what they need to develop. Rimini as a destination is in decline and needs to improve quality in order to attract tourists because their brand is tired. Lloret de Mar needs to focus on more than earning money in order to keep the tourists, since they just offer mainly sunshine and beach. Sunshine and beach is not unique and tourists can easily choose other destinations around the Mediterranean Sea. Granada needs to focus on trying to get the tourists to stay, because they have many that visit Alhambra but too few that spend their holidays there. Gotland has a short season and needs to attract tourist during more times than in the summer. Each destination has a strategic issue that the tourist producers are working with in order to creating a more sustainable tourism. The result indicates that the tourist producers have focused their own tourism product development against the strategic issue at the destination. The conclusion is that tourist producers primarily focus on one aspect of the concept of sustainable tourism. By focusing on one aspect within sustainable tourism, it will also have consequences on the other two aspects. In Rimini they focus on the environment since seawater quality has been a problem. In Lloret de Mar the economical factor is most important and environmental issues are covered in order to earn more money. In Granada their Alhambra heritage and its history is the destination’s focus. The tourist producers at Gotland are trying to work with environment by using local products. As a first indication we therefore must be aware that the concept sustainable tourism means different focus for different tourist producers. The concept has a contradiction and this WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

602 The Sustainable World multiple case study has indicated that tourist producers work differently with sustainable tourism, with mainly one focus. The result also indicates that the destination conditions have an impact on the tourist producers’ reasons for working with sustainable tourism. Sustainable tourism is used by the tourist producers as a strategic marketing tool but in different ways depending on the destination. There is a difference among the tourist producers between the destinations and they focus mainly on one of the three aspects within sustainable tourism. The result indicates that the different producers have different strategic agendas when working with sustainable tourism. Some of the tourist producers have a clearer connection between their tourism products developments compared to others. One destination is one experience for the tourist and therefore need to have a common approach in order to keep the destination together. The new marketing paradigm can be useful for further studies in sustainable tourism and marketing since it clearly shows the importance to see every little bit as one part of the final value for the tourist. It is no longer a difference between many services; instead the tourist producers must work with sustainable tourism as a part of the final value that the tourist is buying. The tourist is buying a final value, and is also a co-creator which means that we need to know more about the tourists’ thoughts about sustainable tourism. A suggestion for further research is therefore to focus on the mass tourists and their expectations on sustainable tourism.

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[12] Wilkins, H. Merrilees, B. Herington, C., Towards an understanding of total service quality in hotels, International Journal of Hospitality Management, 26(4), pp. 840-853, 2007. [13] Grönroos, C. (2007). In Search of a New Logic for Marketing – Foundations of Contemporary Theory. West Sussex: John Wiley & Sons, Ltd. [14] Otto, J. & Ritchie, B., The service experience in tourism, Tourism Management, 17(3), pp 165-174, 1996. [15] Von Friedrichs Grängsjö, Y. & Gummesson, E., Hotel Networks and Social Capital in Destination Marketing, International Journal of Service Industry Management, 17(1), pp. 58-75, 2006. [16] Grönroos, C. (2000). Service Management and Marketing – a customer relationship management approach. West Sussex: Wiley. [17] Parasuraman, A. Zeithaml, V.A. Berry, L.L., A Conceptual Model of Service Quality and Its Implications for Future Research. The Journal of Marketing, 49(4), pp. 41-50, 1985. [18] Vargo, S. L. Lusch, R. F., Evolving to a New Dominant Logic for Marketing, The journal of Marketing, 68(1), pp. 1-17. 2004a. [19] Vargo, S. L. Lusch, R. F., The Four Service Marketing Myths – Remnants of a Goods-Baset, Journal of Service Research, 6(4), pp. 324-335, 2004b. [20] Lovelock, C. Gummesson, E., Whither Service Marketing? In Search of a New Paradigm and Fresh Perspective, Journal of Service Research, 7(1), pp. 20-41, 2004. [21] Levitt, T. (1960). Marketing myopia. Harvard Business Review. Vol. 38 (April), 3-13. [22] Aronsson, L. (1997). Turismens hållbara utveckling? Karlstad: Forskargruppen Turism och Fritid. p.15. [23] Hall, M. Lew, A. (1998). Sustainable tourism – a geographical perspective. Essex: Addison Wesley Longman Limitied. [24] Von Friedrichs Grängsjö, Y. (1999). Destinationsmarknadsföring – en studie om turism från ett producentperspektiv. Stockholm: Stockholms Universitet. [25] Von Friedrichs Grängsjö, Y. (2003). Destinationsmarknadsföring: Företag i nätverk. I: Larson, M. (ed). Svensk turismforskning – en tvärvetenskaplig antologi om turister, turistdestinationer och turismorganisationer. Östersund: Etours vetenskapliga bokserien. [26] Coase, R. (1992). Företaget, marknaden och lagarna. Kap. 1. Stockholm: Ratio. [27] Cavagnaro, E. & Gehrels, SA., Sweet and sour grapes: implementing sustainability in the hospitality industry – a case study, Journal of Culinary Science and Technology, 7(2) pp. 181-195, 2009. [28] Vargo, S. L. Lusch, R. F., Why ”service”?, Journal of the Academic Marketing Science, 36, pp. 25-38, 2008. [29] Bjurklo, M., Edvardsson, B., Gabauer, H., The role of competence initiating the transition from products to service, Managing Service quality, 19(5), pp. 493-510, 2009. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

604 The Sustainable World [30] Vargo, S. L. Lusch, R. F., Service-dominant logic: continuing the evolution, Journal of Academic Marketing Science, 36, pp. 1-10, 2007. [31] Mossberg, L., A marketing approach to the tourist experience, Scandinavian Journal of Hospitality and Tourism, 7(1), pp. 59-74, 2007. [32] Kristensson, P. (2009). Den tjänstedominanta logiken – innebörd and implikationer för policy. Vinnova rapport. VR 2009:07. [33] Gummesson, E. (2002). Relationsmarknadsföring: Från 4P till 30 R. Malmö: Liber. [34] Bader, E.E., Sustainable hotel business practices, Journal of Retail and Leisure Property, 5(1), pp. 70-77, 2005. [35] Yin, R. (2003). Case study research – design and methods. London: Sage Publications. [36] Stake, R. E. (1995), The Art of Case Study Research, Sage Publications, London. [37] Järvensivu, T. & Törnroos, J., Case study research with moderate constructionism: Conceptualization and practical illustration. Industrial Marketing Management, 39, pp. 100-108, 2010. [38] Halinen, A. & Törnroos, J-Å., Using case methods in the study of contemporary business network, Journal of Business Research, 58(9), pp. 1285-1297, 2005. [39] Lincoln, Y. S, & Guba, E. G, (1985). Naturalistic inquiry. Newbury Park, CA: Sage. [40] Lincoln, Y. S, & Guba, E. G, (2000). Paradigmatic controversies, contradictions and emerging confluences. In N.K. Denzin, &Y.S. Lincoln (Eds), Handbook of qualitative research (pp. 163-188)., 2nd ed, London: Sage Publications. [41] Eisenhardt, K., Building theories from case study research. Academy of management review, 14(4), pp. 532-550, 1989. [42] Brau, R. &Scorcu, A. E. & Vici, L. 2007. Assessing visitor satisfaction with tourism rejuvenation policies: the case of Rimini, Italy, Working Papers 617, Dipartimento Scienze Economiche, Università di Bologna. [43] Gotlands kommun, www.gotland.se. [44] Bygg-Gotland – översiktsplan för Gotlands kommun 2010-2025.

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Perceived impact of tourism on rural and urban communities in Botswana J. Pansiri1 & R. N. Mmereki2 1

Department of Tourism and Hospitality Management, Faculty of Business, University of Botswana, Botswana 2 Department of Management, Faculty of Business, University of Botswana, Botswana

Abstract The purpose of this paper is to examine the impact of tourism on urban and rural communities in Botswana. Based on past work on tourism impacts, this paper identifies a set of tourism impacts and analyzes their implication for tourism development in Botswana. The study is based on a review of the literature which provided a theoretical understanding of the impact of tourism on communities. This theoretical understanding was then tested using primary data that was collected through a survey of 595 respondents from Gaborone, Kasane, Maun and Mochudi in Botswana. The study was designed in such a way that it captured tourism impacts in both urban and rural communities. The study found that tourism affect host communities positively and negatively, and that respondents’ perceived effects of tourism on their communities differed significantly dependent upon whether one is employed in the tourism industry, have ever visited any tourism facility, and was born in that particular community Keywords: tourism impacts, Botswana, tourism development, local communities, economic development, developing countries, economic diversification.

1 Introduction Tourism has been identified as an engine of growth and an industry with potential to contribute to Botswana’s economic diversification that will help to broaden the country’s economic base (Commonwealth Sectretatiat [1]). Tourism is currently Botswana’s second largest contributor towards GDP and is therefore WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100551

606 The Sustainable World a major source of revenue and economic diversification (Botswana Tourism Board [2]). Furthermore, tourism has the potential to increase Botswana’s foreign exchange earnings and government revenues, and help generate employment mainly in the rural areas. It is argued that tourism also has the potential to stimulate other economic activities and reduce rural-urban and further distribute economic benefits to rural areas, and contribute to reducing socio-economic disparities among the country’s different areas (Commonwealth Sectretatiat [1]). According to the Hospitality and Tourism Association of Botswana [HTAB] [3] tourism in Botswana is growing significantly. For instance, the HTAB observes that Botswana tourist arrivals have grown from 1, 048,845 in 2001 to 1, 034,871 in 2005 (which represent a negative growth). Tourism expenditure was estimated to grow from 2.2 billion Pula (US$410 million) in 2004 to 2.6 billion Pula (US$473 million) in 2005, representing an average annual growth rate of 15.3 percent over the past five years (HTAB [3]). According to HTAB [3, p. 6], employment in the tourism industry is “estimated to have engaged 17, 000 people in core tourist facilities a large number of which will be in the Delta and Chobe region, and this figure will increase with a consideration for related sectors such as transport, agriculture, Immigration and others.” Because of these appealing tourism economic benefits, the Botswana government is committed to further develop tourism as a way of enhancing the industry’s contribution to the GDP. The promises of what tourism can do to a country and its communities are overwhelming. Care has to be taken to insure that Tourism does not bring its unintended negative impacts. For that reason it is essential to periodically assess tourism impacts on communities, using communities’ perceptions. Therefore the purpose of this study is to examine Botswana’s residents’ attitudes towards tourism development. In doing so, this study uses the perceptions of residents from four geographical locations, namely Gaborone, Mochudi, Kasane and Maun. Maun and Kasane were chosen because they are the two major tourist destinations in Botswana where tourism is highly developed. Gaborone was chosen due to it being the biggest city and capital city of Botswana. If there are any urban tourism development initiatives, they will be started in Gaborone.

2 Local impact perceptions of tourism The successful planning for tourism development requires the active support and involvement of local communities (Gutierrez et al. [4]). Gutierrez et al. [4] further maintains that host communities have a stake in ensuring that tourism does not compromise their quality of life. It is widely acknowledged in the literature that community support for tourism is imperative for successful tourism (Butler, [5]; Gutierrez et al. [4]; Haley et al. [6]; Kibicho, [7]; Wilson et al. [8]). Diedrich and Garcı´a-Buades [9, p. 496] argue that “understanding and assessing tourism impacts in communities is important in order to maintain sustainability and long-term success of the tourism industry.” Butler [5] observes that there are indications that the favorable attitudes by local communities regarding tourism may be changing due to costs of tourism WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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such as land and housing costs, labor shortages, immigration of foreign workers, inappropriate behavior by tourists and a feeling of general loss of control over their communities and lives. Therefore, “understanding the antecedents of support by local residents towards tourism development is crucial for local governments, policymakers, and businesses, because the success and sustainability of any development depends on active support of the local populations” (Gursoy & Rutherford [11, p. 495]). The literature on tourism impacts is extensive. Gursoy et al. [10], Gursoy and Rutherford [11], and Haley et al. [6] summarize the development of this literature since the early 1970s. The argument for mush research on tourism impacts is that by its nature, the tourism industry inevitably induces impacts that are both beneficial and adverse. Most research in this are uses residents’ perceptions of tourism development (Gursoy et al. [10]; Haley et al. [6]. Gursoy et al. [10] modeled host community support for tourism based on perceived impacts as having two dimensions – costs and benefits, as factors influencing communities’ reaction towards tourism development. They found that the host community support for tourism is affected by “the level of concern, ecocentric values, utilization of resource base, perceived costs and benefits of the tourism development” (Gursoy et al. [10, p. 79]). This is purported by Diedrich and Garcı´a-Buades [9] whose study found that tourism does result in good and bad changes in communities. It is argued that residents who perceive that are likely to benefit economically from tourism development are likely to support it (Gursoy et al. [10]; Gursoy and Rutherford [11]; Haley et al. [6]). Haley et al.] found that “as income level fell, the residents were more likely to support increased tourism and those with lower incomes were more likely to accept their city becoming more of a destination”. From this perspective, developing countries governments have accepted not only the importance of tourism in economic development but have also played a dominant role in the planning process. Government planning seems to be one of the most outstanding factors for poor tourism performance in these countries, particularly in Africa. (Dieke [12]; Kibicho [7]) and a significant number of communities in these countries accept tourism initiatives with the hope that tourism will better their livelihood (Kibicho [7]). However, communities may not always support tourism. Wilson et al [8, p. 136] cite McCool and Marten who states that “like other industries, tourism can bring changes to communities, such as general disruption of residents lives owing to increased population during the tourist season, increase in crime, displacement of residents by new developments, conflict of values, and impacts upon the local culture”. Negative impacts should not outwear positive ones. And positive impacts should really be meaningful so that so that communities see the benefits of tourism development. There is a lot of emphasis on the economic contribution of tourism in Africa, a content that for over decades has been affected by problems of high unemployment rates. The attempts to develop tourism may then be highly appealing. Without delivering any meaningful positive results, communities may be disillusioned (Mbaiwa [13–15]; Kibicho [7]). For instance, Botswana WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

608 The Sustainable World describes tourism as an ‘engine of economic growth’ and a means for economic diversification (Government of Botswana [16]) because of its potential to contribute significantly to employment creation and the country’s GDP. However, Mbaiwa’s

[13–15] research in the Okavango Delta debunks this myth. Mbaiwa [14] argues that foreign companies and investors dominate the ownership of tourism facilities in the Okavango Delta. According to him, only 17.9% of the tourism facilities are wholly citizen owned with 23.3%, which are jointly owned. The rest are foreign owned. This ownership has ramifications for employment and economic benefits to the economy and Okavango community in particular. Mbaiwa [13] argues that tourism businesses in the Okavango delta employed 1658 people, accounting for (16.6%) of the formal employment in the tourism sector in Botswana. However, most of these people occupy unskilled jobs such as manual labourers, drivers, house cleaners, cleaners, night watchmen, gatekeepers, and cooks. These jobs pay low salaries as compared to management positions held by expatriates (Mbaiwa, 2004, 2005a). Mbaiwa [13] alleges that about 62% of the junior workers in the tourism industry in the Okavango delta are paid salaries less than P900.00 ($180.00) per month. His findings collaborate Ndulamo [17] who found that about two-thirds of the citizens employed in tourism-related jobs in Maun earned less than P954.78 ($190.96). These low levels of income mean that tourism destinations like the Okavango Delta continue to experience high levels of poverty. The NWDC cited by Mbaiwa [15] argues that the majority of people living in the Okavango delta can be classified as rural and they live in poverty. Low levels of income, high levels of poverty in rural tourism destinations in Botswana are compounded by what repatriation of tourism revenue due to foreign ownership of tourism businesses. The tourism industry in Botswana is criticized for its failure to retain revenue in the country. It is estimated that over 70% of the tourism revenue in Botswana is repatriated outside the country. For instance, Mbaiwa [14, 15] observes that in 1997, while tourists who visited Botswana spent an estimated P1.1 billion ($0.22 billion), 55% or P605 million ($121 million) was spent outside Botswana, and 16% or P175 million ($35 million) was lost through first-round linkages of receipts due tourist-related imports. “As a result, only 29% or P320 Million ($64 million) was spent in Botswana on local goods, wages, taxes and other activities” (Mbaiwa [15], p. 216). This paper assumes that residents of communities perceive tourism impacts differently based on their length of stay in the community affected by tourism, their home ownership status and whether one was born in that particular community. Further to this, the paper proposes that tourism impacts are also perceived differently because of the level of importance of tourism to ones’ profession and employment status in the tourism industry. Therefore, two hypotheses are proposed: 2.1 Hypotheses Hypothesis 1: Perceived tourism impacts are closely associated with the length of residence in a particular city/town/village, Home ownership in that particular place, and whether one was born in that particular place. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Hypothesis 2: Perceived tourism impacts are closely associated with the importance of tourism to one’s profession, and whether one is employed in the tourism industry.

3 Methodology 3.1 Setting and sample Data was collected to test the two hypotheses. The study focused on both rural and urban communities in Botswana. This study adopted stratified random sampling to come up with a sample of potential respondents. This was based on four geographical locations namely Gaborone, Mochudi, Kasane and Maun. Once the locations were identified, information was collected from a random sample. The target was to administer 900 questionnaires for all the sampled locations. Research assistants were employed to administer the questionnaire randomly in order to collect the necessary data. 3.2 Measures A questionnaire was used to assess tourism impact on the host community. The first 24 were adapted from Haley et al [6]. The robustness of this survey instrument is that it has been used in both rural (Perdue [18]) and urban (Haley et al. [6]) settings. Respondents were asked to rate their level of agreement with the statements on a five-point Likert scale from 1 = ‘strongly disagree’ to 5 = ‘strongly agree’. Like in the Haley et al [6], p. 653] “each item was related to general aspects of tourism development, sharing an interest in a particular issue, thus enabling the creation of subscales”. The other seventeen items were adapted from the World Tourism Organisation [19] where respondents were asked to rate their level of agreement with the statements on a five-point Likert scale from 1 = ‘strongly disagree’ to 5 = ‘strongly agree’. Respondents were also asked about their opinion regarding tourism in their community and whether they would like more or less tourism in the future. Respondents were also asked to indicate the importance of tourism to their occupation, whether they have ever visited any tourism facility in this city/town/village, born in that particular city/town/village and employed in the tourism industry. This was in addition to their demographic profiles.

4 Results 4.1 Sample The survey was performed from July 2009 to February 2010. In total, 593 respondents participated in the survey (Gaborone 44.7%, Muchudi 22.8%, Kasane 12% and Maun 20.6%). The majority of the participants were young – up to 39 years of age (75.7%). The sample included 38.9% males and 61.1% females. Respondents’ profile also indicates that 77.3% were either employed or WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

610 The Sustainable World self-employed. A significant (63.8%) number of them indicated that tourism is very important for their occupation. However, only 33.6% of them were employed in the tourism industry. Only 30.7% of them had at least a degree while the rest had either college or high school educational qualifications. 4.2 Tourism impacts No single item is likely to provide a perfect representation of the impact of tourism in any given community. Therefore, such impact can be viewed from multiple perspectives, “where each item is expected to have a certain amount of distinctiveness even though it relates to the same concept” (Pansiri [20, p. 107]). Consequently, the impact of tourism was measured using 41. Table 1:

Results of PCA with Varimix rotation for perceived tourism impacts.

ITEMS

No of Items

M

Eigen Value

Cumulative per cent variance 25.749 36.213 42.745 47.523 51.989 55.627

Cronbach α

Social impact of tourism 8 3.28 10.557 .867 Direct Individual impact of tourism 6 3.41 4.290 .860 General economic impact 4 3.79 2.678 .784 Environmental impact 4 3.56 1.959 .768 Direct community economic impact 3 3.00 1.831 .832 Impact of tourism on local 4 3.76 1.491 .618 government Impression of local community & 4 3.81 1.340 58.895 .722 quality of life Local development impact 3 3.76 1.152 61.706 .681 Local participation 3 3.72 1.045 64.254 .588 Cultural impact 2 3.81 1.014 66.728 .528 Notes: M = Mean, SD= Standard Deviation, Bartlett’s Test of Sphericity - Approx. Chi-Square = 7812.827, df = 820, p < 0.000; and KMO Measure of Sampling Adequacy = .882: Extraction Method: Principal Axis Factoring. Rotation Method: Varimax with Kaiser Normalisation

4.3 Data reduction Data reduction through exploratory factor analysis using Principal Component Analysis (PCA) as the extraction method and varimax rotation with Kaiser normalisation was conducted in order find out if the different variables were driven by the same underlying variable, that could help in identifying common themes, and to “to reduce the data set to a more manageable size while retaining as much of the original information as possible” (Field [21, p. 619]). All components with eigenvalues greater than 1.0 were extracted. Factor loadings less than 0.4 were suppressed for interpretative purposes (Field [21]). Table 1 shows that this process yielded ten themes with the Bartlett’s Test of Sphericity Chi-Square of 7812.827 (p < 0.000) and KMO Measure of Sampling Adequacy of .882

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Reliability analysis was then conducted on the ten sets of items to measure the internal consistency of the items loaded onto each factor. Table 1 shows that the Cronbach’s alpha values for all the ten components were in excess of the required 0.5 criterion for reliability, which according to Nunally [20] meets the requirements for basic survey research. As a consequence, a cut-off value of 0.50 was used to measure reliability and all the themes were accepted. Therefore all the ten themes were accepted to be used for further analysis. Table 1 the ten themes together with the aggregated mean, eigenvalues, cumulative percentage and Cronbath alpha. Furthermore, the table also shows the means and standard deviations of all variables measuring the impact of tourism.

5 Study results and discussion In this study, a two-step procedure was followed. PCA was followed by one-way analysis of variance (ANOVA) which was conducted to assess relationships between tourism impacts and independent variables. ANOVA was used to test for significant differences between the means of two or more groups. Levene’s test was used to test violation of assumption of homogeneity of variance. In most of these analyses, the homogeneity of variance assumption was broken. Field [21] suggests that instead of correcting violations of homogeneity of variance by transformation of all the data, Welch’s F-ratio can be reported. For this analysis, independent variables were categorical while dependent variables (tourism impacts) were continuous. This made use of values generated by factor analysis. Four different levels of significance are used. These are 0.001, 0.01, 0.05, and 0.10. Conventionally, if the significance value is small enough (less than 0.05) the null hypothesis is rejected, for instance that the variables are independent and accept the hypothesis that they are in some way related. However, previous social science research has accepted the 0.10 level of significance (Papadakis and Barwise [23]). Hypothesis 1 tested whether perceived tourism impacts are closely associated with the respondents’ length of residence in a particular city/town/village, Home ownership in that particular place, and whether one was born in that particular place. This hypothesis therefore wanted to test if attachment to a place results in perceiving the impact of tourism differently. Table 2 shows that significant associations exists between the respondents’ Length of Residence and perceived Social Impacts, Direct Individual Impacts, Direct Community Economic Impacts (p < 0.001), and Local Participation (0.10). Similarly there exists significant relationships between the responds’ ownership of a home in that particular town/city/village with perceived Direct Individual Impact, General Economic Impact, Impact of Tourism on Local Government (p < 0.05), and Direct Community Economic Impacts (p < 0.01). Few significant associations were found between the respondents’ place of birth and perceived tourism impacts – Social Impacts, Direct Individual Impacts, and Impact of Tourism on Local Government (p < 0.05).

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612 The Sustainable World Table 2:

Perceived impacts

Results of ANOVA for the influence of geographic and economic related characteristics on perceived tourism impacts. tourism

Social impact of tourism Direct individual impact of tourism General economic impact Environmental Impact Direct Community economic impact Impact of tourism on local government Local community & quality of life Local development impact Local participation Cultural impact

Independent Factors Geographic Related Economic Related Characteristics Characteristics Occupati Employme Tourism Length of Home Born in on nt in Facility residence ownershi the tourism p communi ty d F d F d F d F d F d F 1.4 1 5.9* 4 3.3* 1 3.1† 1 7.5 ª 4 10.5 ª 1 4

5.6 ª

1

4.6*

1

4.1*

4

6.0 ª

1

42.6 ª

1

5.9 ª

4

.51

1

4.9*

1

1.1

4

6.2 ª

1

3.3†

1

6.0*

4

1.7

1

.9

1

.5

4

1.1

1

9.0 ª

1

.1

4

7.7 ª

1

9.4 ª

1

1.7

4

9.5 ª

1

17.4 ª

1

.0

4

.6

1

4.0*

1

5.4*

4

2.4†

1

12.5 ª

1

3.0†

4

.9

1

.1

1

.0

4

.5

1

.7

1

1.8

4

1.8

1

.3

1

.6

4

.8

1

9.9 ª

1

10.8

4 4

2.0† .3

1 1

.6 .2

1 1

1.2 1.6

4 4

2.4† 1.3

1 1

.0 .7

1 1

1.8 .7

ª

Notes: df = Degree of freedom; †p<0.10; *p<0.05; and **p<0.01

Hypothesis 2 tested whether perceived tourism impacts are closely associated with the importance of tourism to one’s profession, whether one is employed in the tourism industry, and whether one has ever visited a tourist facility. Table 2 further shows that significant associations exists between the respondents’ perception of the importance of tourism to their occupation and perceived Social Impacts (p < 0.05), Direct Individual Impacts, General Economic Impact, Direct Community Economic Impact (p < 0.001), Impact of Tourism on Local Government, and Local Participation (p < 0.01). Significant associations also exist between being employed in the Tourism Industry and Social Impacts, General Economic Impact (p < 0.10), Direct Individual Impacts, Direct Community Economic Impact, Impact of Tourism on Local Government (p < 0.001), Environmental Impact, and Local development Impact (p < 0.01). Lastly, significant associations exists between the respondents previous visitation to a tourist facility and perceived Social Impacts (p < 0.01), Direct Individual Impacts, General Economic Impact (p < 0.05), Impact of Tourism on Local Government (p < 0.10), and Local development Impact (p < 0.001). The relationship between Cultural Impact, Local Participation and Impression of Local Community & Quality of Life with independent factors is very poor. Cultural Impact and Impression of Local Community & Quality of Life was not significantly related to any of the factors while Local Participation was only WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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significantly related to length of residence and Occupation (p < 0.10). Cultural Impact, Local Participation and Impression of Local Community have the highest aggregate mean of 3.81 each. Tourism in my community/region helps stimulate local culture and crafts (M = 3.81), Tourism improves the appearance of the city (M = 3.79), Tourism increases recreational opportunities (M = 3.87), the city should become more of a tourist destination (M = 3.60) and that Tourism development increases the quality of life (M = 3.98). Evidence from this study point to the fact that these perceptions are not influenced by any factors investigated in this study. More research is needed in this area. The purpose of this study was to examine residents’ attitudes toward tourism development in Botswana by using four geographical locations. This was fulfilled by testing two hypotheses using analysis of variance. Most of the variables used in this study have been used and analyzed differently in previous research. For instance, Haley et al [6] conducted factor analysis of 24 factors and produced two factors they called ‘positive’ and negative’ factors, and then conducted hierarchical regression. On the other hand, Gursoy and Rutherford [11] grouped their variables into eleven items and then tested their model using sequential chi-square difference tests. This study produced ten items. This study results are consistent with previous studies in that tourism impacts are both negative and positive. However, the study’s major contribution is that it splits the independent factors into two, geographic related characteristics (Length of residence, Home Ownership, and being born or not born in that community) and economic related characteristics (Importance of tourism to one’s occupation, employment in Tourism, and whether they have visited any tourism facility before). This split is based on the understanding that perceived tourism impacts are dependent upon one being personally attached to the place and/or benefiting from tourism development in the area. This study found that geographic related characteristics do not influence residents as much as economic related characteristics do. Geographic related characteristics are important for consideration regarding social and individual impacts of tourism, tourism’s impact on the local economy and local government. On the other hand, economic related characteristics are influential in all except Impression of local community & Quality of life, and Cultural impact.

6 Implications This study has found that perceived tourism impacts are influenced by both geographic related characteristics (and economic related characteristics. However, economic related characteristics were found to be more influential than geographic characteristics. This has fundamental imprecations regarding tourism development. Tourism developers should realize that the issue of tourism support by local communities is very complex (Gursoy and Rutherford [11]). People feel tourism’s impacts more if they are personally involved with tourism, particularly in relation to their employment and whether they have visited any tourism sites before. However, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

614 The Sustainable World people are part of the community and the community is concerned about how their resources are utilized. They are interested in seeing their local communities developing economically and issues relating to crime and environmental degradation arising from tourism being reduced. In developing tourism, governments in Africa often justify such initiatives by arguing that tourism would create jobs, and improve the local and national economy, but, as Butler [5] argues, tourism has “not always delivered the benefits that were forecast, or where those benefits have occurred, that the overall effects have not been those desired”. Studies by Mbaiwa [13–15] have shown that although the contribution of tourism to the GDP may be increasing, local communities hardly benefit and are left to cope with ‘negative’ consequences of their local area being a tourist destination. These are issues that need policy makers to address because the usual support for tourism development by local communities on economic grounds may in the long run decline. There is a big challenge relating to how communities can effectively participate in tourism. Policy initiatives directed at enhancing people’s participation in tourism are necessary if they are to appreciate the role of tourism. More community based tourism initiatives are needed to make residents appreciate the contribution tourism makes to their livelihoods. This study and its findings are not without limitations. The first limitation is that the study was limited to four geographical places only in Botswana and these opinions cannot be said to be representative of the whole Botswana. It is important that a nationwide sample be done that is not necessarily limited to high concentration of tourism only. This limitation is related to two factors: the fact that this study is part of a larger research that at the time of writing this paper, data had not yet been collected from one sampled village. Further to this, funds allocated to this study did not permit a large sample of towns and villages to be done due to the geographical spatiality of Botswana. Secondly, this study made use of 41 closed ended statements related to specific tourism impacts. The positive thing with this approach was that most if not all of these statements have been used in past search on tourism impacts. It follows however that not all the impacts of tourism on communities can be possibly represented by these statements. The third limitation is that this study relied solely on one method. There are a growing number of tourism researchers calling for research programmes involving the triangulation of quantitative and qualitative methods (Downward and Mearman [24]; Oppermann [25]; Pansiri [26]; [27]). Studies on tourism impact such as this, can benefit from mixed methods because this allows for “verification and/or corroboration of one method by the other via triangulation, to enable or develop analysis, providing richer details, and to initiate new lines of thinking through attention to surprises or paradoxes, ‘turning ideas around’ and providing fresh insights” (Pansiri [27, p. 235])

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7 Conclusion Studies on tourism impacts are very important to any organization or government, be it at the local, state or central government level that concerns itself with tourism development. Understanding how communities are affected by tourism does not only help the planning and decision making processes in relation to tourism but also aid in the involvement of communities in tourism planning and decision making. Subsequently, this influences the support for tourism by local communities. The purpose of this paper has been to examine the perceived impact of tourism on urban and rural communities in Botswana. Like many other countries, Botswana has been vigorously developing and supporting tourism as a form of economic diversification. In selling these ideas, such countries need to be informed about the perceived impact that tourism has on their communities. Such knowledge helps in keeping community support for tourism. In helping governments to evaluate and understand residents attitudes towards tourism development, researchers need to address the issue of perceived tourism impact assessment more holistically by addressing the attitudes of residents in relation to tourism strategies of particular destinations. Such an approach means that the target population for such research should also include decision makers and those responsible for implementing tourism strategies. Further to this, future research should consider triangulating methods with a view of getting comprehensive data on perceived tourism impacts.

References [1] Commonwealth Sectretatiat. Botswana Targets Tourism for Economic Growth, Retrieved 01/04, 2007, from http://www.thecommonwealth.org /news/34580/34581/144143/botswana_targets_tourism_for_economic_gro wth.htm, 2005. [2] Botswana Tourism Board. Training needs analysis of Botswana’s tourism industry executive summary, Gaborone: Botswana tourism Board, 2009. [3] Hospitality and Tourism Association of Botswana. Report on the tourism impact on SADC countries. Gaborone: Hospitality and Tourism Association of Botswana, 2006. [4] Gutierrez, E., Lamoureux, K., Matus, S., & Sebunya, K. Linking Communities, Tourism & Conservation, Washington DC: Conservation International and The George Washington University, 2005. [5] Butler, R. Tourism in the future: Cycles, waves or wheels? Futures, 41(6), 346-352, 2009. [6] Haley, A. J., Snaith, T., & Miller, G. The social impacts of tourism: A Case Study of Bath, UK. Annals of Tourism Research, 32(3), 647-668, 2005. [7] Kibicho, W. Tourism and the Sex Trade in Kenya’s Coastal Region. Journal of Sustainable Tourism, 13(3), 256-280, 2005.

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616 The Sustainable World [8] Wilson, S., Fesenmaier, D. R., Fesenmaier, J., & John C. van Es. Factors for Success in Rural Tourism Development. Journal of Travel Research, 40(2), 2001. [9] Diedrich, A., & Garcı´a-Buades, E. Local perceptions of tourism as indicators of destination decline. Tourism Management, 30(4), 512-521, 2009. [10] Gursoy, D., Jurowski, C., & Uysal, M. Resident attitudes: A Structural Modeling Approach Annals of Tourism Research, 29(1), 79-105, 2002. [11] Gursoy, D., & Rutherford, D. G. Host attitudes toward tourism: An Improved Structural Model Annals of Tourism Research, 31(3), 495-516, 2004. [12] Dieke, P. U. C. Tourism in Africa’s economic development: policy implications. Management Decision, 41(3), 287-295, 2003. [13] Mbaiwa, J. E. The Socio-cultural Impacts of Tourism Development in the Okavango Delta, Botswana. Journal of Tourism and Cultural Change, 2(3), 163-184, 2004. [14] Mbaiwa, J. E. Enclave tourism and its socio-economic impacts in the Okavango Delta, Botswana. Tourism Management, 26(2), 157-172, 2005a. [15] Mbaiwa, J. E. The Problems and Prospects of Sustainable Tourism Development in the Okavango Delta, Botswana. Journal of Sustainable Tourism, 13(3), 203-227, 2005b. [16] Government of Botswana. The Tourism Policy. Gaborone: Government Printer, 1990. [17] Ndulamo, E. The economic impacts of tourism on the local people: The case of Maun in the Ngamiland Sub-District, Botswana. Msc Thesis. Department of Environmental Science, University of Botswana, Gaborone, 2000. [18] Perdue, R. P. Resident Support for Tourism Development. Annals of Tourism Research, 17, 586-599, 1990. [19] World Tourism Organisation. Workshop on Indicators of Sustainable Development for Tourism Destinations. Lombok, Indonesia, 2007. [20] Pansiri, J. The effects of characteristics of partners on strategic alliance performance in the SME dominated travel sector. Tourism Management, 29(1), 101-115, 2008. [21] Field, A. P. Discovering statistics using SPSS: (and sex, drugs and rock ‘n’ roll) (2nd. ed.). London: Sage, 2005. [22] Nunnally, J. C. Psychometric theory. New York: McGraw-Hill, 1978. [23] Papadakis, V. M., & Barwise, P. How much do CEOs and top managers matter in strategic decision-making? British Journal of Management, 13(1), 83-95, 2002. [24] Downward, P. M., & Mearman, A. On tourism and hospitality management research: A critical realist proposal. Tourism and Hospitality Planning & Development, 1(2), 107-122, 2004. [25] Oppermann, M. Triangulation - a methodological discussion. International Journal of Tourism Research, 2(2), 141-145, 2000.

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[26] Pansiri, J. Pragmatism: A methodological approach to researching strategic alliances in tourism. Tourism and Hospitality: Planning & Development, 2(3), 191-206, 2005. [27] Pansiri, J. Doing tourism research using the pragmatist paradigm: An empirical example. Tourism and Hospitality: Planning & Development, 3(3), 223-240, 2006.

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Landscape evaluation on a regional level for sustainable tourism development I. Jurinčič Faculty of Tourism Studies Portorož Turistica, University of Primorska, Slovenia

Abstract Evaluation of tourism resources plays a vital role in the spatial planning of sustainable tourism. This article introduces an example of landscape evaluation on a regional level by means of a geographical information system. A Mediterranean landscape, Slovenska Istra, is the most developed tourist destination in Slovenia, which is why it needs a special approach in sustainable handling of the vast tourism resources it offers. The analysis of local factors in view of perspective tourism products showed that prudent handling of coastline tourism resources is particularly important, while inland parts of the coastline present an unexploited touristic potential. Keywords: tourism resources, landscape evaluation, location factors, tourism spatial planning, tourism destination management, tourism products, geographic information system.

1 Introduction A suitable evaluation of tourism resources plays a vital role in the planning of sustainable tourism. It enables an optimal exploit of tourism resources at disposal with minimum negative impacts on the natural, social and economic environment, which is the primary objective of sustainable tourism development. The evaluation of tourism resources displays comparative benefits of different tourism products in a certain destination; in our case the Slovenska Istra region. Concerning the evaluation of different regions for tourism, various attempts have been made in different fields and with different procedures, contributing many new insights in this field. Countries with high tourism development claimed competent answers to new challenges and needed professional help in WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100561

620 The Sustainable World solving technical questions concerning tourism development in non-tourist regions [1]. One of the oldest methods of evaluating tourism factors is the method of overlaying maps with different tourism factors. This method evolved in USA, together with computer technology development and increase of digital cartography in the seventies [2]. For this purpose a special scale was developed to display different factors with a significant effect on tourist attractions in a certain area. These factors differed depending on two different types of tourism: touring and destination tourism. In our case we are adding new contents to an existing geographical information system of the Slovenska Istra region [3], which are necessary for regional evaluation in view of tourism development (tourist capacities, sea-bed and shore grounds composition etc.). Individual regional factors, significant for efficient tourism product development were identified and recorded into maps which were then evaluated. By digitally overlaying – synthesizing evaluation maps of individual elements, significant for formation of specific tourism products – we obtained maps of regional suitability for individual tourism products. Based on these synthetic maps, decisions can be made on what areas of the region are best suited for specific tourism products.

2 Method After all tourism resources are identified it is important to evaluate their usage value or their suitability for eventual tourism products. Based on these evaluations we can establish what areas in the region are best suited for individual tourism products. When tourism products were first selected, we had to consider tourism resources of Slovenska Istra region, which include natural resources as well as social circumstances and general and tourism infrastructure. We also took into account the inquiry of an existing and potential tourism market, based upon modern marketing analyses and opinion polls in the region in question or similar regions worldwide. Selection of suitable factors, which are important for specific tourism products, is of key importance to region evaluation for these products. For this factor selection, target groups (market segment) for the specific products in question were also taken into account. To evaluate suitability of the region for specific tourism products and market segments (in brackets) we considered only the most important factors.        

Swimming and sunbathing (families, youth) The sun, the sea and entertainment (youth) Climatic or thermal health resorts by the coast (elders) Wellness centers and programs (managers, elders) Nautical tourism (sailors, sea-voyage fans) Diving and sea-bed observation (divers, diving and sea-life fans) Land sports (athletes on preparation, recreational sports fans) Water sports (athletes on preparation, recreational sports fans) WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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 Golf (golf lovers, their friends and families)  Natural science and environment education (specialists – researchers, school groups, nature lovers)  Tourism on farms (families with little children, elders, nature loves)  Discovery itineraries (culture and nature lovers, gastronomy fans, children, religious people)  Congressional tourism (education participants, experts, scientists)  Gaming tourism (gambling and entertainment lovers)  Business tourism (businessmen)  Travel tourism (youth, families, recreational visitors, shoppers) Evaluation of the region’s suitability for specific tourist products has been carried out with the help of a geographic information system (GIS) Idrisi [4]. Locations of different factors in the region (for instance: hotels) were implicated on individual layers or maps, giving us a computer processed map for each factor that is significant for at least one tourism product. These maps show us a layout of each factor in the region. To assess the suitability of the region for a specific tourism product, we then overlaid the maps with all the factors, significant for this product. The more factors appear in one specific area, the more suitable that area is for the tourism product in question. The evaluation maps for individual tourism products thus show what areas are best suited for each products development. The presented model shows us which factors are momentarily significant for individual tourism products. There are two things we have to keep in mind:  Usage value of tourism resources changes with regard to specific tourism product’s demands  Anthropogenic tourism resources can be recreated in certain areas, thereby changing the suitability level of these areas Updating databases in an existing GIS is a quick way to get an up-to-date model. New factors can be added in a similar way if they appear or if they become significant for a certain tourism product. It is also possible to exclude factors of no more value or even add value to certain factors, should circumstances prove this a necessary action. Individual factors were treated as equally important, because the literature we had gave us no basis to value different factors differently or to attribute different value to specific factors. The importance of one factor group (natural factors, general of tourism infrastructure) can nonetheless be higher in certain tourism products. In our case of evaluation this is showed by a larger number of factors in more important groups, while other – less significant or non-significant groups are represented by only a few factors or none at all. For instance: When we take into account the tourism product “swimming and sunbathing”, natural factors are represented in larger numbers (duration of suitable seawater temperature, sea-bed composition, littoral ground composition, swimming water quality), followed by general infrastructure factor group (basic beach organization, traffic WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

622 The Sustainable World accessibility); while the tourism infrastructure factor group is the less significant group in this case. An evaluation of suitability of Slovenska Istra for selected tourism products will be presented in the following chapter.

3 Evaluating the Slovenska Istra region for selected tourism products 3.1 Swimming and sunbathing By the process of evaluation we came to the conclusion that this tourism product can make use of the beaches alongside the Slovenian coast where there are places with accommodation capabilities. The part of the coast that Luka Koper occupies was excluded. The climate is fairly unified in the entire coastline region up to 200 or even 250 m height above sea level has a coastal climate that according to Köppen fits the Mediterranean climate criteria [5]. The only exceptions are lower valley parts that have temperature inversion. Sea temperature exceeds 18°C between 12th May and 7th October. Some cliff beaches with north-east or east position are not best suited for afternoon sunbathing as the sun sets some time earlier there (around 6 PM). Beaches differ in size as well as in shore and sea-bed ground composition (stone – mostly rocks, gravel, sand, slime or concrete beaches). Sand beaches with wooden piers are the most popular ones (“Adria” Ankaran, Health resort Krka Strunjan, central beach – Portorož). Swimming and sunbathing requires seawater quality, beach safety and quality beach services, with good environmental education and information. Considering these criteria some beaches stand out and received an international ecology mark Blue flag by the Foundation of European environmental education (FEEE). The following beaches gained the Blue flag in 2009: city beach Koper, Žusterna, St. Simon’s bay in Izola, Health resort Krka in Strunjan and central beach in Portorož. Communal services regularly clean up all the beaches in settlements (even the unregulated ones). Other unregulated beaches that are off-reach are being cleaned by a boat dispatched by the Service for coastal protection (SVOM) of the Ministry for environment and spatial planning in Koper. Some other important beaches are: “Adria” Ankaran, city beach Koper, Žusterna and St. Simon’s bay. Different events (entertaining, cultural and sports) and other services (banks, cash machines, healthcare services, pharmacies and different stores) are condensed in these coastal settlements as well. The GIS maps helped us choose the most appropriate places for individual tourism products. We should nonetheless mention that there are settlements with seaside view, reachable from the coastline by public transport within 30 minutes that belong in the second suitability group for swimming and sunbathing. Amongst these, the settlements with accommodation capabilities and minimum services level (a store, gas station, post office) are more suitable than others. Third suitability group may contain settlements, reachable by public transport within no more than 60 minutes. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3.2 Climatic and thermal health resorts by the coast The south-west orientated slopes of Ankaran, Strunjan and Portorož peninsulas, with good microclimate conditions, offer refreshing sea breeze in summer and safety from strong northeast winds in winter. These are also the sunniest areas in the region which is why these areas were the first tourist destinations in Slovenska Istra region. In times of Austrian-Hungarian government they built health resorts for children rehabilitation here – Seehospitzi, which then became climate health resorts. At Portorož the program now contains healing with salt water, salty marine mud – fango, derived from nearby saltpans and lately thermal water as well. In nearby parks, which are today highly valuable, Mediterranean and exotic trees sorts were carefully planted. Nowadays, there are two resorts which benefit from this historic climatic health resort renomé and beneficial microclimate effects. These are Mladinsko zdravilišče in letovišče Rdečega križa Slovenije (Youth’s Red Cross Resort of Slovenia), and Health resort Strunjan. Terme Portorož recently obtained thermal health status. 3.3 Wellness programs Wellness program services are the most asked after tourism services today. Some hotels, especially at Portorož have already organized these services while others have plans on doing so as well. Wellness centers include water parks or swimming pools with different attractions and water massages, physiotherapy services, saunas, fitness programs, massage programs, cosmetic saloons and antistress programs. Presently there are a few hotels that can offer services in this extent: Žusterna in Koper, Bernardin hotels, hotels LifeClass in Portorož. Many other hotels offer some of these services, usually saunas, pools without the additional attractions, fitness programs, sometimes even physiotherapy and water massages. Wellness centers with the entire service program are planned in Ankaran, Izola and Lucija. This form of tourist services also demands hiking and natural recreational possibilities, which is why some inland places out of immediate seaside proximity also come in question. 3.4 Nautical tourism All three marinas (Koper, Izola and Lucia) offer quality services and environment, which is proved by the three “Blue flags” obtained by FEEE. Their joint capacity is 1.900 sea-berths and 200 shore-berths with 2.100 shoreberths in Yachting center Izola. Koper also has plans for an additional 700 berth marina. The three city harbors and central docks offer some short-term berths as well. The region’s traffic accessibility for boat owners is suitable. The highway connects our marinas with all the major central-European cities, which makes our marinas the quickest access to Adriatic Sea. Portorož has a small airport where smaller personal type of aircrafts can land. Upgrading the airport would give us possibilities of regional range air travel. The closest bigger airport with regular flights to European capitals is in Trieste, Italy (50 km) others are WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

624 The Sustainable World Ljubljana (150 km), Pula, Croatia (120 km) and Venice, Italy (170 km). These airports also have connection to New York three times a week. The weakest traffic point is railroad connection with inland regions. The railroad is overencumbered by cargo transportation from Luka Koper and thereby fails to meet passenger transportation demands. Shopping possibilities are vast. Koper has two large shopping centers. There are number of settlements in the region with gaming centers among which the largest one is in Portorož. Nature preservation is in enviable state. Sub-aquatic parks still need to be organized and natural reserves need to be promoted. Entertainment and cultural events in the region are numerous and diverse, as well as secondary services like equipment and vessel renting and servicing, spare parts sale, diving centers and schools etc. The largest international boat show in Adriatic is held at Portorož Marina every year as well as four other similar shows. In the autumn 2002 the Marina at Izola was the host of an international nautical exhibit “Izola 2002” and ever since become an annual event. 3.5 Golf The golf course in Lipica is the closest to the Slovenska Istra region, but the leading tourism managers of Portorož believe it is too remote and with only nine holes it does not meet the international tournament standards. It may have a growing potential but that potential has not been put to use lately. For a quite a while managers have been pointing out that the region needs a good golf course to raise its tourism quality. They believe that such a course should be built near the main tourist destination – Portorož. A special spatial evaluation of possible locations in the region has been carried out. One of the biggest obstacles in choosing out a surface of 60 hectares for the course is highly fragmented ownership of land. A proposition for the construction of the course in the lowest area of valley of Dragonja has been formed. This area lies under a settlement of Sečovlje and vis-à-vis the Portorož airport. Majority owners of these lands are almost exclusively the Piran municipality and the Agricultural lands and forest fund of Republic of Slovenia. There are small parts within private ownership only. Another, very common obstacle on this location though. It lies on an area that has the best quality rural grounds. Re-categorization has already been confirmed by the Ministry of agriculture, which believes that all the characteristics of a golf course allow immediate change of categorization back to rural use, should this demand show substantial. The Ministry also believes that a golf course will have positive effects on countryside development an agriculture development as well. Similar strategic agreements, about the necessity of a golf course have been made by tourist development planners at Ankaran peninsula [6]. Assessment of spatial evaluations and additional studies of economic justification have to be carried out before we can come to a decision on a most suitable and attractive microlocation. Luka Koper with its partners supports the construction of a golf course on an “Ankaran bonifica”, but the location has similar issues as the one near Sečovlje. It lies at the bottom of a valley and thereby lacks attractiveness. It actually has some unpleasant sights: Luka Koper’s scattered cargo terminal and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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tanks for oil derivates under Sermin. The proposed location in Osapska dolina lies in a highly qualitative rural area as well. Best golf course locations would definitely be a gazebo location on top of a ridge of on mildly inclined slopes with seaside view. Such a location would be one of the proposed complexes on Krog above Sečovlje, which fail through because of a denationalization demands. The most attractive golf courses worldwide are the ones that emphasize special local environmental characteristics. These conditions would be best represented in a location above Izola – the Baredi. 3.6 Natural sciences and environmental education In the case of this tourist’s product the countryside has advantage in tourist resources over urban and suburban areas. Another interesting fact is that almost every countryside settlement in the region has a certain appeal for tourists or can at least be used as an accommodation. We have to point out two especially attractive areas: “Nature park Dragonja” and “Regional park of Kras”. We need to emphasize that the construction of a pathway network is at its beginnings (cycling and hiking path Porečanka, cycling path in Kras inland on Pregarska planota etc.). Tourist information centers at Ankaran and Šmarje represent an ideal basis for what an organized tourism should offer in terms of nature-science and environmental education programs. 3.7 Farm tourism The network of farms and wineries organized alongside the Istrian wine road are of basic importance for development of quality countryside restaurants and accommodation facilities. This product has a strong link with the “Naturescience and environmental education” product, as both have the same suitability area and they supplement each other’s content. Inland areas are also abundant with woods and preserved nature than seaside areas, which enables easy use of nature for recreational purposes. There are many cultural heritage objects present at inland areas as well, which need to be properly promoted. Local events have to be presented with a wholesome and professional approach but with no loss to local characteristics. Tourist attraction development on countryside has many possibilities: hiking, cycling, horse-riding in an intact nature with a beautiful views, visiting various traditional events, discovering gastronomical and ethnological specialties, vast cultural heritage, narrow acropolis settlements, residing in pleasing accommodation facilities, built by typical Istrian architecture principle. Stirred up hilly and fertile Mediterranean landscapes are as beautiful as the well known Toscana or Corsica, but at this stage facilities and service cannot be compared to those regions. Wine roads and enogastronomy have a rich tradition in Slovenia [7].

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626 The Sustainable World 3.8 Congress tourism Capacities for congressional tourism are the most extensive in modern congress centers in Portorož (Bernardin, the Morje Hotels, Grand hotel Metropol), but almost every hotel in the region has at least one congress room. These facilities are often offered together with wellness centers and similar services, as congressional guests often need relaxation and recreation. These guests also go shopping very often and that is why we have to keep that service in mind when congressional tourism is in question. A lot of these guests do their shopping in two bigger shopping centers in Koper or at smaller ones located at Lucija, Izola and Koper as well; some even go shopping in nearby Italy. 3.9 Gaming tourism The only gaming house with a state concession for big gaming houses in Slovenska Istra is the one in Portorož. Smaller ones in size and contents are in Žusterna, on a Slovenian-Italian boarder at Škofije, and at Vila Andor - Ankaran. The gaming house at the border crossing in Škofije is momentarily expanding its activities. Other gaming saloons in the region are of negligible importance as they only consist of a restaurant and a few slot machines. As was stated above, the traffic accessibility is fairly satisfactory and will only improve when the highway network is finished. There are Domestic and international airports nearby the closest at Portorož (in need of an upgrade), Trieste, Ljubljana and Pula. Numerous yacht owners in Slovene marinas are regular visitors to gaming houses. Accommodation capacities and restaurants of high quality, which are significant for gambling guests, are condensed in Portorož, but there are some in Koper and Izola as well.

4 Conclusions Region evaluation showed that the coastline is best suitable for most tourist products that involve seaside holiday tourism. As this is the only region in Slovenia that has sea access, on account of its existing general and tourist infrastructure, has always been evolving intensively. Its mosaic and preserved Mediterranean cultural landscape is its main comparative advantage which will attract even more tourists when traffic and other infrastructures develop further more (Figure 1). We established that the inland also has a great potential although at this stage it is still fairly unexploited. Comparative advantages of the inland are its pleasant and heterogeneous Mediterranean landscapes, preserved natural values, friendliness of the local inhabitants, rich and typical cultural heritage, Istrian culinary together with quality wine (with geographical origin) drinking culture etc. There used to be no tourist development within inland regions, so in turn there is small or even lacks of tourist infrastructure. With systematic tourist development of countryside areas we could implement new tourist infrastructure: such as management of reserved nature areas [8], accommodation capacities, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Legend: Natural park Dragonja (suggested) Kras regional park (suggested) Other natural values Other tourism resources Traffic network Figure 1:

Region evaluation for all the tourism products.

cycling, hiking, thematic and other paths for recreational purposes and other nature activities, sports courts and halls, golf courses and tourist informational centers. Different countryside events need to be organized and promoted, to present traditional activities and customs. The results evaluated of tourist resources at Slovenska Istra showed that the region has various tourist resources which enable different tourist products to be formed in coastal settlements as well as in whole region area. The stated offers in this industry are suitable for a variety of tourist groups, subject to destinations, transition both in quality and price and for the whole region to develop suitable tourist applications, a fair amount of prudent investments will have to be made both in infrastructure and personnel. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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References [1] Guigo, M., Davoine, P.A., Dubus, N., Guarnieri, F., Richard, B. & Bailly, B, Gestion de l’environnement et systemes experts. Pariz: Masson, 1995. [2] Gunn C.A., Tourism Planning. Levittown: Taylor & Francis, 1994. [3] Jurinčič, I., Regional evaluation of possible location for industrial location (with use of geographic information system), Ljubljana: Faculty of Arts, Department of Geography, 1993. (In Slovene). [4] Eastman, J.R., Idrisi 32: Guide to GIS and Image Processing. Worcester: Clark University, 1999. [5] Ogrin, D., The Climate of Slovene Istria. Koper: The Historical Society of Southern Primorska, 1995. (In Slovene). [6] Jurinčič, I. (ed.), Ankaran peninsula - Future recreational zone between Italian Muggia/Milje and Slovene Koper/Capodistria. Koper: PHARE and Municipality of Koper, 2001. [7] Jurinčič, I & Bojnec, Š., Wine tourism development: The case of the wine district in Slovenia. Tourism 57, pp. 435-448, 2009. [8] Jurinčič, I. & Popič, A., Sustainable tourism development in protected areas on the pattern of Strunjan lanscape park. Varstvo narave 22, str. 177-192, 2009.

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An appraisal of incentives for developing green hotel buildings P. Sloan, W. Legrand, C. S. Kaufmann & M. Belz 1

International University of Applied Sciences, Bad Honnef, Germany

Abstract In 2007 the UNWTO forecasted a doubling of international arrivals by the mid 2000s [1]. This coincides with ever increasing pressure from across society for the tourism and hospitality industries to present a more sustainable future. Since nearly all tourism arrivals include overnight stays, the first line of attack by the hospitality industry in the fight against excessive use of expensive fossil fuels is making buildings more energy efficient. Depending on the climate, the costs for energy on average represent 30–35% of a hotel’s operating costs [2]. This study aims to identify those incentives for German hoteliers that make building, renovating, or expanding hotels in an energy efficient manner attractive and conversely to uncover reasons that hinder this trend. According to the Building Design & Construction [3] study 65% of hoteliers have already incorporated sustainable concepts into recent hotel building or renovation work citing guests’ expectations as the major motivation factor. The result is comparable to the findings of this study where more than half of the respondents give the same reason for this type of investment. Nearly 90% of the study population regards the construction of a green hotel as more than 11% costlier than a conventional building. This is astonishing because different investigations have shown that the costs of green buildings do not exceed more than 10% of initial construction costs. Compared to conventional buildings the medium cost increase of LEED certified buildings is about 1.6% [4]. The second biggest obstacle is the lack of financial incentives and state subsidies (49.6%). In conclusion, energy efficient and environmentally friendly hotel real estate investments are only of interest to most hoteliers, at the present time, when subsidies are available. Keywords: energy efficient building, German hospitality industry, incentives and hindrances.

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1 Introduction The great environmental challenges of our time are to reduce mankind’s dependence on fossil fuels, develop new energy sources and reduce carbon dioxide emissions. Despite the economic crisis, global energy demand is set to double by 2050 and possibly by 2030. During this period world population will increase from currently 6.5 billion people to about 9 billion people [5]. Additionally, in the near future the world reserves of non-renewable energies might not be able to cover the demand. At the moment, coal, gas, and oil cover around 80% of the worldwide energy demand, and are responsible for most of the carbon dioxide emissions and other greenhouse gases that are heating up the planet. Therefore, renewable energies such as solar energy, wind and biomass fuels have to cover the demand in the future [6]. According to the UNEP, the travel and tourism industries presently generate already 5 per cent of global CO₂ emissions [7]. Current forecasts predict that “in less than thirty years if no action is taken today, CO₂ emissions generated by tourism will be more than three times higher than today” [8]. While the accommodation sector is one of the tourism industry’s largest economic drivers, it is also one of the most energy-intensive parts of the industry, responsible for 21 per cent of total CO₂ emissions in global tourism [9]. Accordingly “among the greatest polluters and resource consumers within the service industries” [10] the whole value chain and life cycle of hospitality operations should be reviewed in order to minimize negative impacts on surrounding ecosystems. As the international tourism market continues to grow, it will have a major impact on the environment and thus responsible for climate change. Baker [11] has reported that the WTO “forecasts that internationals tourism arrivals are expected to reach over 1.56 billion by the year 2020 compared with a figure of 760 million in 2004. Of the 2020 arrivals, 1.18 billion are forecast to be intraregional and 277 million will be long-haul travellers. At some point on their journey, most of them will need somewhere to stay” [12]. Hence, the hospitality Industry has an intrinsic link to the building industry. According to the United States Energy Information Administration (EIA) buildings are responsible for nearly half (48%) of total energy consumption and greenhouse gas emissions annually [13]. 76% of all electricity generated by U.S. power plants goes to supply the Building Sector [14]. Thus, the building sector as the main contributor to climate-changing toxic substances has got a high potential to reduce worldwide greenhouse gas emissions [15]. According to the WBSCD study ‘Energy Efficiency in Buildings’, 40% of global energy consumption and thus environmental pollution is caused by worldwide energy-use of buildings [16]. This demonstrates how huge the potential is to save energy that incidentally reduces environmental pollution and is in line with the UN targets to reduce global warming. According to the International Tourism Partnership (ITP) environmental responsibility for hotels begins with the design and construction process of real-estate development. This study aims to identify those incentives for German hoteliers that make building, renovating, or expanding hotels in an energy efficient manner WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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attractive. Conversely, the study also aims to uncover reasons that hinder this trend. An Industry wide survey was conducted covering a variety of 145 privately owned hotels and chain hotels. In 71% of hotels questioned, it was the owner that answered the online questionnaire.

2 Literature review The building industry has the largest potential for delivering long-term, significant and cost-effective greenhouse gas emission reductions including CO2. With proven and commercially available technologies, the energy consumption in both new and existing buildings can be cut by an estimated 30 to 80 percent during the life-span of a building [17]. Buildings have a relatively long life, therefore, action taken continue to affect their greenhouse gas emissions over many years. Energy “is essential for heating, cooling, lighting and circulating water around buildings and for ensuring a comfortable internal environment” [18]. Nevertheless, energy generation and consumption have huge environmental impacts and financial costs. In 1970, a barrel of crude oil cost 3 US dollars. Since this time there has been a rapid increase in cost of oil. A record was reached in 2008 when a barrel of crude oil reached the price in world markets of 146 US Dollars [19]. The price for natural gas is strongly connected to the price of crude oil. In addition, prices for electricity increased by nearly 40% in Germany between 2000 and 2009 [20]. Depending on the climate, the costs for energy on average represent 30–35% of a hotel’s operating costs. Energy efficiency techniques for hospitality operations as well as renewable energy usage are one way to respond since high energy consumption and associated costs in hotels is a huge problem within this industry and are beginning to find their place in some properties [21]. Buildings are considered sustainable (green) if “they are designed, built and operated with low environmental impacts (or, in some cases with positive environmental impacts) while enhancing the health, welfare and quality of life of the people that live and work in them” [22]. Green or eco-architecture provides design in harmony with nature, including its immediate environment. Furthermore, green buildings have less negative impact on the environment and they also yield a greater return on investment [23]. The International Council for Research and Innovation in Building and Construction defined sustainable construction as “creating and operating a healthy built environment based on resource efficiency and ecological design” [24] and developed seven Principles of Sustainable Construction [25], as shown in Table 1. Research conducted by the University of Stuttgart and PE International GmbH to the topic of sustainable construction in Germany is of interest to different groups, institutions and organizations. Thereby diverse motivations, objectives and backgrounds play an important role. Experience and research have shown that buildings that are built under consideration of sustainability criteria have several advantages compared to conventional real-estate [26]. The most important benefits are shown as shown in Table 2.

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632 The Sustainable World Table 1: 1. 2. 3. 4. 5. 6. 7.

The seven principles of sustainable construction.

Reduce resource consumption Reuse resources Use recyclable resources Protect nature Eliminate toxics Apply life-cycle costing Focus on quality Table 2:

Sustainable building advantages [27].

Lower life cycle costs and insurance premium Increased market value of the property and higher productivity Improved image Reduced risks Positive influence on health of residents Reduced effects on infrastructure, environment and local economy In 2007, the Building Design+Construction (BD+C) and Hotels magazine conducted a survey asking around 5000 hoteliers on their level of interest, knowledge and proceedings regarding green buildings and sustainable management practices within their organizations. According to this US study the “overwhelming majority (88%) of survey respondents said that they were somewhat of very familiar with green building, and an equally high percentage (80%) said that they had a medium to high level of interest in green building and sustainable design” [28]. The hospitality industry “has been waiting for increased consumer demand and lower costs before it fully embraces green operations” [29]. According to Butler [30] current studies have shown that the costs for developing a green building are neutral or even insignificant. In more detail, he states that “current studies show that the cost of building to LEED standards is not greater than conventional approaches, while those buildings are healthier for occupants and less expensive to operate” [31]. Certain green innovations that lead to higher energy efficiency provide tax breaks for developers, users and owners of the property. In addition, it also has to be considered that the additional initial construction costs for energy efficient technologies will result in an increased return on investment especially due to savings in energy costs [32]. An USGBC study found out that “energy savings for green buildings ranged from 25 to 30 percent, with an average of 28 percent [33]. 2.1 Two best-practice examples In order to obtain a clearer understanding on how to build and operate environmentally friendly hotels two hotels are presented that have successfully WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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incorporated sustainable construction measures. Both hotels are privately owned and after renovation became a zero-environmental-emission buildings. 2.1.1 Best Western Hotel Victoria in Freiburg, Germany Since 2006, the Best Western Hotel Victoria in Freiburg, Germany has successfully operated in coherence with the European Eco-management and Audit Scheme (EMAS) with a very low energy use balance [34]. Thus, it is one of the few hotels worldwide with a zero-emission standard making it “the most environmentally friendly private-hotel in the world” [35]. According to the hotel’s environmental statement the property “supplies itself with emission-free power and is therefore considered a zero emission hotel” [36] referring to the nearly zero rate of harmful greenhouse gas carbon dioxide emitted by the hotel. The hotel owner, Mr. Später claims that by using intelligent, state-of-the-art technology combined with environmentally friendly and sustainable management his hotel is able to achieve environmental protection and healthy profitability [37]. 2.1.2 Hotel Stadthalle in Vienna, Austria Environmental awareness and sustainable operations are the main focus of the Hotel Stadthalle in Vienna, Austria. In November 2009 the hotel opened its new wing in line with a passive energy use standards and a zero energy balance. This means that the hotel makes its own energy requirements through a combination of renewable energy technology; a ground-water pump, a photovoltaic power plant, solar energy plant, and three wind turbines on the roof [38]. The entire heating and cooling system for this passive building, hotel is acquired through a water-heat-pump. In addition, the entire system is equipped with an essential residential-property-ventilation system that minimizes humidity. The system is supported by the solar energy plant with its 130m2 solar panels. The environmental awareness of the Hotel Stadthalle is expressed by promoting ecofriendly and sustainable management practices at operational level, all employees are trained to take environmental responsibility [39].

3 Methodology An internet-mediated questionnaire as part of a survey strategy was adopted to collect quantitative data for the primary research purpose. In order to achieve the overall aim of identifying restrictive factors that constrain the development and use of sustainable and energy efficient construction measures in German hospitality industry, the questionnaire was sent out to members of the German Hotel and Catering Association (Deutscher Hotel- und Gaststättenverband, DEHOGA). The sampling frame consisted of 4,867 hotels and guesthouses. From these 145 valid responses were received, giving an overall response rate of around 3 per cent. The choice of a self-administered questionnaire was largely based on the desire to maximise the geographic coverage without an increase in costs. The questionnaire was developed and administered using the German language. The questionnaire was developed with questions based on motivations WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

634 The Sustainable World to implement sustainable construction, actual and planned investment behaviour, as well as general questions regarding characteristics of the hotel such as categorization, size of hotel and hotel equipment. In addition to discovering errors in questions, question sequencing or instructions, the pre-test was conducted to assess validity and reliability. The questionnaire was tested by a group of 8 industry and academic professionals in the field of architecture and hospitality management. Slight modifications pertaining to linguistics in the questionnaire were consequently performed to ensure the proper understanding of the questions.

4 Findings The findings are analysed in three sections: (1) demographic profile of respondents, (2) motivations for investment, (3) cost of investment, (4) importance of sustainability factors in building and construction, (5) barriers to green technologies, (6) planned investments and (7) certification schemes adopted. 4.1 Demographic profile of respondents A large majority of the questionnaires were answered by the owners of the hospitality operations (71% of all questionnaires). The proportion of private hotels (91.7%) is higher than chain hotels (8.3%). Regarding the categories of the hotels, the largest group are middle class hotels (3*) (67.8%), followed by luxury hotels (4*-5*) (19.6%) and the minority is composed of budget hotels (1*-2*) (12.6%). On average the guest ratio in the surveyed hotels is distributed by 47.08% business guests and 52.92% leisure guests. The average hotel has 46 rooms (mean=45.57), including the smallest hotel having 5 rooms and the largest one having 428 rooms. The average occupancy percentage of is 55.2%, in 2009, the average room rate of all the surveyed hotels was 68.11€. 4.2 Motivations for investment Respondents said that the reason for investment is the extension of building capacity (rooms and restaurant) (17.3%), followed by environmental and resource-saving aspects (15%), achieving certifications for the building and operation (12.1%), and financial incentives and subsidies (11.5%). In a minority of cases (6.8%) rotational replacement was the main reason for investment in renovation, rebuilding, or expansion of the hotel real-estate. 4.3 Cost for investment According to the survey 11.3% of hoteliers assume that the cost difference between a green hotel and a conventionally constructed hotel is somewhat between no additional costs and up to 10% additional initial costs. 21.1% of respondents assume initial investment costs for a green hotel to be between 11% and 15%, followed by the majority of respondents (26.8%) assuming that a green WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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hotel will be 16% to 20% more expensive regarding the initial construction costs. For 18.3% of hoteliers green buildings cost 21% to 25% more and nearly the same proportion of hoteliers (22.5%) assume that green construction is more than 25% costlier compared to conventional buildings. These results are in line with earlier surveys supporting the presumption that the majority of German hoteliers perceive initial investment costs for green buildings compared to conventional buildings as highly expensive. 4.4 Sustainability factors in building and construction 70.8% hoteliers consider environmental aspects like primary energy demand, water quality and sewage disposal as being very important. Nearly 60% of the hoteliers (58.5%) believe the quality of the building project design and the quality of the construction to be of paramount importance. Further, the technical quality is of high importance to 55.2% of respondents such as fire protection, noise protection, and building insulation. The same proportion of hoteliers (53.1%) said that the quality of the location of their hotel building including transport connections is of high significance. Finally, building in life-cycle costs are very important to only one third of respondents (26.1%), whereas 57.7% of hoteliers said that this aspect is “important”. None of the sustainability aspects are rated as unimportant and/or very unimportant by the majority of hoteliers. Thus, it can be said that sustainability aspects are of above-average importance to nearly all hoteliers. 4.5 Barriers to green technologies The main barrier to accepting green technologies are the perceived significant initial construction costs for the majority of respondents (61.9%). The second set of biggest obstacles is scarce financial incentives and state-run subsidies (49.6%). Therefore, environmentally friendly investments and energy efficient building measures only become of interest to hotel keepers if financial incentives and state-run subsidies for sustainable building measures are available. 4.6 Planned investments However, in the research survey, the majority of respondents (75.2%) have already realised and/or will realise energy efficient building measures in the near future, for instance solar plant, photovoltaic, wood pellet heating, and insulation of the roof or the hotel frontage. The remaining hoteliers (24.8%) do not have any plans to realise energy efficient building measures. Besides passive house technology wood pellet heating systems exist in 11.5% of the hotels questioned. The findings reveal that 61.1% of budget hotels and 78.6% of luxury hotels have already realized and or planned for 2010 to put sustainable building measures into practice.

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5 Discussion Analysis highlights the reasons behind the investment behaviour: protecting the environment is more a reason for investment than long-term cost savings. Additionally, protection of the environment when investing in green architecture is of higher importance than profitability. Therefore, the major motivation for hoteliers to invest in the hotel property is primarily to protect the environment rather than to save money in the long-term with efficient technology. According to the Hotel Industry (2007) study [40] 65% of hoteliers already have incorporated sustainable concepts into recent hotel building or renovation work citing guests expectations as the major motivation factor. The result is comparable to the findings of this study where more than half of the respondents (53.5%) give the same reason for this type of investment. However, compared to the findings of the Hotelinvest studies of 2009 and 2010 that conclude a depressing economical situation in Germany and a morose investment climate are slowing down hotel building investment the findings of this survey are quite positive [41]. This research shows that around 70% of respondents are planning to invest more in 2010; the Hotelinvest study in 2010 [42] discovered only 40% (25%). The reason for this may be that the actual Hotelinvest study collected the data in November 2009, whereas for this study the data was collected in March 2010. In Germany, on January 1st, 2010 the new value-added tax (VAT) for the hospitality industry came into force, reducing the VAT from formerly 19% to only 7% [43]. This tax shelter might have resulted in the increased investment behaviour identified in this study.

6 Conclusion Rising energy costs, escalating operating costs, greater environmental awareness across society and evolving consumer preferences lead hoteliers to uncover new ways to gain a competitive edge in a huge global industry. Progressively minded hoteliers are looking towards green architectural design to attract a new generation of consumers and exploit an array of technologies that use renewable energy sources. As the availability of fossil fuels such as oil, coal and gas decline new renewable energy sources are emerging as replacements that do not carry the burden of an indelible carbon footprint. Already, examples of zeroenergy, zero-polution hotels exist, be they few and far between. This study shows that many German hoteliers have a growing awareness of environmental degradation and some are willing to invest in technology that will buck this downward spiral. However, many still believe that investment in green architectural initiatives and renovations will prove more costly than quick fix solutions even though sustainable technologies would be financially viable according to studies completed by McKinsey and national building accreditation organizations such as LEED and BREEAM. Since the potential to decrease energy use and carbon emissions in all industries is largest in the building sector it is reasonable to assume that green architectural design in hotel operations will

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increase in the near future as society realizes that it cannot go on degrading the eco-systems and resources of this planet indefinitely.

7 Recommendations and further research Since this study was only conducted in three German states, a more general comparison of the findings to other German states and to other countries should be made. Additionally, it would be interesting to analyze this subject with a qualitative research approach. Certifications for sustainable buildings should be developed internationally and specifically for the hospitality industry. Green building terminology is not internationally agreed upon and should be regulated by law. Thus, generally accepted definitions are needed and should be developed soon. Since initial construction costs are the main barrier for hoteliers to implementing sustainable construction measures more case studies highlighting individual solutions should be developed. Here, two project types should be analyzed: initial construction costs for renovation of existing hotel buildings vs. initial construction costs for newly build hotels. Finally, low-interest investment facilities should be created for hoteliers in addition to attractive governmental subsidies in order to stimulate green architectural initiatives.

References [1] UNWTO (2008). World Tourism Barometer. Retrieved June 19, 2010 from http://www.tourismroi.com/Content_Attachments/27670/File_6335137500 35785076.pdf [2] Building Design & Construction (BDC). Hotel Industry Slowly Overcomes Reservations about Green Building, p. 46, 2007. [3] Building. Green construction not as expensive, 2008. www.building.co.uk/sustain_story.asp?sectioncode=747&storycode=31282 09&channel=747&c=3#ixzz0iH5M0h7E [4] United Nations (UN), About the UN Commission on Sustainable Development (CSD), UN Department of Economic and Social Affairs Division for Sustainable Development, 2009. www.un.org/esa/dsd/csd/csd_aboucsd.shtml [5] United Nations Environment Programme (UNEP), United Nations Environment Programme: UNEP Milestones, 2003. www.unep.org/Documents.multilingual/Default.asp?DocumentID=287 [6] United Nations Environment Programme (UNEP), United Nations Environment Programme: UNEP Milestones, 2003. www.unep.org/Documents.multilingual/Default.asp?DocumentID=287 [7] United Nations Environment Programme (UNEP), Building Capacity on Climate Change and Tourism, International Task Force on Sustainable Tourism Development. www.unep.fr/scp/tourism/activities/taskforce/pdf/ fact%20sheets%20pdf/-Climatechange.pdf

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638 The Sustainable World [8] United Nations Environment Programme (UNEP), Building Capacity on Climate Change and Tourism, International Task Force on Sustainable Tourism Development, p.1. www.unep.fr/scp/tourism/activities/ taskforce/pdf/fact%20sheets%20pdf/-Climatechange.pdf [9] United Nations Environment Programme (UNEP), Buildings and Climate Change: Status, Challenges and Opportunities, eds. P. Huovila, M. AlaJuusela, L. Melchert, and S. Pouffary, UNEP Sustainable Buildings and Climate Initiative, Paris. 2007 [10] Sloan, P., Legrand, W., & Chen, J. S., Sustainability in the hospitality industry: Principles of Sustainable Operations, Butterworth-Heinemann: Oxford, p.6, 2009 [11] Baker, C., (ed.). Sustainable hotel - siting, design and construction, International Tourism Partnership; London, 2005. [12] Baker, C., (ed.). Sustainable hotel - siting, design and construction, International Tourism Partnership; London, p.8, 2005. [13] Battles, S. J., & Burns, E. M. Trends in Building-Related Energy and Carbon Emissions: Actual and Alternate Scenarios. United States Energy Information Administration Web site, Washington DC, 2000. www.eia.doe.gov/emeu/efficiency/aceee2000.html [14] Architecture2030. How to stop global warming. www.architecture2030.org/ current_situation/stop_coal.html [15] BRE., BREEAM and benefits of green buildings, 2009. www.bre.co.uk/webinar/breeam [16] WBCSD., Transforming the market: energy efficiency in buildings, 2009. www.wbcsd.org/DocRoot/WvNIJhLQBmClKuj0eN0h/91719_EEBReport_ WB.pdf [17] United Nations Environment Programme (UNEP), Buildings and Climate Change: Status, Challenges and Opportunities, eds. P. Huovila, M. AlaJuusela, L. Melchert, and S. Pouffary, UNEP Sustainable Buildings and Climate Initiative, Paris. 2007 [18] Baker, C., (ed.). Sustainable hotel - siting, design and construction, International Tourism Partnership; London, p.54, 2005. [19] BBC News, Oil price hits yet another record. http\\news.bbc.co.uk/2/hi/business/7486764.stm [20] Spiegel Online International, Skyrocketing Oil Prices Threaten Prosperity. www.spiegel.de/international/business/0,1518,556367,00.html [21] U.S. Energy Information Administration (EIA), Independent Statistics and Analysis 2010. www.eia.doe.gov/ [22] Light House. What is a sustainable building?, para. 3, 2010. www.sustainablebuildingcentre.com/learn/what_is_a_sustainable_building [23] Lockwood, C., Building the Green Way, Harvard Business Review, 84(6), pp. 129-137, 2006. [24] cited in Kibert, C., Sustainable construction: green building design and delivery, John Wiley & Sons, Inc: New Jersey, p. 6, 2008. [25] data retrieved from Kibert, C., Sustainable construction: green building design and delivery, John Wiley & Sons, Inc: New Jersey, p. 6, 2008. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[26] Braune, A., Sedlbauer, K., Kittelberger, S., & Kreissig, J., Potenziale des nachhaltigen Bauens in Deutschland: Analyse der internationalen Strukturen, Stuttgart, 2007. [27] data retrieved from Braune, A., Sedlbauer, K., Kittelberger, S., & Kreissig, J., Potenziale des nachhaltigen Bauens in Deutschland: Analyse der internationalen Strukturen, Stuttgart, 2007. [28] Building Design & Construction (BDC). Hotel Industry Slowly Overcomes Reservations about Green Building, p. 44, 2007. [29] Butler, J., The Compelling Hard Case for Green Hotel Development. Cornell Hospitality Quarterly, 43(3), p. 237, 2008. [30] Butler, J., The Compelling Hard Case for Green Hotel Development. Cornell Hospitality Quarterly, 43(3), pp. 234 – 244, 2008. [31] Butler, J., The Compelling Hard Case for Green Hotel Development. Cornell Hospitality Quarterly, 43(3), p. 234, 2008. [32] Business Travel News (BTN), Hoteliers Building Green Properties, 2007. [33] U.S. Green Business Council (USGBC), What LEED Is. http://www.usgbc.org/DisplayPage.aspx?CMSPageID=1988 [34] Hotel Victoria, Umwelterklärung 2007, www.hotelvictoria.de/wsbk/ dokumente/Umwelt/Umwelterklaerung2007.pdf [35] Hotel Victoria, Umwelterklärung 2007, www.hotelvictoria.de/wsbk/ dokumente/Umwelt/Umwelterklaerung2007.pdf [36] Hotel Victoria, Umwelterklärung 2007, p. 3. www.hotelvictoria.de/ wsbk/dokumente/Umwelt/Umwelterklaerung2007.pdf [37] Hotel Victoria, Umwelterklärung 2007, www.hotelvictoria.de/wsbk/ dokumente/Umwelt/Umwelterklaerung2007.pdf [38] Reitterer, M., Hotel Stadthalle, 2009. www.hotelstadthalle.at/de [39] Reitterer, M., Hotel Stadthalle, 2009. www.hotelstadthalle.at/de [40] Building Design & Construction (BDC). Hotel Industry Slowly Overcomes Reservations about Green Building, 2007. [41] Allgemeine Hotel- und Gastronomie-Zeitung (AHGZ). Hotelinvest 2010: Investitionsverhalten der deutschen Hotellerie im Bereich 2- bis 4-Sterne, www.ahgz.de/themen/studien/hotelinvest.php [42] Allgemeine Hotel- und Gastronomie-Zeitung (AHGZ). Hotelinvest 2010: Investitionsverhalten der deutschen Hotellerie im Bereich 2- bis 4-Sterne, www.ahgz.de/themen/studien/hotelinvest.php [43] Allgemeine Hotel- und Gastronomie-Zeitung (AHGZ). Die Steuersenkung nutzt allen, 2010, www.ahgz.de/news/Die-Steuersenkung-nuetztallen,200012172732.html

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The hospitality sector: innovations addressing environmental concern E. Szymańska Department of Tourism and Recreation, University of Technology in Białystok, Poland

Abstract There are several types of innovation in tourist enterprise, including products, processes, technology and organization. Product and technology innovations have been widely covered in the literature; whilst information about innovations of both processes and organization is far more limited. One other type of innovation receives scant attention: that is in the area of environmental concern. The objectives of this article are: to determine the level of innovativeness within the hotel sector in terms of the implementation of environmental innovations, and to define the main types of innovations. In respect of these objectives, the following hypothesis is presented: innovativeness of the hotel sector in environmental terms depends somewhat on the extent of international co-operation. When calculating the level of innovatibility of hotel facilities one of the indicators recommended by the Oslo Manual (Bohdanowicz P., Turystyka a świadomość ekologiczna, Wydawnictwo Adam Marszałek, Toruń, 2006) was used, namely: the intensity of innovation. The author selected a random sample without replacement of registered hotel properties operating in Poland using an at random without replacement method. The diagnostic poll method was based on the survey questionnaire which included key questions about innovations introduced in the field of environmental protection. Research questions were constructed in the form of a half-open cafeteria. Research utilizing the diagnostic poll method was carried out on 100 hotels in Poland in order to verify this hypothesis. The results obtained can be regarded as a basis for further detailed studies of innovativeness in tourism-based enterprises and so could well prove to be invaluable in running such businesses. Keywords: environmental innovations, hotel sector, research. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100581

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1 Introduction The objectives of this article are: to determine the level of innovativeness within the hotel sector in terms of the implementation of environmental innovations, and to define the main types of innovations. In respect of these objectives, the following hypothesis is presented: innovativeness of the hotel sector in environmental terms depends somewhat on the extent of international co-operation. A research utilizing the diagnostic poll method was carried out on 100 hotels in Poland in order to verify this hypothesis. The results obtained can be regarded as a basis for further detailed studies of innovativeness in tourism-based enterprises and so could well prove to be invaluable in running such businesses.

2 Innovations in the hospitality sector Innovation is a purposeful and organized seeking of changes and systematic analysis of opportunities to social or economic innovations which could be possible through such changes [6]. According to the Oslo methodology, an innovative company is the one which implements at least one innovation within a given period of research, usually a three-year research. Such innovation is understood as technological innovation, a new or improved product or new or improved process which is considered as a novelty, at least from the given entrepreneur’s point of view [12]. In the literature on this subject we can encounter a variety of innovations; however Schumpeter’s Theory of Economic Development seems to be the most suitable in this case. Schumpeter’s Theory is a base for the Oslo methodology and has been modified by the author, so that it distinguishes several types of innovations, concerning: product (including both products and services), process, technology (frequently identified with processes), organization and, natural environment protection. Figure 1, below, presents division of innovations within a tourist business. Product innovations include all modifications, improvement and changes concerning tourist product, and especially introducing new tourist products to the market. Technology innovations involve introducing new technologies. Process innovations concern improvement of the main process in an organization, e.g. purchase of new machines which can give advantage over the competitors. Organizational innovation includes the following changes [21]:  implementation of advanced management techniques  implementing essentially altered organizational structure  introducing new or vitally changed organization’s functioning strategies Innovations concerning natural environment protection involve actions aiming at appropriate utilisation and renewal of environmental resources and elements [20].

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I n n o v a t i o n s

Product Introduction of new offers

Changes in current offers

Process

Organization

Technology

Changes methods management

in of

Changes management structure

of

Changes functioning strategy

of

New ways of offering of services

Environmental Concerning Natural Environment

Changes of methods of retail and management

Figure 1:

Innovations in composition.

tourist

businesses.

Source:

author’s

own

Innovatibility, however, is the process of denoting the ability of the company to continuous research and use of amendments in order to use them to create innovation.

3 Environmental protection in tourism Tourism is the area of the economy, whose growth opportunities are very closely linked with the condition of the environment, and this, in turn, significantly depends on how you implement tourism [18]. However, there is a shortage of literature studies on the role of tourism as an agent of pro-environmental transformation in the economy [8]. Despite the fact that natural beauty has always been an important element in tourism development, the industry has long ignored the fact that their activities lead to environmental degradation [1]. The tourism industry was considered almost as “clean industry” [23]. This attitude has changed for many years and tourism is indicated as one of the greatest threats to the environment. An excessive amount of traffic on the routes and the routes leading to the travel destinations is a major factor which interferes with the natural environment and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

644 The Sustainable World local residents. I. Pezdan believes that tourism involves more than half the total amount of traffic and consequently emissions [13]. The increasing consumption of resources, such as water and energy, as well as waste generation and pollution of these waters are further, negative effects of modern mass tourism [22]. Recently we have witnessed attempts to change this situation by developing environmentally-friendly forms, and especially ecotourism [9]. For example, J. Krippendorf characterizing the modern mass-tourism regards it as opposed to a soft tourism, which does not endanger the environment [17]. Representatives of the tourism industry appreciated the importance of environmental problems at the end of the seventies of the last century, what resulted, in 1979, in the appointment by the Executive Board of the World Tourism Organization the Committee for the Environment [13]. The task of the committee was the issue of protection of natural values. World Conference on Tourism, held in Manila in 1980 resulted in the publication of the Declaration on World Tourism (“Manila Declaration on World Tourism”). Two years later, the World Tourism Organization (WTO) and United Nations Environmental Programme (UNEP) jointly announced the “Declaration on Tourism and the Environment” (“Joint Declaration on Tourism and Environment”). In 1985 in Sofia, the “Manifesto of the Rights of Tourism (Tourism Bill of Rights”) and “Code of Tourism” (“Tourism Code”) were published. Another important document was the “Declaration on Tourism” (“The Hague Declaration on Tourism”); signed in Hague in 1989, which once again raised the issues of necessity to protect the environment from devastation by tourists [1]. However, a milestone was a United Nations conference in Rio de Janeiro, known as the “Earth Summit”, which resulted in the creation of a global strategy for sustainable development. In 1995 at the International Conference on Sustainable Tourism held in Lanzarote, the Canary Islands, the Lanzarote Charter for Sustainable Tourism (“Lanzarote Charter on Sustainable Tourism”) was declared [1], which initiated a study on the possibility of introducing the idea of sustainable tourism, which is the part of the idea of sustainable development. By sustainable development we understand the type of development which can meet the current generation’s needs without diminishing the ability of future generations to meet theirs [2]. One of the well-known international enterprises in the field of environmental management systems is the “Green Globe”, launched in 1994 by the World Travel and Tourism Council (WTTC). In 1999 the Green Globe 21 Certification was founded – an utterly independent organization which verifies business and tourist areas for compliance with environmental standards [7]. Referring to the question of sustainable development, P. Wight [16] says that many tourist companies attach increasing importance to the problem of accountability to the environment and treat economic reasons with equal importance to the social and environmental considerations. More and more tourists attach importance to protecting the environment and they expect the same from the tour operator. With the increasing environmental awareness among tourists and local people, there is a growing concern for the environment. Environmental awareness is increasingly a critical factor in deciding where to rest. At present, there is not only the standard of tourism WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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infrastructure and services that count, but also the quality of the environment [10]. To adapt to this trend, hoteliers introduce on their premises proenvironment solutions and tour operators seek to enter into contracts with facilities that meet the criteria for ecology and which are situated on the clean areas.

4 Methodology of study On the basis of theoretical knowledge and practical experience derived from surveys carried out to examine the innovatibility of hotel facilities, recommendations on key aspects of collecting and analyzing statistical data on innovatibility in enterprises included in the Oslo Manual were used [12]. This approach is warranted, since this publication refers to the sphere of tourism services, to which reference may not be made with use of commonly applied indicators for measuring innovation, such as statistics on patents and indicators of resources spent on research and development (R & D) [12]. When calculating the level of innovatibility of hotel facilities one of the indicators recommended by the Oslo Manual was used, namely: the intensity of innovation. In this publication it is assumed that the measurement of innovation in environmental protection in the hotel industry may serve the following variables that can be determined as the intensity of innovation:  range of innovations introduced in the study area,  plans for the introduction of environmental innovations. This document is recommended to carry out tests on samples to which individuals should be selected at random (random sample surveys of the known probability of winning). The author selected a random sample without replacement of registered hotel properties operating in Poland at random without replacement method. The report prepared by the Institute of Tourism on behalf of the Central Statistical Office reports that at the end of 2006, 6718 room establishments were registered, among which there were 2,443 hotel properties (including registered hotels – 1370) [14]. To conduct statistical surveys on innovation, you can use different methods, and the Oslo Manual suggests surveys; this method was also applied by the author. It is recommended that the length of the period under observation in the study of innovation does not exceed three years and is not shorter than one year, so the author of the research took three years to capture the frequency of innovation in tourism enterprises, in accordance with the assumption that an innovative enterprise is such that have introduced at least one innovation in three years (Based on Oslo Manual the innovative firm this is the firm which made minimum one innovation in the proper time (1–3 years); in this publication – 3 years). The survey questionnaire included two key questions about innovations introduced in the field of environmental protection. The first question concerned the innovations that have been implemented within three years by the respondents in companies they represented. The second question concerned the plans, which the company intends to undertake to protect, or reduce the impact WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

646 The Sustainable World on the environment. Research questions were constructed in the form of halfopen cafeteria, which proposed several variants to the respondents to reply with a showcase form of innovation not yet included in the proposal response. To evaluate extent of international cooperation each survey participant was asked in this matter. Research question was constructed in the form of closed cafeteria with three options. In total, the survey questionnaires were obtained from a hundred entrepreneurs.

5 Innovations in the field of environmental protection in the hotel premises in the light of study Results of the first part of the discussion which concerned accomplished environmental innovations, the author compared with the large scale study conducted in the other European Union countries, particularly with similar studies carried out by P. Bohdanowicz [1]. In the hotel sector on a global scale about 40% from over 3000 respondents participating in the hospitality environmental studies conducted in 1998 by Horwath International and STR has confirmed the application of different methods of qualitative assessment of the impact of the facility on the environment, including energy and water saving, production and storage waste as well as volume and wastewater treatment [1]. According to J. Majewski, over 35% of hotel properties around the world implement comprehensive environmental programs [11]. On the other hand, test results are not so optimistic, for example, research conducted by Pricewaterhouse Coopers among the hotels in Europe showed that although 80% of hotel companies develop proenvironment policies, only 27% implemented an Environmental Management System [4]. Every eighth respondent pledged to negotiate with suppliers on the environment and its protection, 45% claimed to publish environmental reports, while 18% intend to do so soon. P. Bohdanowicz in her studies performed on the hotel premises in Poland, Sweden and Croatia reduced the scope of these environmental initiatives under three main groups of issues: energy saving, water saving and responsible waste management. The results of these studies in relation to Polish hotels showed that 83.9% of respondents demonstrated energy savings. In terms of water saving the percentage is slightly lower and amounted to 79%. Least hotels declared the responsible management of waste, and they accounted for 77.4% of the surveyed hotels in Poland. It should be emphasized that the studies were conducted in 2002 and 2003 (in two stages), and since then the results of last group of issues could change considerably in conjunction with those regulations of the Sanitary and Epidemiological Station (Pol. Sanepid) [19], which make it illegal for the food serving premises to donate food remains as domestic animals fodder. Among the initiatives designed to conserve water, the programme of towel exchange on request – according to P. Bohdanowicz – is well established at the moment in most of the European countries. This programme not only provides the energy and water saving, but also leads to a reduction in the use of detergents and extends the life of materials. This program is applied in Poland, in the light WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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of research by P. Bohdanowicz, by 64.5% of respondents, slightly above the European average, which was 60.5%. All Eco-certified hotels and every eighth hotel in Germany without certification declared to possess this program. The results of these studies can be compared with tests carried out by the author in the field of environmental innovation introduced in hotel facilities in Poland. The author provided research on innovation of entrepreneurs tourism, where the most innovative in environmental protection were the objects of hospitality. 23

No answer

3

Other

17

Energy efficient home appliances

Towel exchange on request program

24

Water saving bathroom and kitchen taps

29

17

Donating food (to restaurants)

32

Reusable dishes and containers

59

Energy efficient bulbs

44

Waste segregation

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Figure 2:

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20

30

40

50

60

70

Activities of the studied hotel premises for the scope of environmental protection (%). Source: Author’s own composition based on the research.

Among the proposed activities most popular among the respondents was the use of energy-efficient lighting, which was introduced by 59% of hotel facilities. P. Bohdanowicz’s results were in this area a bit more optimistic for Poland and amounted to 70% of hotel operators, with 55.2% for Europe. In the second place was the segregation of waste, which was done by 44% of respondents. The relevant studies suggest P. Bohdanowicz 30.6% for hotels using the segregation WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

648 The Sustainable World of waste in Poland, with an average of 47.5% for Europe. Reusable Packaging in Poland were used by 50% of hotels, the average for Europe was 32.2% [1]. These results, for the test conducted by the author, were significantly lower than the results obtained by P. Bohdanowicz for hotels in Poland and remained at the level of European average of 32%. Water saving batteries (with aeration) and toilets (dual flush) were used by 44.4% of hotels in Poland, as it is shown in a study carried out by P. Bohdanowicz, while the EU average was 36%. Sweden appeared as the best in this respect, where 61.8% of facilities had installed such equipment. However, the results obtained from the hotels studied by the author were far less optimistic and gave 29%. According to P. Bohdanowicz’s publication, energy-saving and efficient home electronics and appliances in Poland possessed 41.9%, while in Europe 45.6%40. The result obtained by the author again was much lower and amounted to only 17%. Donation of food can not fully be studied with comparison method due to different rules applied in different countries and their changes during the research period in question. Innovativeness of the hotel sector in environmental terms may depend somewhat on the extent of international co-operation. To evaluate extent of international cooperation each survey participant was asked to select one out of three possible answers: extensive international cooperation, sporadic international cooperation, no international cooperation. The research has found that the greatest amount of environmental innovations was introduced by hotels that were involved in extensive international cooperation (average 2.31 innovations). Second greatest amount of environmental innovations was introduced by hotels not involved in any international cooperation (average 2.27 innovations). The least number of environmental innovations was introduced by hotels sporadically involved in international cooperation (average 2.15 innovations). The results of individual tests, as pointed out above – in some areas differ quite significantly, but differences may arise mainly from differences between the sample singled research (e.g. only hotels, then on the other, a diverse group of hotel facilities, including hotels, motels, resorts and pensions) and the period of testing (before and after Poland’s accession to the European Union). But the overall conclusion is similar: the owners of tourism enterprises are aware of the gravity of the problems related to environmental protection and strive to realize them.

6 Planning innovation in the hotel sector on the example of hospitality facilities in Poland Environmental innovation activities at the premises of hospitality demonstrate awareness of many of the entrepreneurs in the sector of necessity for such changes. The author advanced even further in her inquiry and attempted to examine the plans of this group of companies regarding environmental innovation. The scope of planned activities in this area is shown in Figure 3.

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No answer

65

No future plans

11

Energy - efficient home appliances

8

Water saving kitchen and bathroom taps

8

Saving paper

4

Energy efficient bulbs

4

Waste segregation

8

0

Figure 3:

649

10

20

30

40

50

60

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Planned environmental activities of the studied hospitality businesses (%). Source: author’s own composition based on the research.

Results of studies on the plans to innovate in the field of environmental protection by the hotel facilities in Poland indicate a very low interest in this type of business innovation, to the extent that it is even difficult to subject it to scientific inference, since 59% of respondents did not give any answer here. Only eight subjects (8%) planned to introduce energy-efficient consumer electronics and household appliances, waste segregation and installing waterefficient kitchen and bathroom taps. Twice as few operators (4% of respondents) declared that they save paper and an equal number admitted using energy efficient light bulbs. A number of companies (10%) had no plans for the protection of the environment. It is difficult on the basis of such fragmentary results to draw a meaningful conclusion, however, the importance of this matter inclines the author draw one main conclusion – namely, it is necessary for the entrepreneurs to change their attitude to the area of business innovation in environmental protection.

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7 Conclusion The issue of innovation for environmental protection in the hospitality industry is relatively new in literature, as traditionally it is considered that the manufacturing companies and households to a much greater degree interfere in this environment. Most respondents pointed to the innovations introduced in the installation of energy efficient light bulbs, the next was the segregation of waste, in the third place, the dishes and reusable containers, followed by water-saving kitchen and bathroom taps. Then, the next innovation was the installation of energy-efficient consumer electronics and appliances, and at the end of the list was an exchange of towels on request. It should however be taken into account the possibilities that lie in tourist enterprises, whose number and area of activity extends every year. The research has found that the innovativeness of the hotel sector in environmental terms does not depend directly on the extent of international co-operation but the greatest amount of environmental innovations was introduced by hotels that were involved in extensive international cooperation. Thus research and activities in this area should be significantly expanded, not only in terms of simple actions suggested above, but also in terms of awarenessraising within business, because, as the author’s research has shown, the level of awareness is unfortunately very low, as evidenced by very modest plans by the hotel facilities for innovation in environmental protection.

References [1] Bohdanowicz P., Turystyka a świadomość ekologiczna, Wydawnictwo Adam Marszałek, Toruń, 2006. [2] Brundtland G. H., Our Common, Future, World Commission on Environment and Development, Oxford University Press, Oxford, 1987. [3] Ceballos-Lascurain H., Tourism, Ecotourism and Protected Areas: the State of Nature Based Tourism Around the World and Guidelines for Its Development, World Conservation Union, Gland, 1996. [4] Clark J. & Siddall L., European Hotel’s Implementation of Environmental Policies, Hospitality Directions – Europe Edition, July 2001, Pricewaterhouse Coopers. [5] Definicje pojęć z zakresu statystyki naukowej i techniki, GUS, Warszawa, 1999. [6] Drucker P. F., Innowacja i przedsiębiorczość. Praktyka i zasady, PWE, Warszawa, 1994. [7] Holden A., Environment and Tourism, Routledge, London, 2000. [8] Jędrzejczyk I., Ekologiczne uwarunkowania i funkcje turystyki, Wydawnictwo “Śląsk”, Katowice, 1995. [9] Kurczewski R., Ecotourism – Chances and Threats, “Ecology – International Journal for Ecology Problems of the Biosphere” (4), 2001. [10] Kurek W., Turystyka zrównoważona – turystyka przyszłości, [in:] Turystyka czynnikiem integracji międzynarodowej, eds. J. Biliński, & D. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[14] [15] [16]

[17] [18]

[19] [20] [21] [22] [23]

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Sawaryn, Wydawnictwo Wyższej Szkoły Informatyki i Zarządzania, Rzeszów, 2003. Majewski J., Hotelarstwo przyjazne środowisku – sposobem na obniżenie kosztów, “Rynek Turystyczny”, (7), 1999. Oslo Manual, OECD/Wspólnoty Europejskie/Eurostat, 2005. Pezdan I., Wybrane tendencje rozwojowe turystyki w obliczu wyzwań XXI wieku, [in:] Ekonomiczne i organizacyjne aspekty rozwoju turystyki, eds. J. Krupa, T. & Soliński, Wydawnictwo Wyższej Szkoły Informatyki i Zarządzania, Rzeszów, 2004. Rocznik Statystyczny Rzeczypospolitej Polskiej 2008, GUS, Warszawa. 2008. Vogl A., 1998 Horwath Worldwide hotel industry study, Conference materials “IH&RA 36th Annual Congress”, Manila, 1998. Wight P., Tools for Sustainability Analysis In Planning and Managing Tourism and Recreation in the Destination, [in:] Sustainable Tourism: A Geographical Perspective, eds. C. M. Hall & A. Lew, Longman, Harlow, pp. 75-91. Krippendorf J., Die Ferienmenschen. Fur ein neues Verstandnis von Freizeit und Reisen, Orell Fussli, Zurich Und Schwabisch Hall, 1984. Wojanowska J., Turystyka zrównoważona: przemysł turystyczny a zrównoważony rozwój, [in:] Turystyka czynnikiem integracji międzynarodowej, eds. J. Biliński & D. Sawaryn, Wydawnictwo Wyższej Szkoły Informatyki i Zarządzania, Rzeszów, 2003. www.gis.gov.pl www.mos.gov.pl. www.oecd.org/dataoecd. www.pot.gov.pl. Zaręba D., Ekoturystyka: wyzwania i nadzieje, Warszawa, 2000.

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Community-based tourism and the development of local small businesses in rural Baja California, Mexico G. Velázquez1, J. Valderrama1, J. Ruiz1, O. Martínez1, L. Morales2, R. Verján1 & J. Flores1 1

Tourism and Marketing School, Universidad Autónoma de Baja California in Tijuana, México 2 Engineering and Business School, Universidad Autónoma de Baja California in Ensenada, México

Abstract Rethinking rural tourism as an alternative path toward sustainable tourism is the focus of this paper. Rural tourism involves leisure quality activities with greater advantages: it is done in the outskirts, causes low environmental and sociocultural impact, and provides experiences that enrich the spirit and personality of tourists. Furthermore, it helps understand the host rural communities through friendly and respectful contact, and at the same time it generates profitable revenue which accrues a beneficial effect on the aforementioned communities. An overall tourism-based strategy of local development will require, as a condition to its feasibility, to reassess the active role of the communities, recognizing that it is in their own geographical and social scenario where all touristic activities happens, even if those are classified as small-scale economic activities. Therefore, the strategic priority requires that the local host community should be involved in all the working processes from the beginning. Effective sustainable options should then start there, “from below”, considering economic alternatives but above all being sensitive to natural, environmental and sociocultural viability, as well as taking into account the so-called “from the inside” perspective. Having started in 2003 and continuing to date, this academic task has provided to its contributors, Universidad Autónoma de Baja California researchers, the working experience with rural communities with feasible touristic possibilities. It has created, as well, the opportunity to get involved with WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100591

654 The Sustainable World the small farming and fishing communities of Baja California. These communities are also beginning to think about social welfare opportunities linked to the development and strengthening of micro and small enterprises which offer touristic services on a small scale, operating on their own, and whose benefits represent a genuine option to reduce poverty, based not only on natural and cultural attractions but also through genuine local management, organization and work. Keywords: rural tourism, sustainable development, communities, small businesses sustainable tourism, local population, tourism strategies, rural sites.

1 Introduction It has become clear that rural communities, universities and local government in Baja California, México need an overall environmental and social framework within which the transformation of rural tourism can be accomplished and practiced. A shared framework is required in order to harness the available talent and thus, to solve the existing environmental and social problems of the area and be able to advance toward sustainable tourism. The United Nations World Tourism Organization (UNWTO) [1] asserts that sustainable tourism can be a tool for economic development and poverty reduction, arguing that tourism provides opportunities for selling additional goods, while creating opportunities for local economic diversification of poor and marginal areas without other development opportunities. Contradictory to the above circumstances in this case, success in rural tourism entrepreneurships is more feasible due to specific characteristics: the area counts with natural resources richness, possibilities and development opportunities. Moreover, these communities are next to the richest State (California) from one of the richest countries of the world: United States of America. In other words, there shouldn’t be such a condition of poverty in these communities with so much wealth around.

2 Tourism reasoning Rural tourism has been considered as an alternative activity, as a development intended for low environmental and socio-cultural impact that can be a positive and enriching experience for tourists, making accessible the understanding of the host communities reality through true coexistence based on direct communication with people. There are economic benefits for the host rural community associated to tourist services and an effective strategy for the preservation of natural and cultural resources. In the context of tourism planning and development, community is ordinarily defined from a geographical perspective; as a body of people living in the same locality. However a second approach enables us to identify communities as a core of people organized and committed to their collective well-being, who live and maintain traditions strengthening their own life style, while surviving on traditional agriculture and livestock farming or fishing activities on small scales. Many of them react to the possibilities of the tourism market providing bed and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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breakfast accommodation, food and tour guide services on routes among other micro-enterprise activities associated to the tourism flow and the market opportunity brought in by it. The quality offer will be preceded by the organizational capacity available in their collective society. The community enterprise model is slowly being adapted by the communities themselves to give more responsibilities to specialized, trained members of the community. Case studies indicate that joint ventures between a community or family and an outside business partner are frequently preferable because of the need for the community to connect its small-scale venture to the outside world (Epler Wood [4] and Stronza [5]). In this social framework: “Receiving communities are a necessary component for the development of tourism”. “Local participation can be defined as the ability of local communities to influence the outcome of tourist development projects that impact on them” (Masri de Achar et al. [2]) and must participate in all stages of the process, from the identification of needs and possibilities of attention, development, discussion, analysis of alternatives and decision-making on the allocation of resources, management and operation of programs, as well as the evaluation of the entire process of planning. This local tourism development perspective should address not only under the partial consideration on opportunity to support intensive and immediate consumption of resources in the communities, whereas this is short-term situations associated with separate external proposals or initiatives of small groups locally. The proper implementation of strategies will require consensus and democratic participation of local integrated initiatives, reasoning and decision making, stimulating participation and the improvement of the local organization, encouraging the process of involvements with different levels of Governments, private and social organizations and associations. It is recognized that “the biggest problem that exists to develop supply and marketing of rural tourism services lies in the large number of people that have to engage in the same” (Zamorano and Francisco [3]). In a sequential manner with service providers, owners, farmers, entrepreneurs, and municipal and local authorities with governmental institutions, among them NGOs; all this in order to ensure sustainability, social justice and equality (Figure 1). The decisive participation of local people in the organization and management is required. Who better than them to know their problems, to determine how to meet local and their regional needs? “Who could be better than them to safeguard their inherited heritage and the culture of their community?” (Zamorano and Francisco [3]). There is the deeply rooted belief which affirms that when communities are not able to clearly, conclusively and leadingly integrate the economic development perspective, by identifying the economic and social benefits in short and long term, as well as when omitting the evaluation of natural and cultural heritage impact throughout extensive time scenarios, there will exist, besides social segregation, an attractive and touristic resource status separation, proving a null plans and projects feasibility” (Valderrama et al. [6]).

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656 The Sustainable World Human welfare and local development

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Going deeper into the scenery building task, it is acknowledged that as far as theoretical- referential sphere is concerned, “rural space is one of the places where facing modern frustrations and pressures finds its peaceful shelter, a place where sense of wonder can be recovered and regional sociocultural roots and manifestations can be approached” (Zamorano and Francisco [3]). Likewise, the possibility of articulating a series of strategies and objectives becomes viable, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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among these ones, stands out the fact of promoting compatibility between the touristic services development and natural preservation, as well as the creation of a decentralized small-scaled services offer which conforms local entrepreneurships and the development of communal management and operation abilities. Furthermore accordingly, The World Tourism Organization has raised the need to continue studying travel expectations associated with a growing interest in learning about specific features of the chosen destination, noting that tourists are, shifting to an important market trend: the rapid growth of tourism of specific interests. A finding is that “There is a rise for the protection of the environment, combined with a higher level of education of tourists; the result will be more trips to less developed places.” “In general, these tourists prefer local accommodations and points of interest and will want to know the local environment and culture.” (World Organization of Tourism [7]). 2.1 Local development Considering community-based strategy for local development must not only be an option in referential and theoretical discourse, but a real alternative for regions that have good social, environmental and economic conditions to work quality tourism projects. Therefore, given the primary and strategic nature of the receiving communities, the jointed work approach is more than a condition, is a socially validated methodological requirement. Through a targeted effort, while considering theoretical principles tends to send a message of reachable goals: “sustainable tourist development is identified as a quality change process resulting from the political will the essential participation of the local people, it takes the institutional and legal framework as well as the planning and management tools, to a tourism development, based upon a balance between the conservation of the natural and cultural heritage, and the economic viability of tourism and the social development equity” (University of Alicante [8]). Actually, quality tourism is the one developed in an integrated area where ecosystems, cultural expressions services and tourism entrepreneurships positive experiences among tourists and local residents, results in shared prosperity, higher levels of satisfaction of visitors and more revenue for those involved in tourism activities and in a significant way for host communities to take better advantage of tourism in their ongoing fight against poverty, generating conditions to develop permanent assessment, rational use and conservation awareness of existing resources. Thus, tourism development involves changes of attitude, responsibility and awareness, new lifestyles and human advancement. The communities’ capacity to response must be considered to achieve goals associated with the development project: “a series of strategies and actions by local groups must be taken to improve income, employment opportunities and their quality of life in response to market failures. Local development policies can also contribute to strengthen local participation and democracy” (Organization for Economic Cooperation and Development [9]).

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658 The Sustainable World The Organization for Economic Cooperation and Development (OECD) warns that implementation approach will depend on specific local features, recognizing that most identified benefits include the promotion of selfemployment and the creation of new micro-enterprises, domestic investment attraction, networking, and support, coordination for social-economical promotion. According to the OECD among trends of local development policies recently experienced is the reorientation of economic and social policy towards development strategies “From the bottom-up” increasingly the validity and effectiveness of the endogenous development, promoting measures to the entrepreneurship and the development of capital support. Similarly increasing recognition skills, ideas and of the local population are indisputable strengths to support the creation and expansion of local businesses reviving traditional activities, strengthening the cultural heritage and responsibly in response to the expectations that tourism generates. Local development must not continue being considered as an isolated process exclusively of endogenous nature, seeking to maximize the use of internal resources, but as a process established in a global context that strategically, responds to a valuable opportunity to touristic market, representing welfare, satisfaction and development for internal and external, perspective options to improve the quality of life, making the best use of social, economic and environmental accessible resources in the local area. 2.1.1 University participation The process of defining the overall concept of “sustainable tourism development” is a social and academic task at hand that is not concluded and lacks the necessary deepness in theory to constantly evolve through practicalmethodological approaches to the actual living circumstances in Mexico, proposed and tested by universities, among those the Universidad de Autónoma de Baja California. These opportunities have made possible the beginning of strategic planning towards sustainable tourism development. Under this design, sustainable tourism development should support primarily decisions to generate micro-enterprise developments, directed to strengthen work organization and the collective effort process and continuance of generating greater economic benefits that are able to improve the population´s quality of life, promoting environmental policies and the preservation of the existing cultural resources. Without these essential conditions, plans and projects will not be successful. For university students the start and development of the analysis and review of plans and strategies for sustainable tourism development, targets a more accurate description of the actual regional reality, provided the proper methodology is applied, and also providing valuable research and support documentation to attend the possibilities for connecting and an effective approach, positive academic participation of extended social participation. Addressing two major concerns of Mexico´s universities in their quest to support the economical forward advancement of this nation: (1) to promote and sustain the communities’ welfare through income generated based in tourism WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Linking, teaching and researching

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Strategic model for sustainable development linking university and touristic communities.

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660 The Sustainable World activities; and (2) to strengthen higher education results. This relationship can be an excellent exchange for both university and community together, acting within the framework provided by the strategies process proposed (figure 2) combining development activities: different knowledge, skills and competences in each group of training expertise required for problem solving in each of the stages defined by the model itself, emphasizing the free participation of community and total respect for their characteristics and autonomy. The strategic model focused on sustainable development strategies requires a serious commitment of students and faculty with communities and through significant learning achieving greater results from different scopes and combining knowledge from different careers. When achieved, they provide an indirect result: significant higher learning from direct actions. The experience of The Universidad Autónoma de Baja California is based on a flexible educational competencies model, consistent and appropriate to reduce the learning curve, combining theory and practice, knowledge and skill; allowing interdisciplinary and shared responsibility between student and teacher by learning immersed in reality and in problem solving actions. The educational model consists of programmes focused on learning, how to develop skills to learn in life, to gather items in order to promote student autonomy development, critical thinking, collaborative and social attitudes, professional skills and self-assessment capacity; its strength enables students to be the core of the educational process requiring new ways of conceiving substantive functions of teaching, research and extent. Such facts, regarding the undergraduate tourism degree current plan and following the guidance of teachers and tutors, enable students to participate actively deciding their training, context, promoting extra class activities, including fieldtrips practices, researching workshops exercises, independent studies, as well as social and professional services among other options. Those elements will build the framework within which they will become into learning and reinforcing knowledge and learning skills by summing up all these efforts in order to strengthen their training capacity and enhancing their effective incorporation into professional paths. When applying this strategic model into sustainable development issues, university participation’s character and attainment is defined. Furthermore, it copes with the challenge of becoming it reachable to the community in such way that this implementation should just mean a guideline and a support opportunity when making decisions. Consequently, during this process, a coordinated responsibility will be created by bringing out a valuable two-way learning, based on one of the sustainable formation postulates: “to teach in order to learn and to learn by teaching”. Therefore, if the community preserves its own dynamics’ prominence while universities (with public founding resources) access to society through its meaningful learning; the aforementioned postulate will become into an attainable goal. Moreover, this scope should integrate—to its current needmeeting and consistent programs and structures—a social changing catalytic sponsor such as this university mission could be.

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The previous statements define which part should social actors play accordingly to their own active, responsible and proficient role, asserting that planning and management require an external linkage and local strengthening relation—respectfully coordinated in order to avoid any kind of dependence— but instead, in order to truly reinforce the right communities have to decide their development and which will meet academics’ social involvement needs and their valuable participation.

3 Conclusions The possibilities of responsible and committed host rural communities’ participation—which rightfully meet local welfare needs during the planning implementation and development processes—are being weighted up, here and now. These opportunities should be promoted, as well, taking into account local entrepreneurships and small enterprises creation which respond to tourist market expectations, as part of a series of strategies and community actions to strengthen partnerships and involvement with different agents and institutions which will eventually produce better and greater scopes, by determining plans and projects socio-economic and environmental feasibility. Nowadays, local development strategies are set out as viable alternatives for social, environmental and economic profitable sites and regions which are suitable to practice high-quality tourism. Such sort of tourism should establish; on a short, medium and long term basis, an equilibrated outline merging social equity, economic feasibility, as well as, natural and cultural heritage preservation. In present times, high-quality tourism could be defined as the one which is performed within a well-bounded space where cultural manifestations, nature and authentic products-services should favour a better reality understanding of hostess communities and a highly valued coexistence between local inhabitants and tourists. Therefore, in order to set up and develop such strategies it is of paramount importance that local settlements participate being leaded by reasoning and decision, and thus, improving their domestic organisation and enhancing the establishment of individual, different governmental levels, universities and social organizations relationships, among other entities. Under this perspective, Baja California State, located within Mexico’s territory, along with Ensenada’s regional wine industry and touristic area, as well as Guadalupe Valley communities must be considered as an exemplary, unbeatable and high-quality touristic product which stands out due to its peerless advantages. Such consideration should be possible if deeper planning and labour are undertaken around a general sustainable touristic development which will permanently reassess existing environmental, social, cultural, historical, and economic conditions. Rural tourism in Baja California can be an activity daring to generate economic direct benefits for integrated services providers, especially for low income families. These quality consumer activities will become into tangible WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

662 The Sustainable World opportunities provided that such purveyors launch complementary and strengthening new entrepreneurships enhancing the current touristic offer. Eventually, those innovative projects should be based on their own outstanding qualities and community organization skills, as well as being supported by associations and favored bonds; turning out into increasing levels of customer satisfaction and promoting overall tourism participants’ well-being.

Acknowledgements Technical and language support: (Spanish to English version, resources, proofreading, linguistic and style correction and/or improvement) by Carmen Alejandra González-Velázquez Languages Bachelor’s degree graduate, (Interpretation and Translation specialization areas) and CPA Alejandro Montijo-Velázquez, June 2010.

References [1] Organización Mundial del Turismo. Turismo Sostenible: Factor fundamental para la erradicación de la pobreza en Colombia. Informe del IV Seminario Internacional. Bogotá, Colombia 22-23 de Junio de 2006. [2] Masri de Achar Sofía, Robles Ponce, Luisa M. La industria turística: Hacia la sustentabilidad. Editorial Diana. México.1997. [3] Zamorano Casal, Francisco Manuel. Turismo Alternativo: Servicios Turísticos Diferenciados. Editorial Trillas, México. 2002. [4] Epler-Wood, M., Meeting the Global Challenge of Community Participation in Ecotourism: Case Studies and Lessons from Ecuador. America Verde Working Papers No. 2. The Nature Conservancy. The Ecotourism Society (1998) Retrieved: June-18-2010 from: http://www.nature.org/aboutus/ travel/ecotourism/files/america_verde_commnity_participation_english. [5] Stronza, A. because it is ours: Community-based ecotourism in the Peruvian Amazon, a dissertation presented to University of Florida, Gainesville, FL, USA 2000. [6] Valderrama Martínez, Jorge Antonio - Velázquez Romero María Guadalupe. - Flores Trejo, Juan Carlos. La importancia de las comunidades receptoras dentro de la perspectiva del desarrollo turístico sustentable. En Revista Intercontinental Ducit et Docet de Investigación. Vol. 5 Numero 2 Julio-Diciembre de 2004. Universidad Intercontinental. México. [7] Organización Mundial del Turismo. Desarrollo turístico Sostenible. Guía para planificadores locales. España, 1993. [8] Universidad de Alicante. Instituto Planificación y gestión del desarrollo turístico sostenible: Propuesta para la creación de un sistema de indicadores. Instituto Universitario de Geografía. Documentos de trabajo No. 1 España, 2001.

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[9] Organización para la Cooperación y el Desarrollo Económico. Mejores prácticas de desarrollo local. Economía Territorial. Librería El Correo de la UNESCO, S.A. Cuaderno de Trabajo 27. México 2002 [10] Rozo. Edna: El turismo sustentable como promotor de desarrollo de las comunidades locales en: Turismo y Desarrollo Sostenible. Compilador Meyer Krumhalz, Daniel. Universidad de Externado de Colombia, 2002.

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The experience of stakeholder participation in tourism planning: operationalising ‘best practice’ B. C. Hall University of Lincoln, UK

Abstract Stakeholder participation has become widely viewed as an essential feature of sustainable policy and decision-making. As a result the provision for stakeholder participation has been included within a range of decision-making processes but without necessarily ensuring that its structure is appropriate to the context. The Countryside and Rights of Way Act 2000 legislation required the creation of Local Access Forums to advise on public access to the English countryside. However guidance on their role and structure was vague and in 2005 a government commissioned survey indicated that many Local Access Forums were experiencing a lack of empowerment. Through observation of four Local Access Forums (LAFs) over a period of two years it was possible to compare their experiences with the findings of the government commissioned survey. One of the four LAFs studied provided indications of strategies leading to outcomes that were satisfactory for both participants and organisers. This case study has been further examined in order to develop an outline of ‘Best Practice’ that is appropriate to the formation and management of Local Access Forums within the context of stakeholder participatory groups. Keywords: stakeholders, participation, local access forums, tourism. This paper draws heavily on fieldwork undertaken for a recently completed PhD [1]. The material has been selected and edited but at the heart of the discussion are concerns relating to empowerment in participative forms of stakeholder groups.

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1 Introduction Public participation is now largely viewed as a necessary component in policymaking and planning for tourism as it encourages ‘democratic empowerment’ and also improves the resulting ‘tourism product’ (Bramwell and Lane [2]). Similarly, Hall [3] refers to participative decision-making’s ‘potential’ to add to increased sustainability. Consequently, when drawing up policies, or planning for sustainable outcomes, it is anticipated that involving stakeholders in decisionmaking and implementation produces more desirable results for an organisation. However, Rowley [4] has viewed stakeholder/organiser relationships as competitive and Lowndes and Skelcher [5] found competition between and within organisations to be usual. In their study of the Banff Bow Valley Round Table, Jamal and Eyre [6] noted that the various stakeholders were in competition for their own priorities to receive attention. In England for most of the twentieth century there has been recurrent conflict between land owners, and users who demanded greater rights of access to the countryside (Page and Shoard [7]). It is relevant to note that within the English land ownership structure, apparently open countryside is subject to a variety of demands upon it. For example landowners require a profit from the activities carried out upon their land, whether it is accessible to the public or not. However continued lobbying from users culminated in legislative intervention. The Countryside and Rights of Way Act 2000 [8] was passed into law in November 2000 and within this law was included the public right of increased access to ‘open’ countryside. Responses to the announcement of The Countryside and Rights of Way Act 2000 were polarized and debate was emotionally charged (Hansard [9]; Page and Shoard [7]) but a potentially pacifying feature of this legislation was to be the creation of stakeholder participatory groups to be known as Local Access Forums. A prospect offered by participation in Local Access Forums was that of including landowners in the decision-making process since it was to be their property that the public would be able to access under the law.

2 Legislative basis of local access forums The Countryside and Rights of Way Act 2000 (CROW 2000) required local (access) authorities and national parks to form Local Access Forums (LAFs) that would advise them upon the implementation of the law. Guidance for LAFs was limited at this stage but a number of constraints upon them were evident. They were required to achieve ‘balanced’ membership of each LAF and aim for consensual decision-making (Hansard [9]). Each member was to be appointed for a period of one to three years arranged to ensure the expiry of their terms of appointment would be staggered. Membership should comprise between 10 and 22 persons representative of users, owners and other ‘relevant’ interests (Countryside and Rights of Way Act 2000 [8]). The Chair and Vice Chair persons should be selected by members and should represent different interests to each other. At least two meetings were to be held each year and they should WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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be open to the public (Defra [10]). A further constraint became apparent as questions from LAFs about funding drew the response from national government that no additional funds were available for improvements to access. Government commissioned surveys were carried out in 2005 in order to report on the progress of LAFs in their first two years, as there was no automatic reporting mechanism in place. The 2005 report indicated a number of issues that concerned members and organisers of LAFs (access authorities). Issues highlighted included:  many LAFs feel “uncertainty over the role they (LAF) have to play” (Short et al. [11])  “In some areas it seems that the side effect of the statutory basis for forming LAFs is a response by the AA to undertake the ‘bare minimum’.” (Short et al. [11])  there is a “perceived lack of resources (staff resources to run the LAF and financial resources to implement work …)” (Short et al. [11])  “a significant number from each survey feel that the AA (access authorities) do not take account of the advice and recommendations received from the LAF” (Short et al. [11])  “Good leadership from the Chair is essential for a successful LAF. However, whilst all LAFs recognised this most selected the Chair from the existing members and then ‘hoped for the best’.” (Short et al. [11]) Following on from this report the government issued revised guidance to the LAFs in 2007 – four years after the initial formation of the forums. However the revised guidance remained vague in its requirements from the LAF membership, for example: “3.4 Influencing decision-makers 3.4.1 In giving advice, forums should aim to influence section 94(4) bodies and thereby contribute effectively to the quality and robustness of decisionmaking. Influence will be enhanced where a forum provides independent, constructive, relevant, inclusive, incisive and informed advice which takes account of a broad range and balance of local interests and which assists section 94(4) bodies in carrying out their functions. Forums should consider other ways to maximise the usefulness (and therefore impact) of their advice. For example, advice should be delivered at the optimum point in the decision-making cycle and in ways which recognise and take account of the decision-maker’s needs, objectives, constraints and role.” (Defra [12]). The lack of specificity in the initial guidance meant that access authorities were able to interpret and implement the law with a certain amount of flexibility. In some cases this was perceived as an opportunity to perform the ‘bare minimum’ by the access authority. However, in the selected case study this flexibility was taken as an opportunity to enhance the provision of rural access and improve its competitive position amongst facilities supported by the local authority. This case study’s efforts to redress the perceived failings of its LAF are examined for their contribution towards arriving at a version of ‘best practice’ that satisfies the requirements of the members, the access authorities and the government’s guidance to LAFs. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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3 Summary of case study The case study discussed here was researched as part of a wider project that included four Local Access Forums between July 2004 and July 2006. Five meetings were observed in each of the LAFs and in this case study in-depth interviews were carried out with nine members and both access officers. In addition conversations took place with three members of the public at forum meetings. The district affected by this Local Access Forum (LAF) is a county that offers recreational access to the countryside and also to the coast. The LAF advises the county council whose main responsibility is to the local community and so the council is responsible for prioritising the distribution of funding amongst the various services they provide. A primary resource for access to the countryside in England is the Rights of Way (ROWs) network. Since this network is maintained by the Highways Department in this environment, the officers responsible for ROWs experience competition from their colleagues in the Highways Department as they try to gain a significant portion of funding for their projects. Part of the task undertaken by LAFs is the formation of a plan identifying improvements to ROWs recognising current needs of recreational users of the countryside. Prior to this research being carried out, the Local Access Forum had already experienced low attendance at meetings to the extent that they could not achieve a quorum and so were unable to function. A new access officer had been employed with the specific intention of revitalizing the forum. The meeting at which he was introduced to the members was also the first meeting to be observed for this study in July 2004. Over the period of data collection he repeatedly stated that he required feedback from the forum but it was notable that it took two years before the members participated in an energetic way. Over the greater part of the data collection period, decision-making in this forum focused on administrative matters. Uncertainty over the role of the LAF led this forum to ask the Countryside Agency for advice on what was expected from LAFs, during the November 2004 meeting. The Local Access Forum held five meetings each year that were open to the public. One access officer was responsible for the Local Access Forum and he attended all meetings – usually accompanied by his direct superior. Both of these access officers appeared to have had a clear idea of what they wanted to achieve from CROW 2000 and the LAF. Their enthusiasm for CROW 2000 was clear and their vision of increasing the funding available for maintenance and joining up the network was a priority in their implementation of the legislation. In effect the access officers provided the guidance for the LAF’s role that was not present in the legislation. In the early meetings it was noticeable that the access officers were doing most of the talking and delivering information to the members. Important issues to them appeared to be assessment of the driving forces behind the legislation and then including their personal aims within that agenda. Despite misgivings regarding the opportunities missed by the legislation, the officers’ overall opinions favoured the improvement of access for the public.

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The problems relating to funding of improvements to ROWs was raised at the meeting held in June 2005 and a member noted that it was ‘leading people astray asking them what they want, knowing there is no money!’. This constraint affected the outcomes of decision-making. Consequently the element of competition with the Highways Department to get more funding was one of the most constantly revisited aspects in meetings. The access officers explicitly recommended that the forum should try to gain increased funding for Rights of Way. This perspective was expressed in the meeting held in September 2004, as the following excerpt shows: ‘Access officer B: Funding goes to highways mainly and ROWs need to get in there as they are part of the highways network and should have funds for basic maintenance as it should be the same in principle. The LAF needs to persuade government that their ROWs should be eligible for some of that funding.’ It appears that the external constraint placed upon the forum through restricted financial resources was contested by the access officers who were not members of the forum. Although they were receiving advice from the LAF rather than forming part of it, they allied themselves with the aims of the forum members and rather than undertaking the ‘bare minimum’ required by the legislation the access officers actively engaged with the LAF. Most membership interviewees had joined to see access improved, either from the viewpoint of their own interest group or in general and safety terms. Landowners tended to join to ‘ensure that the farm and landowning community had a spokesman’. The majority of members did not meet outside of meetings, but the number of meetings was increased by the access officer so that delays were reduced when consultations were received from national government. Those members that met outside were people who had jobs that brought them into contact. In general, the work of the forum was viewed as slow starting by members. During the period of data collection members were usually diffident in their behaviour at meetings, whereas in interview they were forthcoming. This lack of engagement with the issues appears to have been internally imposed during the first eighteen months of data collection. A number of members did not speak at all during the meetings of that period and there were frequent references to timekeeping in meetings. The meeting held in November 2004 was only just quorate but during the evening two of the members did not speak at all, effectively reducing even further the number of people in the participation process. The observation notes from September 2004 indicate another example of this disinterest: ‘Item 8b. Another member spoke for the first time about farming (3 people still have not spoken at all 5.40pm. - Thirteen members present in total. Meeting began 4pm.) Item 8c Chair: ‘must move on, time is pressing’.’ However in the observation notes of the same meeting an access officer had explicitly requested active participation from members: ‘Item 8a. Access Officer A says he needs full and frank viewpoints of forum – he wants them to challenge him in what he does.’ WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

670 The Sustainable World Nonetheless at this stage members did not challenge the access officers and this may have reflected either support of their actions or lack of engagement with the process. Throughout the period of data collection this forum took part in more field trips than observed in other LAFs. This activity appears to require co-operation between the external and internal participants in the process. In this case there were members who were able to provide venues for meetings and field trips. This resulted in members participating in the process of organising meetings and also providing themselves with opportunities for increasing interaction. Meetings always began at 4pm and were often held at different locations that allowed for a two hour field trip for the membership prior to the meeting. Three of the five meetings observed were held in field trip locations. The time spent on these field trips assisted members to become more familiar with each other and this enabled them to become aware of the suitability of potential Chair and Vice Chair persons. At the final meeting observed, there was a change of Chairperson and the style of discussion was relaxed and finally vociferous in relation to joining up a bridleway that had been dissected by a new road, to ensure safe crossing of the new dual carriageway. The road improvements that had been planned required horse riders to make a long detour to the nearest roundabout in order to continue their ride from one side of the road to the other. This issue was not just championed by the horse riding member, it was strongly supported as a matter of importance by the general membership. In order to achieve ‘balanced’ membership, LAFs usually have a single representative from many interest areas. In this LAF the interests of Motor Vehicle users, Disabled users, Horse riders, ‘Access for All’, Business and Cycling each had only one member to represent them. This can lead to such interests being overwhelmed if the majority of members oppose their access for recreation. For example in this LAF there were several opponents to motorised recreation in the countryside, but generally the members had a broad view of access to the countryside as a resource that they wished to use and improve. They also saw it as a resource that they might lose in the future if it were not tended. Their support of the access officer and his enthusiasm was universal. But he spent a great deal of time in the early stages, encouraging them to actively engage in the process: “We must make a robust Rights Of Way Improvement Plan: it is vitally important and you must hammer me if I have got it wrong” (LAF Meeting in June 2005). None of the interviewees expressed disenchantment with the process or the management of the forum. As in all other case studies, the LAF meetings spent a high proportion of time on information delivery by access officers. However this forum exposed the fact that the access officer attended all meetings documented for this case study. Research in other LAFs indicated they did not have this level of continuity. Two years after the completion of data collection a follow up interview took place with the access officer in this forum. The purpose was to discover if the findings reflected the continuing experience of participants in the process. The external influences upon the members were clarified by this interviewee. He indicated WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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that the forum members had been ‘empowered’ to the extent that they could promote the requirements of the county council. In other words ‘empowerment’ was bestowed upon the LAF members by the county council. Access officers had been proactive in anticipating the topics that would be raised by national government as well as leaving matters out of agendas if they were considered to be irrelevant to the county. The minutes of that period indicated that members had continued to engage with the process, in contrast to the earlier meetings in which a lack of engagement was observed. In this follow-up interview it was stated that the forum was portrayed as influential to third parties by the access officers. This was achieved through promptly meeting requests by the members and obtaining assistance from whichever sources that they select. The interviewee was asked whether a decision of the forum had ever been ignored and the response was that it was “not the county council’s right to overturn a LAF’s decision when they did make one.” From the perspective of the county council their relationship with the forum was “less about empowerment than leadership.” Their explicit target was to use the forum to develop the Rights of Way Improvement Plan into a tool that would help the council to raise additional funding. Ultimately, it is estimated that this approach led to the rights of way funding having trebled in this county. A final point is that in this forum the annual changeover of one third of members (to comply with ‘staggered’ terms of membership) was found to adversely affect the development of the forum so the access officer removed that requirement.

4 Conclusion In this LAF the enthusiasm of the access officers was observable and contributed to members’ ultimate engagement with the process. In the early stages members were dependent upon the access officers and followed their direction, but towards the end of the period of data collection members became energised and surprised the officers with their capacity for decision-making. Members finally exhibited independence of the officers and the officers’ role became that of facilitators as they followed the instructions of the forum, rather than the forum ‘rubber stamping’ the predetermined conclusions of the officers. It would be an over simplification to require all access officers to be as committed to the process as those in this case study. However it appears that these access officers approached the LAF as an ‘opportunity’ rather than a burden, leading to the receipt of increased funding. The process of stakeholder participation has been applied in a distinctive fashion by this LAF. Rather than being employed as a device to reduce conflict between land owners and users, the LAF has been utilised by the access authority to increase their competitiveness when raising funds. This has led to county council officers allying themselves with the forum instead of regarding them simply as a legal obligation. If this occurs with the consent and knowledge of the members then it can be seen as an alternative route to empowerment for the forum. Since members have expressed the desire to ‘make a difference’ then participating in improving access by these means may provide them with the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

672 The Sustainable World opportunity to achieve that. However, it is noted that this did not occur through strictly following the legislation but by expanding on its requirements until a desirable outcome was achieved. Ultimately the LAF has been subject to external impositions in the same way as other forums, since it was the vision of the county council officers that created an environment in which desirable outcomes would be achievable internally. Because the access authority perceived the existence of the LAF as an opportunity, members were encouraged to become more militant in their demands. This increase in group confidence did not occur immediately and was the result of several strategies. The access authority and the members jointly organised opportunities to become more familiar with each other informally. They became aware of each others’ environments through holding meetings at members’ places of work and through having informal conversations during long walks on site visits. Consequently members were less competitive towards each others’ interests and able to support each other without perceiving a threat to their own interest area. These findings have implications for the formation of stakeholder groups in governance. When forecasting how groups will function the organisers should assume that individuals may be in competition with each other even if their interest area designation appears to coincide. Also, the political ‘will’ of the organisers is central to the groups’ achievement of empowerment.

References [1] Hall, B.C An Exploratory Study of Depotentia in Local Access Forums, PhD thesis, University of Lincoln, 2009 [2] Bramwell, B. & Lane, B ‘Collaboration and Partnerships in Tourism Planning’, in Bramwell, B. & Lane, B. (Eds) Tourism Collaboration and Partnerships: Politics, Practice and Sustainability, Channel View Publications Ltd, Clevedon, p.2, 2000 [3] Hall, C.M. ‘Rethinking Collaboration and Partnership: A Public Policy Perspective’, Journal of Sustainable Tourism, Vol. 7(3&4), pp.274-289, 1999 [4] Rowley, T.J. ‘Moving beyond Dyadic Ties: A Network Theory of Stakeholder Influences’, Academy of Management Review, Vol. 22(4), pp.887-910, 1997 [5] Lowndes, V. & Skelcher, C. ‘The Dynamics of Multi-Organizational Partnerships: An Analysis of Changing Modes of Governance’, Public Administration, Vol. 76, pp.313-333, 1998 [6] Jamal, T. & Eyre, M. ‘Legitimation Struggles in National Park Spaces: The Banff Bow Valley Round Table’, Journal of Environmental Planning and Management, Vol. 46(3), pp.417–441, 2003 [7] Page, R. & Shoard, M. ‘Debate: Should we have a right to roam?’, The Ecologist, Vol. 30(7), pp.20-23, 2000 [8] Countryside and Rights of Way Act 2000: Elizabeth II. Chapter 37. The Stationery Office, 2000, London [9] Hansard (Commons) HC Deb, 8 March 1999, Vol. 327, cols.21-33 WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[10] Defra - Department for Environment, Food and Rural Affairs, The Local Access Forums (England) Regulations 2002, SI 2002 No. 1836, The Stationery Office, London, 2002 [11] Short, C., Taylor, K., Curry, N., Boase, R. & Kambites, C. Review of Local Access Forums, Countryside and Community Research Unit, Cheltenham, pp.32-50, 2005 [12] Defra - Department for Environment, Food and Rural Affairs, Guidance on Local Access Forums in England http://www.defra.gov.uk/wildlifecountryside/cl/laf-guidance.pdf , p.8, 2007

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Rural tourism as a factor of sustainable development: a case study of Sukur World Heritage Site in Adamawa State, Northeastern Nigeria W. Nzeda Tagowa Department of Political Science and Public Administration, Adamawa State University, Nigeria

Abstract Tourism as one of the world’s fastest growing industries has the potential to enhance sustainable development by its propensity to promote accelerated growth, income increase, improved transportation and conservation of ecosystems, among other variables. Tourism attractions abound in Africa and Nigeria has more than fair share of tourism potentials. Most tourism attractions in Nigeria are located in the rural areas. Rural tourism can therefore be utilized as a tool for sustainable development. This paper reviews the development of tourism in Nigeria in general and specifically undertakes a case study of Sukur World Heritage Site in Adamawa State, Northeastern Nigeria, as an example of rural tourism for sustainable development. The paper highlights Sukur development plan and advances strategies for utilization of the site for sustainable development. Such strategies surround the central objective of community participation and environmental protection and preservation, while taking cognizance of the risks involved in the development of a tourism site of the like of Sukur Cultural Landscape. Keywords: rural tourism, landscape, sustainable development, cultural tourism, community participation, pro-poor management.

1 Introduction The universally accepted meaning of tourism is that it involves a “network of activities of persons who travel and stay in destinations outside their homes and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100611

676 The Sustainable World work places for a while, and of those who provide them with goods and services during their sojourns,” [1]. The purpose of a tourist’s journey is a factor which has given rise to a lot of activities such as religious tourism, spots tourism, health tourism, cultural tourism, eco-tourism, conference tourism, shopping tourism, etc. Tourism is therefore, an economic activity that centres on production, from attraction of the very crude traditional based artisans’ workshops to state of the art factory attractions. Most of Nigeria’s famous tourism attractions are centres of economic activities, many of which are supported by the country’s tourism policy which professes to promote “tourism-based rural enterprises and accelerated rural-urban integration and cultural exchanges” [2]. Unlike in the case of other industries such as agriculture and manufacturing where products are delivered to the consumer, the consumer in the tourist industry must travel to the point of production (tourist destination) in order to consume the product. This makes tourism multi-sectoral and hence creates linkages between the tourism industry and other sectors of the economy. Thus the local and international entrepreneurs are therefore connected directly or indirectly to tourism. Tourism is one of the fastest growing industries in the world with a high propensity for local and international revenue generation to support economic development. It is projected that by the middle of the 21st century, revenue generation from tourism will surpass that of oil. In spite of its potentials, tourism remains undeveloped in Nigeria, yet the country is aptly described as the “ultimate tourism destination in Africa” [3]. This is not only because the country wields a significant influence and comparative advantage on the continent but also because her tourism potentials are second to none in Africa. Nigeria is the tenth largest country in the world with an area of about 932,960 square kilometres and a population of over 140 million people of diverse culture and abundant physical and environmental resources of tourism significance. These attractions range from hills, waterfalls, springs, lakes, mountains and caves found across the length and breadth of the country. There are a mixture of man-made and natural attractions comprising flora and fauna. Many of the wildlife in Nigeria are protected as national parks, game reserves, sanctuaries, wetland and zoological gardens.

2 Tourism development in Nigeria Tourism development is still in its evolutionary stage in Nigeria and its growth reflects the growing importance of tourism to the national economy. Tourism consciousness began with the formation of the Nigerian Tourism Association (NTA) in 1962. The activities of the association led to the admission of Nigeria as a member of the International Union of Official Travel Organization (IOUTO) in 1964. Ten years later, a report of the African Development Bank (ADB) indicated that Nigeria possessed enormous potentials for the development of the tourism sector. That was why the Murtala Obasanjo regime replaced the NTA with the Nigeria Tourism Board (NTB) under Decree No.54 of 1976. The Board was empowered to make policies that will: (i) encourage people living in Nigeria WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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to take their holidays therein and people from abroad to visit Nigeria; (ii) encourage the provision and improvement of tourism amenities and facilities; (iii) provide advisory information services on tourism in Nigeria; (iv) promote and undertake researches in the field of tourism; and (v) grade and classify hotels in such a manner as may be prescribed [4]. The NTB however failed to make a meaningful impact to the country’s tourism industry. To strengthen tourism in Nigeria, Decree No.54 of 1976 was repealed with Decree No.81 of 1992 to give birth to the Nigeria Tourism Development Corporation (NTDC). The NTDC is currently the apex tourism agency of the Federal Government of Nigeria in charge of the promotion, marketing and coordination of tourism activities in Nigeria. The Federal Ministry of Tourism, Culture and National Orientation and the NTDC assume full responsibility for initiation, monitoring and maintenance of links with the states on tourism matters. The ministry is also responsible for policy research, planning and formulation, monitoring and funding of nationally oriented tourism infrastructure and represents the country in international tourism organizations. There is also the National Council on Culture and Tourism (NCCT) which ensures the coordination of national planning and development of tourism in the entire federation. Whenever tourism sites are identified and declared national monuments, the National Commission for Museums and Monuments (NCMM), established under Decree No. 77 of 1979 will be involved in the management and protection of such sites. There are also the state ministries responsible for tourism in all the states of the federation. The state ministries implement the directives of the Federal Ministry of Tourism, Culture and National Orientation, initiates projects and control land allocation in line with the federal government policy. Below the state ministries are the state tourism boards and the local tourism committees at the local government levels.

3 Rural tourism attractions in Adamawa State, Northeastern Nigeria The Adamawa State of Nigeria was the product of the split of the then Gongola State of Northeastern Nigeria into two to give birth to Adamawa and Taraba States. Adamawa State is the second largest state in Nigeria with an area of 42,158 square kilometres and located between latitudes 7°28 to 10°56N and 11°30 to 13°75E. The state has a projected population of about 3.5 million. This population is made of a multiple ethnic groups that are mainly Bantu speaking people that live in segmented large and small communities that speak different languages and dialects. The state is basically a mountainous area mostly traversed by the Upper Benue River and its tributaries. It has a tropical climate marked by dry and rainy seasons: the rainy season begins in April and ends in October while the dry season begins in November and ends in March. The temperature in the state varies from place to place with a minimum average of 15.2°C and maximum average of 43°C. December and January are the coldest while March and April are the hottest. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

678 The Sustainable World The major occupation of the people is agriculture and the entire state can be described as a rural state as people practice generally peasantry agriculture. The location of the state in the Sudan and Guinea Savannah belts between Cameroun/Mandara mountain ranges and its diverse cultural landscape provides the state with potentials for rural tourism. Tourism awareness just began in Adamawa State with the establishment of the State Tourism Board in 1999. 3.1 Tourism attractions in the Adamawa State, Nigeria Two types of tourism attractions can be identified in the state – the natural and the cultural. The natural tourist attractions include the Gashaka Gumti Natural Park at Toungo Local Government Area (LGA), the Bwasu Hot Spring in Lamurde LGA, the Kamale peak and the Sukur kingdom at Madagali LGA, the Kiri Dam at Shelleng LGA and the Three-sister rocks at Song in Song LGA. The cultural tourist attractions comprise the cultural diversities of the state which are expressed in various cultural festivities such the Vunon (Farai) wrestling festival at Demsa, Yinagu and Njuwa fishing festivals, various dances by diverse communities, etc. In fact, up to 32 cultural festivals take place in the state in a year. There are several other cultural attractions such as the ancient tombs of historical significance like Modibbo Adama tomb at Gurin Fufore LGA. One of the most important tourist attractions of Adamawa State is the Sukur Kingdom in Madagali LGA which is the main subject of this study. The Sukur people retain their cultural values and the superiority of their ancient works and this endeared the kingdom to get international recognition when UNESCO enlisted it as the 25th World Heritage Site in 1999.This is one of the several sites enlisted by UNESCO in Africa and the first of its kind in Nigeria. The term “heritage” broadly refers to the natural and the cultural environment such as knowledge and living experiences, landscapes, continuing cultural practices, historic places and built environments, biodiversity and collections. Heritage thus records and expresses the long process of historic development, forming the essence of diverse national indigenous and local identities and an integral part of modern life. It is also a dynamic reference point and positive instrument for growth and change and a particular heritage and collective memory of a locality or community is an irreplaceable and an important foundation for sustainable development [5]. A world heritage site is a globally significant site that is considered and designated as having an outstanding universal value and recognized by the United Nations Educational, Scientific and Cultural Organization (UNESCO) as having global importance to be conserved by a country under the United Nations Convention Concerning the Protection of the World Natural and Cultural Heritage of 1972 [6]. The Convention provides for international cooperation in the protection and conservation of cultural and natural heritage such as monuments, group of buildings, works of man or combined work of man and nature, natural features, natural sites, geological and physiographical formations [6]. Specific sites of significance and value such as forests, lakes, mountains, deserts building complexes or cities, that have been found to be of outstanding universal value from the point of view of history, art or science, aesthetics WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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ethnological or anthropological, conservation and natural beauty and therefore confirmed and included in the list of sites maintained by the International World Heritage Programme, are considered as heritage sites by UNESCO [6]. There are several hundreds of these sites all over the world and 122 of them are in Africa, 25 out of the 122 are in West Africa [7]. Two of these sites are the Sukur Cultural Landscape and the Osun-Osogbo Sacred Grove in Nigeria. These sites are not only intrinsically valuable as heritage sites but can serve the purpose of development, especially for rural communities, if properly developed into tourist havens.

4 Sukur World Heritage Site Sukur people belong to the inhabitants of the Mandara Mountains referred to by ethnographers as montegnards, a French word for hill dwellers that live mainly through terrace farming [8]. Sukur is located on the Mandara Highlands between Nigeria and Cameroon at a distance of about 270 km from Yola, the Adamawa State capital in Northeastern Nigeria. Sukur depicts an ancient hilltop settlement with a rich history of iron technology, flourishing trade and strong political and cultural traditions that survived external influences that is associated with the meeting of cultures that transformed most African societies. Sukur people still retain their traditional settlement on the mountain at about 2,000 to 3,000 feet above sea level on the Magger Valley in an area of 31km2 some 25km West of Mokolo in Cameroon and 17 km South East of Madagali. It is bounded in the East by the Republic of Cameroon and in the North by Tur and in the East by M’idu and in the West and South by the Kingdom of Dzu-yel, respectively [9]. This community had developed a complex society and chiefdom in the precolonial period that evolved a hierarchical political system that is described as a ‘divine kingdom’ and historians have noted that the power of Sukur is inscribed on the landscape in the form of substantial building projects such as paved ways, construction of ceremonial areas, walled enclosures terraced fields and other features [3]. Sukur oral history indicates that the people migrated from M’Chikili area of Mokolo District of the Republic of Cameroon to settle on the Sukur Plateau. Their present population is about two to three thousand people. Their major occupation is subsistence farming, iron smelting and blacksmithing. The community consists of 27 clans that settle along such lineages even though a number of them have relocated to other places in Madagali local government area. It is difficult to ascertain the exact age of Sukur civilization in their present location but archaeological findings have established that the precincts of Sukur had been inhabited in their present place for well over 800 years from the artefacts dugged in the area [10]. The Sukur cultural landscape consists of the Sukur Plateau and its scenic cultural features. These include the Hidi Palace, the stone architectural designs, the shrines, the paved walkways and the iron smelting furnaces, traditional graveyards, agricultural terracing and threshing floors. The Hidi Sukur’s palace (King’s Palace) is situated at the centre of Sukur town, about sixteen times the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

680 The Sustainable World size of a normal Sukur house and surrounded by a stone wall of about eight to nine feet high. The palace has four gates and each gate is used for special purposes. Stone paved walkways lead to Sukur from the north to the east and this can be found along the hillsides leading to the top of the hill. This was designed to minimise erosion and to facilitate easy climbing and horse riding. This relates to the domesticated landscape for terrace farming as terraces are constructed up the hills to stabilise the soil and provide series of stepped level benches adoptable to hill farmers. Due to the presence of iron-rich formations in the Mandara Mountains, a vibrant iron smelting culture has developed among the Sukur people. There is a greater density of slag and other debris in the Sukur area than anywhere on the Mandara Mountain and this breeds iron smelting [9]. Sukur furnaces require at least three men to bellow and the smelting teams vary in line with changes in the domestic cycle as well as the pattern of the neighbourhood cluster. There is a spectacular mammoth baobab tree which the Sukur culture forbids anybody from touching. This tree can be compared to the Nji Ngla, a mysterious tree in Iware Ila, in Osun State in Western Nigeria which when cut splashes blood [9]. The Sukur culture and tradition believe that whoever touches the tree will become a hermaphrodite, exhibiting both male and female genital characteristics. 4.1 Legal status of Sukur World Heritage Site The Mandara Archaeological Project of Nicholas David of 1984 exposed the immense historical and cultural potentials of Sukur and its cultural landscape leading to the preparation of the dossier that made it possible for its inscription as a UNESCO World Heritage Site in 1999. Prior to 1999 efforts were made by the Adamawa State Government to establish a legal status for the site within the laws of the Federal Republic of Nigeria. Thus in 1997, the Adamawa State Government sought the approval of the Hidi-in-Council to declare Sukur Cultural Landscape a state monument. This was granted and the state government gave the site a legal status through the Adamawa State Gazette No. 47 Vol.7 of 20th November, 1997. This is in line with the provisions of Decree No. 77 of 1979 which empowers the NCMM to protect and preserve all such monuments in Nigeria as cultural heritage [11]. This made it possible for the state government to liaise with the NCMM to prepare grounds for enlistment of Sukur on the World Heritage list. It also provides opportunity for the community, the local government, the state government and the NCMM to cooperate and develop an agenda for management of Sukur cultural landscape. The inscription of the site as a World Heritage Site in 1999 further enhances the imperative for not only managing and conserving the site for posterity, education and research purposes, protection and creation of national identity and awareness, but also for tourism and sustainable development purposes [12].

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4.2 Sukur cultural heritage conservation, development and management plan Conservation of heritage and management of heritage sites and monuments in Nigeria is the responsibility of the NCMM in collaboration with other stakeholders of the respective areas. The Adamawa State Government set up its agency for museums and monuments which carried out some restoration works at the Hidi’s palace in 2004. The staffs of the state Council of Arts and Culture have been engaged in archaeological research in the area with a view to reenacting the process of iron smelting to reinvent the traditional furnaces found in the area. The NCMM has also produced some tourism flyers, posters, postcards guidebooks and brochures to advertise its tourism attraction. It has also created a website for Sukur cultural landscape. Above all, a Conservation, Development and Management Master Plan had been adopted for implementation. Two layers of management structure have been adopted: the traditional and modern systems of management. The traditional management system involves the granting of traditional management rights to the Sukur community through the Hidi and his Council of title holders. Thirteen clans are involved with each can having responsibility in communal efforts and maintenance Sukur culture. Sukur community is a purely communal one. Community works are carried out through family units, neighbourhoods, homesteads and clans. Special communal maintenance works are carried out through general communal mobilization of all ages. Through this method traditional technical knowledge is transmitted to the younger generations. The imperative for the preservation of Sukur cultural landscape is the strong adherence to the cultural norms and values, believes in taboos that set limits to certain behaviours as well as sacrosanct observance of rituals and non-encroachments of sacred areas. The modern management system is based on a management plan that is adopted in 1999. The plan allocated responsibilities to various stakeholders including the Sukur community, the NCMM, the Adamawa State Government, and the UNDP. In addition to the role of traditional management of Sukur community, Sukur community is again represented in the modern management structure through Sukur Development Association (SDA), and the Sukur Monument Support Group (SMSG). Both groups have the task of construction of rest places along the ascending routes, provision of heritage trails, clearing of bushes, planting of trees and organization of festivals. The NCMM, through its Directorate of Monuments, is responsible for faithful implementation of the guidelines for preservation, conservation and management of Sukur site in accordance with the World Heritage Convention. It has a Curator stationed at Yola who serves as the Site Manager. He coordinates stake holder cooperation and the activities of the site guides, site archaeologists and ethnographers who carry out reconnaissance surveys in accordance with the management objectives of achieving sustainable development. The Commission is to cooperate with the state government and other stakeholders to improve the quality of agricultural production in the site and help to improve the quality of life of Sukur community. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

682 The Sustainable World The UNDP is another stakeholder in the Sukur site project. Under the Sukur management system the UNDP also undertakes to assist in capacity building and participatory development system of the community, implement a comprehensive package that would upgrade Sukur Cultural Landscape to a viable instrument for sustainable development of the Sukur community. The UNDP has identified key priority development needs of Sukur people based on the following broad objectives [12]: (i) increase awareness of prevailing health problems of the community; (ii) increase of farmers’ access to improved seeds and seedlings for increased agricultural productivity and reduction of postharvest lost; (iii) increase access to safe drinking water; (iv) increase the rate of adult literacy; (v) increase access to productive assets for establishment of cottage industries; and (vi) provision of opportunities for skill acquisition that is relevant to the needs of the community.

5 Tourism development of Sukur cultural landscape One of the objectives of management system is therefore to develop and actualise the tourism potential of the site. Stakeholders are to cooperate in the development of infrastructure such as roads, electricity and other social amenities. Already a seventeen kilometre grade B road has been constructed to the foot of the hill and a 200kva generating plant has been dropped there. There is a primary school and a health clinic on the hill. Presently, a private investor has developed an eight-bedroom chalets at the foot of the hill and an eighteen bedroom chalet of the first phase of 60-bedroom of the Three-star Country Side Resort under the Sukur World Heritage Site Master Plan is still under construction. A website has been created on Sukur and tourists and researchers have been showing more and more interests on the site. However, the sorry sight is the plight of the people around the landscape and especially those on top of Sukur Plateau and the need for sustainable development of the people. A visit to Sukur Kingdom will reveal that existing efforts have little result for the hill dwellers. Early researchers have revealed that the montagnards on the Mandara Mountain have developed a kind of agroforestry that sustained high population densities even in the face of raids and other threats to the surrounding plains. Their continued sustainability was simply the montagnard way of life which is unfortunately associated with extreme poverty of people living on incomes of less than One Dollar a day [13]. Unfortunately the management activities on Sukur have been carried on adhoc basis since 1999. The Federal Government of Nigeria formally constituted Sukur World Heritage Site Conservation, Preservation and Management Committee only recently on January 12th, 2010. The Committee is responsible for coordinating all activities of development of the site to world class tourism standards including management, conservation and preservation of the site. An important part of management of a tourism site is conservation and preservation. Preservation entails all measures carried out to preserve the physical remains of sites and their historical settings. It involves all preventive measures designed to safeguard the originality, integrity and associated features of tangible and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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intangible values of the heritage site. These cover the regulatory measures, customary laws and practices as well as the scientific measures taken to preserve the site [14]. The NCMM also provides site representation and interpretation through the resident guides, archaeologists and the Curator as Site Manager. The commission has built an interpretation centre where Sukur Cultural artefacts are displayed to aid site interpretation for visitors. It has also displayed directional informational signs at various locations on the visitor trail to aid visitor understanding and appreciation of the landscape. There is concern for the promotion of cultural awareness and identity of the Sukur people. The cultural calendar of the Sukur people is being monitored and promoted through government assistance in the organization of Sukur cultural festivals such as Yawel, Zoaka and Buk. These festivals now attract more people to the top of the hill. Recently the Minister of Tourism, Culture and National Orientation declared that the Yawel festival of Sukur would be organized as a national event as from 2010 [15]. 5.1 Challenges of tourism development of Sukur cultural landscape The enlistment of Sukur as a World Heritage Site poses a serious developmental challenge considering the rural and remote nature of the site. Since 1999 there has been a very slow pace of development at the site. As an international heritage site, the area requires infrastructural facilities and social amenities that meet basic international standards. The slow pace of development can be linked to the long time it took the government to put a management committee in place and inadequate financial resources to develop the site. There is generally poor road network in the northeastern part of Nigeria, unstable flight schedules poor communication network and lack of adequate accommodation within Sukur vicinity. There is also acute shortage of drinking water, medical and other recreational facilities. Moreover, the community development efforts in Sukur Kingdom is skewed in favour of the downhill dwellers thereby generating mixed feelings among the hill dwellers who feel marginalized. As contact with modernity increases, the problem of traditional prohibitions on the landscape, difficult terrain, distance to the site and threats to the landscape by bush fires and overgrazing are serious challenges that need to be addressed if sustainable tourism is to be achieved. This is because tourism for sustainable development requires a management that will generate income and conserve the site for future generations. To satisfy the cultural tourist requires a plan of action that provides quality service that can sustain the interest of the traveller. These are challenges that Sukur World Heritage Site Management Committee must face squarely.

6 Strategies for management of Sukur forsustainable development The preceding discussion has so far revealed that Sukur cultural landscape has a remarkable socio-cultural capital that can be mobilized to advance, cultural and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

684 The Sustainable World eco-tourism tourism in Northeastern Nigeria. Its element of natural environment makes it fascinating for local, national and international tourism development. Even more fascinating is fact that Sukur people have survived the difficulty of weather, hostile raids and unequal relations with the world around them [13]. There is no doubt that such excruciating objective conditions of the people have led to the collapse of their economy. This happened around the 1960s, leaving the relics of their cultural landscape and terrace fields for subsistence agriculture and hence one of the poorest communities in Nigeria [16]. This poverty can be glaringly seen on the Sukur Plateau. A “pro-poor” approach to eco-cultural tourism as earlier suggested by Sterner and David can still be adopted for application if the life ways of the montagnard experience are to be safeguarded in their contact with modern life [13]. This requires grass root involvement with specific educational and functional goals needed for sustainable development. Pro-poor tourism according to its proponents generates net benefits for the poor in the sense that it does not only takes care of social and environmental factors but also forms part of “sustainable eco-tourism and community-based tourism” that is “fair,” “just” and “equitable” [13]. The latter three terms are preferred here because they are the bane of policy implementation in Nigeria. Two major objective of pro-poor approach are participation and holistic livelihood strategies. 6.1 Community participation and holistic livelihood strategies On the one hand the poor people must participate in their tourism decisions and on the other hand their livelihood must be reflected in the way tourism development activities are controlled. This should centre on mobilization and education to address issues sensitive the community. There is a feeling that “the montagnard communities have suffered a long history of exploitation and are sensibly skeptical of proposals from beyond their hill” [14]. According to Adeleke [17], participation encourages awareness of national and cultural resources of the country and at the same time enables the country to be proactive in promoting what it sees unique in terms of developing appropriate tourism strategy for an area. If management is to achieve sustainable development it must be sensitive to the issue of natural resources, the community and the tourists. Already, there are speculations that the extensive works of archaeologists in the area have economic undertones even though such intentions have not been documented. This position holds that there are large deposits of gold, iron and other valuable minerals that attract archaeologists like David Nicholas, for example [14]. That is why Butler in Adeleke [17] argued that one of the purposes of tourism development is to avoid confrontation between tourists and community residents with a reasonable chance of being involved in the industry. The idea of community participation has thus become a tool for conservation and tourism development which has been increasingly recognized by government, business and community. Community participation has more advantage in promoting biodiversity conservation, responsible tourism and enhancing sustainable development of the local communities WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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The holistic livelihood strategy recognizes the livelihood concern of the poor in terms of economic, social and environmental needs in the short and long terms. Sukur museum was established by Sukur Development Association. The association might have been influenced by town and city dwellers but it operates on the wishes of those living in Sukur. Opinions actually converge on acceptable tourism strategies that bother on respect for and protection of traditional ways and sacred sites. These practices must be supported and promoted if sustainable development is to be achieved. The pro-poor approach therefore has the potential to encourage the hill dwellers to continue to live on top of the hills rather than relocating to the plains, towns and cities. Relocation can be slowed down with the provision of more schools, health facilities and improvement of the well established terrace farming and sustainable traditional skills and knowledge. Although the Sukur Conservation, Preservation and Management Master Plan recognizes the traditional management system of the Sukur people, the representatives of Sukur community in the recently inaugurated Management Committee are town, city or plain dwellers except the Hidi Sukur himself. This makes the management system heavy-handed and top-down. This arrangement is more likely to overshadow the traditional management system and its bountiful objectives. 6.2 Integration of traditional and modern management systems To plug the gap that may be created by the top-down approach, there is need to integrate the traditional and the modern methods of conservation and management. Therefore, integrating the relevant aspects of the indigenous and foreign technologies to address social, cultural, political and economic challenges of conservation and preservation is required. To ensure maximum benefits to the tourists and the visited alike, local people have to be involved in the strategic planning procedures. The goal of integration lies on the need to harness the potentials for sustainable development. Traditional practice alone cannot provide adequate protection for negative effects of development such as deforestation, wildlife depletion, bushfires, dilution of cultures, and disruption of social life which are glaringly noticeable in Sukur. To curb such menaces, patrol guards should be employed to conduct joint patrols along with age-grade associations to prevent illegal activities and protect sacred places. Patrol guards along with age-grades may also cooperate with the Hidi to come up with new regulations to guide their mode of operations in line with traditional rules and regulations with due cognisance of taboos and sanctions. Age-grades that will participate in this guard duty must undergo training in conservation, preservation and area management techniques. Integrating traditional and modern management methods has promises of achieving sustainable tourism and development. 6.3 Risk management strategy A risk management strategy should be employed in all dimensions. Risk is a potential damage that could arise as a result of the occurrence of a hazard with a WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

686 The Sustainable World given degree of certainty. Bevon Morison argues that “risk is different from hazard in the sense that hazard is a source of danger, while risk involves the likelihood of a hazard developing into some adverse occurrence that may cause loss, injury or some other form of damage” [18]. Many risks are associated with tourism especially in developing countries. Risks such as crimes, drug peddling, visitor harassment, erosion, pollution, deforestation, bushfires and deliberate damage to artefacts can affect profitability and viability of sustainable tourism and development. The World Tourism Organization (WTO) indicates that tourists are shifting their tests from sun, sand and sea to special interests such as eco-tourism, health tourism and other types of tourism that allow them to interface more closely with the culture of the people of their destinations [18]. With improved infrastructure and good management, Sukur will enjoy an influx of tourists. In addition to the above mentioned risks, Sukur has additional man-made risks such as poverty, inadequate housing, education and medical care. As Sukur Cultural Landscape is being developed for sustainable tourism, risk management must be integrated into the management system. Policy makers must therefore understand the nature of risks and the cost implication for alternative remedial courses of action in order to represent them to the wider population at large. This requires risk assessment in terms of hazard determination and risk analysis and a comprehensive risk management system. Risk management involves actions required to qualify, mitigate and control risk. It must be noted that risk assessment and analysis unavoidably requires interaction between the scientists and policy makers because the policy maker requires scientific information to put the risk analysis in context [18].

7 Summary and conclusion This paper has established that despite the potentials of the Sukur Cultural Landscape, the development of tourism facilities and infrastructure to meet the need of visitors has been slow. The stakeholders have adopted a conservation, preservation and management master plan, but the implementation of the plan had been carried on an ad-hoc basis and this slows the pace of tourism development of site. The master plan was designed within the context of the Nigerian National Tourism Development Master plan which requires synergy among the federal, state and local governments as well as institutions, communities and individuals to package Nigeria’s tourism resources to the international community. Stakeholders in the Sukur Cultural Landscape project and their agencies are the Federal Government, Adamawa State Government, Madagali Local Government and the United Nations agencies like UNESCO and the UNDP. They have all shown interest to cooperate to develop the tourism potentials of the site for sustainable development. There are other private interests and individuals in the project. Tourism is a global industry that needs international standards and best practices. The Sukur project requires the basic international standard to be able to attract tourists. But the sad side of the project is that the Sukur Community is WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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one of the poorest in Nigeria and this poverty manifests in all strata of the community due to collapsed economy. Therefore, a pro-poor strategy of management which is built of community participation and holistic livelihood approach is here canvassed and recommended. This approach should be able to address social and environmental factors that is not only community based but a kind of tourism that is just, fair and equitable. The pro-poor approach should be matched with the integration of traditional and modern methods of management that will bridge the gaps between the two approaches by addressing the social, political, economic, cultural and environmental needs of conservation, preservation and management. This will put the community at the centre stage of management and sustainability. Above all, a comprehensive risk management system should also be put in place. The greatest risk in this area is poverty and poverty can give birth to many things. There are other risks associated with tourism development such natural disasters and criminal activities. The risk management system should also be taken along side environmental impact of assessment though rigorous scientific analysis of hazardous conditions that would have negative impact on sustainability of Sukur cultural Landscape.

References [1] Munzali A.D., “Tourism enriches – one village one product,” an integrated community based tourism initiative,” a paper presented on the occasion of the world tourism day celebration, Warri, Nigeria, p.1, September 27, 2006. [2] Landi, H.J. “Strategies for promoting tourism in developing countries: the Nigerian case,” a paper presented at the national conference on the development of Strategies for viable cultural promotion and tourist development in a reforming economy, Zaranda Hotel, Bauchi, Nigeria, pp. 2-3, March 15, 2005. [3] NTDC, “Report of a study survey of Sukur as UINESCO World Heritage Site”, pp. 2-3, Monday 13th to Friday 17th September, 1999. [4] Nigeria, Federal Republic, Decree No.54 of 1976. [5] Obereime, J. O. “Heritage conservation master plan for sustainable development in Nigeria,” National commission for museums and monuments (NCMM), January, 2010. [6] See Encarta World Dictionary [North American edition] & (p) 2009, Microsoft Publishing Corporation, file:///C:Document o/o20 and o/o20 Settings/-/Desktop/Heritage o/o 20fi...and Wikipedia-the free Encyclopaedia, file:///c:/Documents and settings/-/Desktop/Heritage files/world heritage sites definition by Babylon’s, accessed 26/02/2010. [7] List of World Heritage Sites in Africa in Wikipedia-the free encyclopaedia,file:///c:/Documents and settings/-/Desktop/list o/o 20o/ofo/o... accessed o5/03/2010 [8] “Mandara mountains homepage,” file:///Mandara Mountains Homepage.htm.

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688 The Sustainable World [9] See Yawal Sukur 2010 Festival (Profile of events) and brief on Sukur World Heritage Site, p.9. p.9, 21-25 February, 2010, [10] See David, N. “The ethnoarchaeological and field archaeology of grinding at Sukur, Adamawa State, Nigeria.” African Archaeological Review, Vol. 15, No. 1, 1999 (13-53). The NTDC report supra [3 ] also indicated that David Nicholas’ archaeological findings dating Sukur civilization to 800 years used Carbon C14 method of dating to determine the age of the artefacts dugged in the area. [11] See Adamawa State Gazette No. 47, Vol. 7, 1997. [12] See Sukur World Heritage Site conservation, development and management master plan, , p.1, January 2008. [13] Sterner, J. and David, N. “A Mandara international peace park: a project for sustainable development and eco-cultural tourism in the Mandara Mountains of Northeast Nigeria and Northern Cameroon,” 1985. [14] Adeyenju, F. And Ologe, O.K., “Critical issues in implementing the Nigerian tourism master plan: the roleof federal, state and local government”, paper presented at the inauguration of Sukur World Heritage Site conservation preservation and management master plan, 12th January, 2010. [15] Gada, J. B. “Speech delivered on the occasion of the inauguration of the management committee of Sukur World Heritage Site”, January 12, 2010. [16] David C. Woolman visited Sukur form Mubi in 1965 and reported that the Sukur economy “had collapsed by 1960” and that in spite of the “gains and much deserved recognition, the Mandara Mountains region remains one of the poorest parts of Nigeria”. See Woolman, D.C., “Sukur revisited: recollections of cultural exploration in the Mandara Mountains”, December, 1965. [17] Adeleke, O. B. “Community participation in conservation: a pathway to tourism development in protected areas”, Journal of research and national development, vol. 7 No.1, June 2009, p.2 and also Hiwasaki, S. “Objectives of community participation”, in Chinese Sociology and Anthropology, vol. 1 No. 3, 2003, referred to in Adeleke. [18] Morison, B. “Integrating risk assessment and management and disaster mitigation in tourism development planning in Jamaica”, Borgese, E.M. (ed.), Ocean yearbook 17, University of Chicago, Chicago, p.295.2003

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Rural eco-museums: tourism development based on sustained development models P. Miryousefi Department of Architecture and Engineering, Payam Noor University, Iran

Abstract Aiming at revitalizing the subcultures, constructing the rural heritage ecomuseums began to take place as a far-reaching movement in European countries after the World War II. For the first time, this post-modern phenomenon took shape in Guilan and the Middle East in the year 2002. Guilan’s Museum of Rural Heritage simulates and rejuvenates the cultural heritage of the Guilanians in an environment which is similar to the original point of Guilan’s rural lifestyle. By gathering the cultural achievements of a diverse spectrum of ethnic groups in Guilan, this conglomerate familiarizes the people of Guilan with their ancestral past and identity. The profound and positive cultural, social, economic and environmental impacts of the rural eco-museums in the last 50 years demonstrate the conformity of the principles of these museums with the objectives of sustainable development. Despite being a newly-constructed complex, Guilan’s Museum of Rural Heritage has achieved remarkable breakthroughs, including the revitalization and preservation of ethnic culture, attraction of popular participation and acquisition of the indigenous knowledge needed for the construction and management of such museums which can serve as a pattern for constructing similar museums all around Iran. Seven years of experience and study by the author in the position of Chairwoman of Workshop and Supervisor of the Architectural Studies and being in close contact with the trajectory of completion, circumstances and limitations of the project and her visiting of the successful and credible eco-museums in the world indicate that the construction of such museums is an undeniable necessity to expand the concept of sustainable development and sustainable architecture in the society. Keywords: eco museum, de-assembling, re-assembling, rural heritage, sustainable tourism. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100621

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1 Introduction Eco-museums originate the conceptual transformation of cultural heritage and initiate the endeavors to preserve ethnic possessions in confrontation with the phenomenon of globalization through interaction with the environment and expansion of sustainable development. It is not plausible to present a precise definition for this post-modern phenomenon which is aimed at evaluating the dynamism of ethnic heritage and natural resources with the participation of people. Eco-museums take shape on the basis of available facilities, cultural features and needs of a given region; however, from a general viewpoint, eco-museum is a collection designed to preserve the tangible and intangible heritage, nature, history, biological patterns and ethnic traditions, and promote them socially. Increasing the public awareness about the modernized concept of cultural heritage is one of the most essential objectives of eco-museums. This awareness propels us towards a comprehensive cognition, appreciation, evaluation and connection with our ethnic homeland. The term “eco-museum” was first used by Hugues de Varine in 1971 to refer to the museums which were dedicated to the global environment. “Eco-museum is a museum in which the point and location are defined and simultaneously the different places are exhibited according to the dimension of “time” and the transformation of a certain place in different temporal periods from the viewpoint of the lingual developments of a nation in the different periods of history” [2]. The other agreed definition is that “eco-museum describes the relationship between the human being and nature in the location and point of a specific site, consisted of a collection of acceptable scientific, cultural achievements which display the heritage of a group of people. It’s a mirror in which people can see themselves” [2]. Anyhow, these are unconventional types of museums, which in contrary to the artistic museums that put on view the breakthroughs of upper social class, put on display the achievements of ordinary people and village dwellers; the image which these museums depict of the rural cultural heritage is greatly valuable for the regional habitants. In such museums, visitors get informed about the lifestyle of an ethnic group or tribe immediately. Throughout the 19th century, experts discovered the value of rural culture and that discovery underpinned the establishment of scientific anthropological museums. Constructed in 1873, the Nordiska museet in Stockholm was the first scientific anthropological museum ever built. In 1877, the National Museum of Finland was built in Helsinki and Dansk Folke museum was established in Copenhagen two years later in 1879. Skansen was the first open air rural cultural heritage museum to be built in 1891 in Sweden. This is the oldest and at the same time, the most scientific museum of this type in the world. The Eastern European countries also made efforts to establish such museums, being persuaded with strong political and ideological motives. The rural museums of Eastern Europe were constructed between the 1940s and 1950s with the intention of revitalizing the culture of proletarianism and agriculture [3]. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Aiming at preserving the subcultures, respecting the environment and criticizing the thoughts of modernity, the idea of constructing such museums took shape as a far-reaching movement in the countries of Eastern Europe during the 1970s and 1980s. This movement was reinvigorated with the emergence of newly-born concept of sustainable development and sustainable architecture and turned into an all-encompassing phenomenon in these countries. Structurally, museums fall under a number of categories: firstly, the preservation of regional buildings, local heritage and environment in the main area, where the ethnic habitants live in accordance with the original lifestyles of these houses. These museums are specifically called eco-museum. Secondly, it is the de-assembling and re-assembling of the constructions in a new environment which is in conformity with the original status and reminds the original point of establishment. In these museums, the main concern is the revitalization of the intangible elements of the culture. Such museums are generally called Open Air Museum. Primarily, these museums would only endeavor to replace the structures; however, with more experiences gained, exhibiting the styles of working and living of the original habitants and celebrating the rural festivities and rituals came on the agenda so as to present a more inclusive portrayal of the cultural heritage of the ancestors. With the developments of Open Air Museums, their diversity raised as well.

2 Developments made by eco-museums Eco-museums have come to existence on the basis of late 19th century’s anthropological museums and turned into architectural phenomenon while being developed; however, during a 50-year historical period, they affected their surrounding environment to the extent that can be named prosperous social, economic and cultural phenomena. The improvement of ethnic people’s lifestyle on the basis of sustainable development – without harming the environment and destroying the ethnic identity, growth of education and advancement of public awareness regarding the cultural heritage are all among the achievements of such museums. The transformation of evaluation criteria with regards to the apparatus and buildings in the eco-museums have underpinned the formation of scientific and research centers in the fields of architecture and rural anthropology. The new phenomenon of evaluating ethnic, proletarian and agricultural culture have entered those scientific and museum-studying communities that would only conduct researches and studies about the preservation of artifacts, buildings and recording of events in the upper classes of the society. Ecomuseums made positive environmental effects and strengthened the region’s economy wherever they were constructed [2–4]. 2.1 The environmental effects of the eco-museums 1. Positive ecological and environmental impacts 2. Preservation of ethnic identity and connection of generations

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692 The Sustainable World 3. Empowerment of motives for preserving the ethnic architecture of the rural communities for living or attracting tourists to reside in 4. Revitalization of tangible and intangible cultural elements in the museum through staging ceremonies, traditional rituals, showcasing the styles of working and production by simulating gardens and traditional workshops 5. Reviving and revitalizing cultural elements in the rural communities through establishing constant connections with the local, rural councils 6. Contributing to the economy of the region by  Attracting tourists and accommodating them in the renovated buildings or the museum’s hotel  Revitalizing traditional occupations and displaying them in the museum  Creating jobs in the museum either directly or indirectly  Selling the goods which have been produced in the museum traditionally 7. Popular participation  The endowment of buildings, kitchen apparatus and agricultural instruments to the museum  Voluntary cooperation with the museum by the students and the retired 8. Training  The availability of museum’s archive and library to the students, professors and scholars; gathering and documenting all of the information relevant to the buildings’ de-assembling and re-assembling, customs and rituals in their original form would provide a unique background for conducting architectural researches and studying the rural culture  Documenting the indigenous knowledge  Holding educational workshops for the apprentices of different countries  Teaching traditional skills to the youths and enthusiastic learners  Holding round-the-clock camping for children and adolescents to teach them the traditional skills. This educational action penetrates the society through children and deepens the society’s awareness of its cultural heritage as a result  The familiarization of city dwellers (who do not have any connection with the natural environment of the villages) with rural life.

3 Guilan’s Eco-museum of Rural Heritage and the necessity of foundation Over the past century while Iran was enduring the pressures of new world’s developments, the society underwent traditionalism in all of its forms. In this period, a transformation was swiftly made from the old to the new. The acceleration of developments towards modernism was so high to the extent that many cultural aspects evaporated. The Land Reform Law of 1963 which eliminated the feudalistic society and divided the lands between the farmers brought the rural communities into a new stage of production methods. Many farmers who could not afford the expenses of production immigrated to the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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cities. The emergence of revolution and war which was followed by devastative economic crises along with the wrong policies of the government in the expansion of rural communities caused the increased immigration of village dwellers to the cities, the growth of population and destruction of villages ever more. In these whereabouts, Guilan’s earthquake of 1990 accelerated the destruction of rural buildings. Although the old houses were constructed strongly (on the basis of ethnic knowledge), the wrong policies of reconstruction led to the destruction of old houses. As the intangible elements of rural culture went down to demolition in this period of transformation, architecture suffered a lot accordingly. Currently, the construction of eco-museums seems to be the only remaining way for Iran to preserve the remnants of its ethnic cultural heritage.

Figure 1:

The house in the rural before de-assembling.

Figure 2:

Re-assembling the eco-museum.

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Figure 3:

Figure 4:

Re-assembled eco-museum.

The house and re-assembled site.

With the objective of preserving rural heritage, the eco-museum of Guilan was constructed in one part of Guilan’s jungles in the year 2004. This museum which has a surface area of more than 250 hectares, reassembled at least 150 rural houses in the site of museum, aimed at revitalizing the diverse and rich subcultures of various ethnic groups of Guilan. Attractive constructions such as stables, rice warehouses, agricultural farms, production workhouses, local bazaars and accommodation centers are located at the museum. At the moment, no more than 25% of the project is completed; however, the sections constructed in 2006 are available to the public. Although the museum is not too old and wellestablished, it has realized considerable cultural and social achievements to this point [4, 6].

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3.1 Guilan’s Eco-museum of Rural Heritage and ethnic identity At the beginning of exploration for the buildings between the years 2002 to 2006, an interesting point was revealed for us: the majority of villagers were disinclined to their culture and traditional houses. They would try to deny their roots as they would consider their homes dirty and underprivileged. In the common culture of people, “villager” is equivalent to “retarded”; therefore, the villagers who are the inheritors of this culture would refute it. It was not important for them that the remnant of these abandoned homes might be used to warm up stoves in the villages or endowed to the museum for reconstruction. Our endeavors to preserve these buildings seemed ridiculous and meaningless to them. Once the construction of the museum was over and the visitors gained access to it, the reality of this valuable and rich culture and the scientific, aesthetical capacities of the buildings were made known to everyone. The owners of the houses would show them to their relatives honorably and retell their ancestral roots enthusiastically. This feeling of honor towards the ancestral past and the sense of decisiveness to preserve the traditional constructions becomes more evident through the endowment of buildings, apparatus and instruments to the museum; moreover, this type of architecture has become a favorable pattern in the constructions regionally. This evaluation is not limited to architecture and encompasses activities such as the celebration of wedding ceremony, local plays, reception with Guilani cuisines, guides wearing the local dresses and the exhibition of villagers’ lifestyle in the museum which collectively make the society acquainted with the richness of this culture. These activities have contributed to the revitalization of intangible heritage and its circulation within the social strata. For the Iranian society which enjoys an intense ethnic diversity and suffers from the lack of documented resources to familiarize these ethnic groups with together, the existence of rural heritage museums is a necessity which can contribute to the resolution of misunderstandings, augmentation of mutual understanding and preservation of ethnic identity. 3.2 Popular participation No eco-museum will be able to realize its objectives without popular participation. The participation of people is not an instrument towards progression; rather it is a goal in the route of planning for sustainable development. The managers of eco-museums actually play the role of scientific leader whilst the financial and social affairs of the museums are usually directed by the popular participation. The relationship between eco-museums and people is a mutual and two-sided connection. Popular participation contributes to the survival and continued existence of the museums and the museums spawn cultural and environmental values by functioning as an engine for the development of ethnic community. In the contemporary world of materialism where the values are estimated on the basis of material fundamentals, ecomuseums function as the elemental basis of economic development, hinged on the preservation of ethnic identity and natural features of the region. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

696 The Sustainable World However and so forth, the extent of popular participation in the eco-museum of Guilan can be expanded potentially because the museum has not found its original position in the region yet.  Primarily, all of the buildings would be purchased from their owners; however, numerous buildings have been endowed to the museum gratis since the museum’s inauguration  The NGO of museum fans handles the popular, self-directed supports of the museum  A number of traditional customs and rituals are held by the villagers voluntarily [6].  The patriarchs of the rural communities and local researchers provide the museum with their experiences and studies voluntarily [6]. 3.3 Economic impacts of the museum  Creating at least 100 direct jobs for the local experts and villagers in the scientific and operational fields.[6]  Creating jobs for the region’s villagers through reviving the traditional occupations in the bazaars, shopping stands and coffeehouses in the museum  Buying construction materials from the villagers. These materials are locally produced and does not impose any cost on the inhabitants  Attracting tourists (though the museum is still at the beginning of the itinerary in this field) 3.4 Museum and education Documenting the unwritten, ethnic knowledge of the region has been one of the most prominent achievements of the Guilan’s Museum of Rural Heritage. Having been disregarded previously, this knowledge is matchless technologically, aesthetically and from the viewpoint of its diversity. Acquiring and making indigenous the techniques of de-assembling and re-assembling the wooden structures and constructing an eco-museum in Iran which is an unprecedented event in the Middle East are among the breakthroughs of Guilan’s eco-museum.  Training skilled experts in different fields of anthropology, architecture, museum maintenance and management. Training ethnic human resources and expanding traditional skills  Making available, to the students and researchers, the documents of the museum and results of the field researches into the buildings. It’s not the objective of the museum to showcase the different types of houses or the styles of buildings and materials used in them; rather, it should represent an overview of the region’s governing economic and social equations by introducing specific constructions and buildings such as farms. Therefore, the museum has assembled a wide spectrum of buildings, from the residence of the richest farmer to the house of the proletarian worker and this can help us

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comprehend and figure out the arrangement of social stratums within the rural community over the past two centuries Publication of museum’s specialized journal ,’KANDOUJ’ Training of the guides Holding workshops and seminars Compilation of scientific identification card for the artifacts

Figure 5:

Figure 6:

Original decoration.

The houses in the eco-museum.

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Figure 7:

The houses in the eco-museum.

4 Conclusion Despite being new phenomena in the course of human civilization, sustainable development and sustainable architecture are among the most important achievements of contemporary man which can help rescue the communities around the world from a number of social, environmental and identity-oriented crises. These new concepts have their roots profoundly extended in the reflections and thoughts of those who are the originators of ethnic architecture. The concept of sustainable architecture can be developed through preserving and revitalizing the instances in the main sites and eco-museums as well as sampling for new constructions in the society. Eco-museums are powerful organizations which can improve the life of ethnic habitants by bringing into existence a sustainable economy and directing the industry of tourism towards sustainable patterns and meet the requirements of the local community consequently. The empowerment of social independence, identity and feeling of honor, resolution of the tribal misunderstandings through increasing the awareness of people about their past and present situation, preservation of environment and natural resources with the participation of people, sponsorship of educational programs specifically in respect of disseminating ethnic knowledge and formation of revitalization programs in order to increase the number of tourists and enhance the economy at the same time as protecting the ethnic values are among the goals and roles of eco-museums. Experience has demonstrated that constructing such museums can lay the groundwork for the realization of sustainable development and expansion of sustainable architecture in different societies, especially in the developing societies such as Iran which are moving from tradition to modernism.

Resources and references [1] The author’s 7-year-long experience and research as the Chairwoman of Workshop and Supervisor of the Architectural Studies at Guilan’s EcoMuseum WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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[2] Real, Barbara, “Eco-museum, an environmental treasure”, Kandouj magazine, No 1, pp 74-75, 2005 [3] Huwyler , Edwin, Open air museum of Ballenberg, translated by Faroogh Kharabi, Tehran, 2009 [4] Miryousefi, Pouya, Rural Heritage Museum of Guilan, MEMAR magazine, no 39, pp10-13, 2006 [5] Miryousefi, Pouya, “De-assembling & Re-assembling houses of eastern plain of Guilan”, Kandouj magazine, No 2 , pp 25-43, 2006 [6] Archives of rural Heritage Museum of Guilan [7] Guide du musee, Gutach, Jockers, Inge, pp 5-11, 2000 [8] Guide du musee, Ballenberg, Huwyler, Edwin & Christian, Sidler, pp 3-12, 1999 [9] visited from: ECOMUSEE D,ALSACE, France; ECOMUSEE DE LA FORET – NOIRE, Germany; ECOMUSEE DE LA FRANC-COMTOISE, France; MUSEE DE L,HABITAT RURAL BALLENBERG, Switzerland; OLD STURBRIDGE VILLAGE MUSEUM, USA; OPEN AIR MUSEM ARNHEM, Hollande

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“Can the UN WTO and the Colombian government policies promoting ecotourism, contribute to rural territorial development” H. Rojas-Pinilla Rural and Regional Development Department, Environmental and Rural Studies Faculty, Pontificia Universidad Javeriana Bogotá, Colombia

Abstract The UN WTO and national governments worldwide have been promoting Sustainable Tourism (ST) as a promising activity for alternative development, particularly for the Sustainable Development of rural areas. However, the Territorial Rural Development (TRD) perspective is focused on analyzing Power relations, namely how different stakeholders at various levels (local, national and international) have different possibilities of practicing power in terms of access, control and distribution of tourism resources in six main dimensions; social, economic, ecological, institutional, political and cultural. The aim of this paper is to analyze the UN WTO and the Colombian Government policies to promote ecotourism, and their possibility to effectively contribute from the power approach to TRD. Keywords: sustainable tourism, tourism resources, alternative development, territorial rural development, power relations, public policy.

1 Introduction The present article is the result of a research project funded totally by the Pontificia Universidad Javeriana Research Office in Bogotá, Colombia.

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2 Territorial rural development Rural livelihoods have changed a great deal in the last decades, particularly in their traditional functions of production and reproduction. Most rural households show a large increase in non-rural income ratio compared to agricultural income [1]. In emerging rural studies, for instance, the approach defined as Nueva Ruralidad (New Rurality) has acknowledged the rapid increase of new non-farm activities and their increasing importance for rural household income. Therefore service activities such as tourism and related services (crafts, small manufacturing, transportation, communications, commerce, personal services, etc) have been perceived as potential income generating activities for households, and promising alternatives for rural development and poverty alleviation [2]. Territorial Rural Development has been defined by scholars as “the process of institutional and productive transformation in a determined rural space whose aim is to reduce rural poverty” Schejtman and Berdegue [3]. However, this definition left other dimensions of territory behind (environmental, cultural and political); more importantly, how relations of power in terms of access, control and distribution of resources are established between different stakeholders within a territory at different levels (local, national, regional, and global). This will be explained in detail. Territory cannot been seen simply as a physical space in which a community is located, it is also an imaginary space and “the scenario produced by a social construction that allows the development of cultural, economic, politic and social relations, implies a sense of belonging, identity and territoriality is hence a historic concept” [4]. However, this view has some limitations when it focuses on productive development and institutional change leaving out the cultural, social and political life, particularly the basic and fundamental meaning of territory, when is conceived from the power relations perspective. Schneider and Peyre [5] review the evolution of the concept extensively, and correlate territory and power exercise over an area, namely people, activities and resources; consequently, there are many dimensions in which it is possible to exercise power in terms of access, control and distribution of people, activities and the allocation of resources in order to accomplish any economic activity. For example a municipality may have control over seashore possible uses. But it may not have real control over the access to it, for example it cannot control the boats, or terrestrial transportation which may be in the hands of local people or in hands of a national travel agency. From the cultural dimension, the imaginarium of a given fisher community e and its myths may be of a restricted access for a particular group of the community that control it (religious leaders) or might be something that might be appropriate for an outsider and popularized, to be sold and commercialized, in a form of souvenir craft, image, etc. A national government might give rights and permission to a national or international tourist enterprise for using a common resource as the beach as a touristic resource over regional actors, therefore diminishing local people rights to access, distribute, or control it. As a result, from a territorial analysis perspective, it is essential to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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assess power relations between actors at different scales and their asymmetries in terms of control, access and distribution of resources in the territory in each of the main dimensions (economic, social, political, etc., See figure 1). One useful instrument may be the stakeholder analysis, combining stakeholders, the dimension in which are possible exercise power relations and the cumulative effects of those relations on sustainability.

Dimensions;

Actors/ scales

Social

Political

Power; Economic

ACCESS, CONTROL,

Local/ Regional/

Institutional

Inhabitants

Territory

National International

DISTRIBUTION Cultural

Resources Ecológical

Figure 1:

Territorial analysis.

In the economic dimension from the territorial perspective, it is necessary to identify and analyze how access, control and distribution of economic resources derived from touristic activities are divided between local, regional, national and international actors. According to Schulte [6] large transnational companies such as airline and hotel services, benefit the most from tourism earnings over the local and regional populations. It is also possible to identify the quantity and quality of the jobs generated by tourist enterprises, in terms of, for example, stability, income, or self satisfaction. It is also possible, to identify and analyze the quality and quantity of productive opportunities generated by tourism, or real access to services and resources such as public spaces, drinking water, and even the tourist attractions placed within their territories (beaches, forests, archaeological or heritage sites, etc) in a broader way. Within the environmental dimension not only the type of impacts which arise from the activity as a whole must be identified (derived from for instance the provision of food services, lodging and transportation, in addition to other services such as laundry etc.) but also the impacts of each particular activity performed by tourists (horseback riding, canoeing, etc.) as well as their cumulative effects [7] including how each of these impacts affect different social groups, by gender, age ranges and socioeconomic status. For instance, how the offer of food in high seasons is reduced for them, or prices for all for or for a particular type of food (i. e. seafood) are increased. How certain tourist activities reduce the productivity of particular ecosystems on which people depend i.e. fish resources for local fishermen or polluted the water they depend on for drinking (i.e. trekking in the highlands). Whereas, within the cultural dimension, aspects of analysis are even more complex, since they require longer time scenarios to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

704 The Sustainable World demonstrate changes in, culture, imagery, symbolism not to mention on the effects on lifestyles and local community consumption patterns. Within the political dimension it is necessary to establish the way in which decisions are taken, depending on the interests of local and regional actors versus outsiders, but especially in the light of the collective interest and collective well-being at local, regional and national level. Finally, as regards the institutional dimension one can, for example, research and analyse to what extent the institutional apparatus is responsive to the needs and interests of the different stakeholders involved in the activity at all levels. Also how local institutions and actors perform a particular role, for instance, as guarantors and compliance of environmental and labour standard regulations, while maintaining favourable conditions for the flourishing of the activity under parameters that not only privilege economic growth and revenue generation but common welfare, transparency, good governance and accountability in terms of the law among others.

3 Sustainable development and sustainable tourism in UN WTO: the concepts and declarations in the last ten years In the past, productive processes that encompass development and economic growth only report as costs those included in the regular accounting process. Throughout the 19th and 20th centuries the world has accumulated the heavy environmental costs of human production and reproduction. Climate Change, for instance, forces us today to confront a number of challenges in order to transform our way of production, consumption and live in a more sustainable manner, as well as the realization of how dependant we still are on nature in spite of our technological advancement. 3.1 The concept of sustainability in UN WTO declarations WTO [8] outlined the general principles of Sustainable Tourism (TS) defined as “that ..(tourism) directed to the management of all resources in a way that economic, social and aesthetic needs can be sustained while maintaining cultural integrity, essential biological processes, ecological processes and the biodiversity systems that support life on the planet”. From the perspective of Meadows et al [9] and the Second Law of Thermodynamics, this definition presents strong and obvious contradictions because it is not possible to meet the growing economic demands, the social and aesthetic needs of continued population growth while, at the same time, ensuring cultural integrity, the maintenance of essential biological processes, global ecological processes and the biodiversity systems that support life on the planet. Some of the most controversial topics linked to this definition of sustainable development are; whose necessities and needs, ought to be fulfilled and for whom. Other questions include: what is sustainability? How do we understand sustainability in a comprehensive way? The first question brings the notion of equity into discussion not only at a trans generational level, which implies future generations, but also at intergenerational one. An adequate notion WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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of equity referred to sustainable development implies two directions in the satisfaction of needs, those of both the present and the future generations Hunter [10] quoting Fox, about the subject of intergenerational and intergenerational equity established that “issues have become interwoven in a complex debate on how best to achieve equity of access to natural resources which create human well-being, and in the distribution of the costs and benefits (social, economic, and environmental) which ensue from the utilization of resources”. In consequence, any development that “maintains, creates, or widens spatial or temporal differences in human well being” is simply not sustainable. Secondly, as a consequence of criticism over the concept of sustainability was revised and the notion of resilience was introduced, referred to the capacity of nature for self-restoration and conversely continuing performing its natural functions and evolving processes. Hence the notion of sustainability included a new and more applicable meaning in practice; guaranteeing or, at least, procuring that interventions directed to development do not affect the natural capacity of ecosystems for self restoration, some ecologists still argued that maintaining the natural capacity of ecosystems for regeneration was not enough and they proposed that the notion of sustainability should incorporate at least the maintenance of a team of basic functions such as; habitat, regulation, production and information R.S. de Groot et al. [11]. In the particular case of ST definitions, McMinn [12] quotes several authors that disqualify the concept, and even consider it as another cliché of the development discourse (Muller); while some authors wonder about how it would be achieved (O´Gready, Pleumarom, Carter , and Wheat ), others search for its real meaning (Cronin, Wall), while the most critical thinkers argued that in certain occasions what is proposed as ST “can be even worse in the long term that conventional tourism” (Buttler). The revised notion of sustainability still avoids confronting the social, economic and political context in which development processes take place. Hunter [10] in the document Sustainable Tourism an Adaptative Paradigm, points out several key issues in defining sustainability from engineering, economy, the political economy, and other disciplinary perspectives. Such, as the functions of economic growth in welfare provision; the impacts and importance of population growth; the forgotten fact that growth Encompasses limits; the actual difficulties in the substitution of natural capital by capital manufactured by men; the real capacity of our society to substitute non renewable resources for renewable ones; the current real technological capacity to avoid negative environmental impacts; ethics, and the rights of non human species to survive, among many other controversial issues that are still unresolved. In Rio the coining of ‘ecotourism’ was not casual; it was part of the conservationism bias at the conference, and was ideated as a relatively safe way to obtain financial resources for conservation of biodiversity, one of the main impediments for biodiversity conservation in the South. However, the notion of ecotourism tends to be often confused with ST, but ecotourism has been seen as a part of specialized tourist activities under the umbrella of ST. In 1995 at the Lanzarote Conference, social, cultural and economic variables were linked, as WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

706 The Sustainable World part of the sustainability of tourism activities. Particularly on issues such as broad participation across all scales, the need to improve the quality of life of host communities, respect for traditions of local communities, codes of conduct, in addition to concerns about transport, energy use and nonrenewable resources, as well as recycling and waste management produced by the activity [14]. At the Quebec Conference [16], it was clearly established that ecotourism holds the principles of ST in relation with the avoidance of social, economical and environmental negative impacts of tourism but also it was specified that ecotourism contributes actively to natural and cultural heritage conservation; includes local and native communities in their planning and development and their welfare, it works better on independent travelers as well as to reduce crowds. Some authors considered that ecotourism emerged as a fragmented vision of sustainable development, because it assumes that there are particular areas and spaces in which is important to implement sustainable practices, and others in which it is not necessary. Furthermore, Branwell and Lane [13] believe that ST and categories such as ecotourism should not be seen as a segmen of the tourism sector, its relevance resides in the transversality of its activities and the different sectors and disciplines that encompass. ST is a key in the application of ideas in sustainable development and it is a potential tool for develop it. In other words all tourist activities should been sustainable in every possible dimension, and if we can achieve that it would not be necessary to reserve spaces for conservation, in this context conservation would be a reality and not an objective. In August 2004 [8] the UN WTO reformulated the concept of ST including a group of sustainability principles intended to avoid the environmental, economic and socio-cultural issues related to tourism development and, therefore, establishing an adequate balance between these three dimensions to guarantee its sustainability in the long run. The UN Environmental Commission recommended a set of principles for ST initiatives development, such us the optimum use of environmental resources as a key factor in tourism development, the maintenance of essential ecological processes which contribute to conserve Biodiversity and cultural heritage; respect for socio-cultural community authenticity, traditional values and the contribution to tolerance and intercultural understanding; ensure viable economic operations in the long run providing socioeconomic benefits fairly distributed between stakeholders, including employment stability, income generation opportunities, community social services and poverty alleviation. 3.2 The declarations brief analysis In the Berlin Declaration [15], the concept of sustainability utilized is still in line with that used at the Rio Declaration, and the main theme of the Conference is the relationship between biological diversity and tourism. The document incorporates environmental and social elements in its emphasis; the most important concern is about the distribution among the population and local economies of benefits from sustainable use of biodiversity.

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The document proposes a team of tools and mechanisms to ensure the objective accomplishment, but without actually targeting the objective of redistribute the benefits of biodiversity used in tourist activities. Roughly the mechanisms proposed are: i) economical incentives through bilateral and multilateral funding, ii) Command and control and the use of sanctions for infractions.iii) planning and management of tourist activities; iv) the implementation of the Action Plans in Biodiversity in which all participating countries pledged at Rio, as well as the monitoring of impacts on biota (water, soil, air, land and biodiversity, especially through an integrated management of coastal and marine). It also expresses special concern about the adoption of clean technologies and. v) training, proposing an increase of tourism professionals in biodiversity issues, and insists on vi) broad participation of all actors at all levels. The Berlin Declaration has a strong bias toward conservation and ecotourism. TS is still perceived as a major economic activity with strong potential in generating financial resources for conservation. In the declaration the need for conversion of existing systems arise as well as the necessary implementation of restrictions on use. On the positive side, while proposing the implementation of mechanisms for sharing benefits of biodiversity, it fails to acknowledge the power asymmetries between regional, local and national stakeholders in terms of access to control or the distribution of technology, capital, and markets; furthermore it does not recognize the power differences between North and South or Transnational Hotels and transportation enterprises. In practice, traditional communities (ethnic, rural, etc.) are often not capable of taking advantage of the opportunities offered by tourism activities, having instead to cope with a number of “negative externalities” such as the limited access to common use resources, (i.e. forest, rivers and sea) as well as the deterioration of the productive capacity of these resources on which they have historically depended for natural and cultural survival .The progressive increase in pollution and environmental impacts (noise, pollution, water, visual pollution, solid waste, etc.) increased taxes, cost of living, labor and the gradual Displacement of traditional activities generate processes of social differentiation or job insecurity. On the other hand, without information systems articulated to an efficient monitoring system is almost impossible to make decisions directed towards conservation, sustainable use or equitable distribution of benefits. In countries like Colombia, highly diverse but with weak institutions, as well as social and economic exclusionary structures, the final result is unequivocally determined by the initial conditions. Conversely, it seems quite difficult to contribute to the complex process of transforming the power relations in different dimensions and scales incorporated in tourism activities without changing power relations, or enhancing or making the access, control or distribution between local stakeholders more equitable. The Quebec Declaration’s, [16] main subject, as mentioned before, is Ecotourism, it reiterates that ecotourism is a way to get resources for the conservation and management of protected areas rich in biodiversity and culture and its preservation for future generations. In the declaration promote the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

708 The Sustainable World creation of Small and Medium Enterprises (SMEs) are proposed – access to credit, markets, subsidies, including incentives for renewable energy and technical solutions. It incorporates cultural and political considerations as well as respect for human rights in relation to land and property and, where recognized, the right to self determination and cultural sovereignty of indigenous and local communities, including their protected, sensitive or sacred sites, and their traditional know-how for which they operational tools are proposed. While acknowledging the poverty of the host communities in tourism destinations, it states that different forms of tourism, especially ecotourism, “if managed sustainably, can represent a valuable economic opportunity for local and indigenous populations their cultures as well as for conservation”. Prioritize the planning, development and management of ecotourism and the participation to prevent “the deterioration of the natural landscape, endangering wildlife and biodiversity, coastal and marine pollution, the depletion of water quality, poverty, the displacement of indigenous and local communities and the erosion of cultural traditions” [16]. The document seems to ignore the requirements of multilateral financial institutions like the IMF or World Bank, the suspension of protectionist measures or state incentives. It makes no reference to the asymmetries in access, control and distribution of tourism resources in recipient countries and between national and local communities. The Galapagos Declaration [17], considers tourism as a global social, cultural and economic phenomenon, and one of the fastest growing activities contributing to economic and social development of peoples and proclaimed it as a sounded strategy to combat poverty” [17] Like the Berlin Declaration, it proposes an updated version of the same instruments, adheres to the Convention on Biological Diversity United Nations, “in order to sustain and distribute fairly and equitably the benefits arising from their use” [17]. It proposes tools intended to achieve their goals and recommendations and believes diffusion and communication are the best way to put in action its recommendations. Like previous statements, it does not take into account the asymmetric power between stakeholders in terms of control, access and distribution of tourism resources, knowledge and research capacity, and cannot even commit participating countries to formulate development plans on ST. The Johannesburg Declaration [18] focuses on Inequality and its effects on the sustainability of development. It proposes to defend workers’ rights, dialogue and cooperation. In this respect, it refers clearly to the asymmetries of power, access, control and use of natural resources, biodiversity and tourism between the actors involved. Despite being fairly comprehensive and integrated, the Declaration does not stress rural development as a tool to integrate the objective of combating poverty, as defined in policy development with the environmental objectives of the post-Rio process. It aims to look at the participating countries giving priority attention to structural problems such as hunger, malnutrition, occupation, armed conflicts, illegal trafficking, organized crime, corruption, natural disasters, terrorism, intolerance and incitement to racial, ethnic, religious and otherwise, xenophobia and endemic, communicable and chronic diseases. Also, it points out the intra-generational inequities issues, and the effects and WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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relationships between inequity and the implementation of unsustainable patterns of natural resource use, .global capital flows, information and the uneven distribution of benefits and costs of globalization. The Davos Declaration [19] establishes that “the tourism sector must rapidly respond to climate change in the framework that the United Nations is creating so it can grow in a sustainable manner” (UN, Davos, 2007:1), the statement proposes the promotion of instruments to access new technologies to improve effectiveness of using energy and seeking ways to mitigate emissions of greenhouse gases, mainly because of tourist industry transportation and accommodation activities generate an important footprint on the environment. The Colombian Policy [20] for the development of ecotourism utilizes an odd mixture of Brundtalnd´s definition and Sustainable Human Development. It proposes nine strategic lines, in line with most of the UN declarations already reviewed. The policy is conceived of as an instrument for increasing ecotourist activities mainly from an economic perspective than from an ecological or social one. The focus of poverty and sustainable use of biodiversity is absent, as well as the issue of the distribution of costs and benefits or power asymmetries between the actors involved. The mechanism that has been rapidly put in to practice is concession of ecotourism services to private enterprises arguing that tourist activity management demands excessive human and capital resources from the national authority in charge of managing protected areas; the Special Administrative Office of Protected Natural Areas (UASPNN). Nevertheless figures collected by Goméz [21] show that income derived from entrance charges in the natural parks have declined dramatically as the price of services charged by private companies are 300% more expensive than previous government prices and furthermore the body finances of the UASPNN have not improved with the income received from these concessions.

4 Conclusions The concept of sustainability in tourism promoted by the UN WTO has been enriched in recent years, gradually identifying the close relationship between equity in access to and use of resources and the sustainable use and management of biological and cultural diversity. Ever since the Conference of Lanzarote, the UN has insisted on the need to make regular use and codes of conduct in national policies and mechanisms for a broad participation of communities at all levels in tourism activities and, therefore, improving the economic quality of life of host communities as well as ensuring respect for cultural traditions. It could be said that to some degree it has been an advance in the environmental dimension, but in the economic and political dimensions there are still many challenges, particularly in a South country context with rampant social exclusion, poverty and low skills of most of the rural population. This structural context makes not only political participation but economic and social development in tourism activities difficult, even in communities with a long history of providing services in the vicinity of important protected areas. Pilar Gómez [21] in her research on the participation of tourist services providers in WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

710 The Sustainable World the Los Nevados national park found that participation, in spite of the Colombian policy on ecotourism, is quite precarious. While the process of granting tourist services in national parks was inspired by the Rio principles, and on the paper under the assumptions of the UN WTO conferences, in practice it excludes “fairness and reduces opportunities for the participation of local people. “Moreover the exclusion of local people has generated negative effects on the social level in terms of membership and environmental protection in the park, the community is becoming careless of responsibility in conservation, because they do not perceive the natural area as a resource of their own, as prior to the concession process.” “Local actors were not involved in the planning and management of tourism activities, the benefits they receive are minimal, and they do not share their needs and interests”. While changes in the approaches proposed by the UN in its conference for sustainable tourism have much to contribute to the DRT, the fundamental weakness underlie in the impossibility of implementing its principles through operative instruments that reach all levels and dimensions, considering the territorial imbalances of power that are present in all developing countries, there are few cases in which tourism contributes to the DRT and the designated functions in terms of generating more equitable conditions. From the perspective of access, control and distribution of resources local actors are rarely able to benefit from the opportunities generated by tourism and more likely to suffer negative externalities such as increased cost of living, rising cost of real estate growth, taxes, and insecurity. The only way we can achieve sustainable tourism is in a society that has achieved some degree of sustainable development in an integral and comprehensive manner. In the case of the Declarations examined, they have made significant contributions in terms of engaging topics as codes of conduct and social responsibility that aim to help the fight against poverty and exclusion and promote the sustainable use of biodiversity and its connection with cultural diversity. However, the executing governmental agencies of the Colombian policy in charge of the promotion of ecotourism have no operative instruments to contribute to poverty alleviation, culture and sustainable use that the UN WTO declarations promote. The proposed principles seem not to go beyond an inventory of good intentions, aimed at formulating policy objectives and strategies without a civil and institutional capacity to implement efficient policy instruments (planning, command and control, regulations or incentives), nor have resulted in the implementation of effective monitoring and evaluation systems in order to play a key role in decision making and feedback in the protected natural areas objectives achievement. According to Gomez [21] In the case of Los Nevados Natural Park, the concession of tourist services to private enterprises has reduced the opportunities for income generation of the inhabitants of the buffer zone in the park by importing food “ of high quality and certified “ for the tourists, that before was purchased from local producers. In conclusion we can say that on the one hand, with the conceptual advance on the issue of sustainability of tourism, it has become more and more integrated in terms of incorporating a larger number of WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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dimensions and considerations, while on the other, it has placed additional complexities, challenges on the process of establishing operational criteria for the planning and implementation to achieve development from the RTD perspective.

References [1] Martínez Valle, Luciano. El campesino andino y la globalización a finales de siglo (una mirada sobre el caso ecuatoriano), en, Revista Europea de Estudios Latinoamericanos y del Caribe, Nº 77, Ámsterdam. pp. 27-35, 2004 [2] Perez, E. & Farah, M A. Compiladoras. Desarrollo Rural y Nueva Ruralidad en América Latina y la Unión Europea. PUJ, Bogotá, 2004 [3] Schetjtman, A. & Berdegue, J. Desarrollo Territorial Rural: Aspectos destacados de experiencias en proceso en América Latina y el Caribe. Fondo Internacional de Desarrollo Agrícola y el Departamento de Desarrollo Sustentable del Banco Interamericano de Desarrollo. Santiago de Chile: RIMISP. 2003. [4] Coy, Uriel. Sistemas Territoriales y Ordenación del Territorio, en Revista Misión Local, Universidad Distrital Francisco José de Caldas. pp. 13-17 4(2) Abril de 1998. [5] Schneider, S & Peyre I. Territorio y Enfoque Territorial: de las referencias cognitivas a los aportes aplicados al análisis de los procesos sociales rurales, en, Desarrollo Rural, Organizaciones, Instituciones y Territorios. Manzanal et al, Compiladores. Ediciones CICCUS. 2006, pp. 71-101.2006. [6] Schulte, S. Guía conceptual y metodológica para el desarrollo y la planificación del sector Turismo. ILPES, CEPAL, Santiago de Chile, Julio 2003. [7] Rojas-Pinilla, H El Turismo Rural, ¿Alternativa de Desarrollo?, en, La Enseñanza del Desarrollo Rural, Enfoques y Perspectivas. Memorias Seminario Internacional Enfoques y perspectivas de la enseñanza del Desarrollo Rural. pp. 321-343.Del 31 de agosto al 2 de septiembre de 2005 Bogotá. [8] Conceptos y definiciones; desarrollo sostenible del turismo. WTO. Online http://www.world-tourism.org/sustainable/esp/top/concepts.html. [9] Meadows, D. et al., Limits to Growth: A Report for the Club of Rome’s Project on the Predicament of Mankind, New American Library, 1977, paperback, Universe Books.1972. [10] Hunter, Collin. Sustainable Tourism as an adaptative paradigm.En Annals of Tourism Research, Vol. 24, No. 4, pp. 850-867.850-867.1997. [11] Rudolf S. de Groot et al. The Dynamics and Value of Ecosystem Services: Integrating Economic and Ecological Perspectives A typology for the classification, description and valuation of ecosystem functions, goods and services Ecological Economics 41.pp. 393–408 2002 [12] McMinn, S., The Challenge of Sustainable Tourism. The Environmentalist 17, pp. 135-141. Chapman & Hall.1997. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

712 The Sustainable World [13] Branwell, B & Lane Bernard. From Niche to General Relevance? Sustainable Tourism, Research and the Role of Tourist Journals, in The Journal of Tourism Studies Vol 16. No 2,pp 52-62.2005 [14] ONU. Carta de Turismo de Lanzarote.1995. [15] ONU (PNUMA) (1997) Declaración de Berlín. http://www.scribd.com/doc /6376285/Declaracion-de-Berlin [16] ONU Declaración de Quebec sobre el Ecoturismo (2002). http://www.cinu.org.mx/eventos/turismo2002/doctos/dec_quebec.htm [17] ONU Declaración de Galápagos (2002) http://www.cinu.org.mx /eventos/turismo2002/doctos/dec_gala.htm [18] ONU Declaración de Johannesburgo (2003) http://www.un.org/esa /sustdev/documents/WSSD_POI_PD/Spanish/WSSDsp_PD.htm [19] ONU Declaración de Davos (2007) http://www.centroamerica.tv/es /cambio_clim%C3%A1tico_y_turismo_-_responder_los_retos_mundiales [20] Ministerio del Medio Ambiente Vivienda y Desarrollo Territorial Colombia (MMAVDT) Política Colombiana de Fomento al Ecoturismo (2003). [21] Gómez, Pilar. La Participación de los prestadores de servicios turísticos y sus consecuencias en la sostenibilidad Ambiental y Social del PNN Los Nevados.{trabajo de grado}, Bogotá. Pontificia Universidad Javeriana. Carrera de Ecología. 2008.

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Networking among rural tourism entrepreneurs H. Farrell1, G. Bosworth2 & R. Newbery3 1

Department of Tourism, University of Lincoln, UK Enterprise Research and Development Unit, University of Lincoln, UK 3 Centre for Rural Economy, Newcastle University, UK 2

Abstract In this paper we explore the role of in-migrant owners of small tourism firms in promoting entrepreneurship and developing competition in the tourism economy of Northumberland. We hypothesise that through a combination of extra-local networks and local embeddedness these business owners are not only succeeding themselves but they are stimulating other local businesses by increasing local trade, heightening competition and raising standards and aspirations. The role of in-migrants is further explored in theoretical terms. Their networking behaviour and the importance of what Saxena terms “relational capital” in the process of integrating rural tourism into the wider local economy is of particular interest given that some of these business owners are recent arrivals into the area. Of further interest are the links between place, community and local products, services and activities. The ability of in-migrants to create a sense of place and as well as embedding their businesses within the local economy is discussed. Keywords: business networks, lifestyle businesses, rural development, entrepreneurship, counterurbanisation, embeddedness, social capital.

1 Introduction Tourism contributes some £12bn per annum to rural economies and supports an estimated 380,000 jobs (Ilbery et al. [2]) but rural locations attractive to tourists are not necessarily attractive locations for entrepreneurial endeavour and economic dynamism. Rural tourism is dominated by microbusinesses and many of these are not the main income source for their owners (Getz and Peterson [3]). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100641

714 The Sustainable World As such they are marginal both spatially and economically leading us to explore some of the measures taken by rural tourism entrepreneurs to overcome these challenges, focusing on networking behaviour and the institutions and spaces that facilitate such interactions. A range of personal and business networks are highly valuable for the transfer of knowledge and opportunities among rural tourism firms. Furthermore, the relationships developed can help firms to become embedded, encourage cooperation and generate an entrepreneurial milieu. As small tourism firms are not always the most entrepreneurial in terms of growth aspirations and innovation (Bosworth and Farrell [4]; Morrison et al. [5]), we explore the positive and negative outcomes attributed to their activity, based on interviews with indigenous and in-migrant owners in Northumberland and research into four tourism-dominated business networks in the same region. Rural areas provide distinct challenges for entrepreneurs given their remoteness from larger markets and skilled labour and the low density of businesses. Attractive rural locations provide alternative motives for potential entrepreneurs, often less driven by growth and profitability and more by personal and lifestyle choices (Bosworth [6]). As such, new forms of rural enterprise have focused on exploiting market niches and commodifying certain features of rurality. While the benefits to the local economy have been identified, the focus on niche provision and the prevalence of small firms leads to questions about the scope of tourism enterprises. This is especially true where tourism firms are run by “lifestyle entrepreneurs”, defined as tourism business owners who are actively seeking a different type of lifestyle. They may have migrated to the destination specifically for this purpose, but may already live there. Their motivations centre on quality of life and the local environment, and they are not therefore as profitoriented as other entrepreneurs (Morrison et al. [5]).

2 The role of networks in rural tourism businesses The main problem is that there is no single definition of a ‘network’. Murdoch, alone, describes horizontal and vertical [7] and economic and social [8] networks, each with different significance. Other proponents of networks as drivers of productivity and competitiveness (Rosenfeld [9]; Chell and Baines [10]; Johannisson et al. [11]) and as potential vehicles for rural development (Lowe et al. [12]; Murdoch [7]) are also unable to agree on a unique definition. Egocentric and sociocentric networks (Johannisson et al. [11], hard and soft networks (Rosenfeld [9]; Petrou et al. [13]) strong and weak ties (Chell and Baines [10]; Saxena and Ilbery [14]) or associative and communal relations (Tiepoh and Riemer [15]) are all concepts related to networks of people but none provide a single, over-riding definition. Looking at the etymology of the term (Harper [16]), uses the simple definition, “an interconnected group of people”, and emphasises the significance of connections and communication. This highlights the importance of the structure as well as the nodes and the nature of their interconnectivity, providing a basis to consider different forms of networks and their significance for tourism WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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businesses. A wealth of advantages have been linked to networks including the motivation of entrepreneurship (Copus and Skura [17]), time and money saved in information gathering (Malecki and Oinas [18]), support for nascent small business (Davidsson and Honig [19]), innovation (Camagni [20]) access to training (Bennett and Errington [21]) and providing a firm “with its ‘distinctive capabilities’ that help it to create and add value” (Malecki [22, p. 173]). Totterman and Sten [23] found that formal support groups can facilitate access to other business networks, implying that cumulative benefits can accrue. The values of networks for businesses appear to be two-fold. As well as practical issues, there are less tangible benefits associated with social capital. Social capital refers to “features of social organization, such as networks, norms and trust, that facilitate coordination and cooperation for mutual benefit” and it “enhances the benefits of investment in physical and human capital” (Putnam [24, p. 1]). In this respect, we are not looking at the quantifiable benefits of additional trade or cost savings but the social values of mutual understanding, cooperation and a sense of shared identity. As such, localities with high levels of social capital are more likely to reap greater benefits in using human and physical capital and citizens in these localities enjoy a better quality of life. By bringing people together, whether towards business or social ends, networks are able to augment social capital development. As Maskell ([26, p. 111]) states, “social capital is accumulated within the community through processes of interaction and learning”. As a resource, it is therefore augmented not diminished through use (Westlund and Bolton [27]). Relational capital therefore has the potential to generate further cooperation and help stimulate entrepreneurial development (Saxena [1]). Perhaps the most effective working definition of social capital is provided by The Performance and Innovation Unit [28] who state that “social capital consists of the networks, norms, relationships, values and informal sanctions that shape the quantity and co-operative quality of a society’s social interactions” (p5, emphasis added). This reinforces the intangible quality of social capital as it is not simply networks but something that shapes or facilitates co-operation through networks. In other words, it is not just about whether individuals interact but whether the collective society in question provides the right opportunities and structure to enable fruitful interaction.

3 Methodology The research is set in the North of England and combines interviews with a sample of tourism firms and analysis of four business networks in rural Northumberland. While the broader rural economy of the area has been well researched (e.g. Raley and Moxey [29]; Thompson and Ward [30]) the tourism sector has not been studied separately, despite making up some 30% of rural microbusinesses in the region. Tourist numbers to the region have been growing and the average length of stay has also been increasing (One North East [31]). Previous research has shown that just over 20% of business owners in this sector had other WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

716 The Sustainable World employment and almost 80% of hospitality businesses were registered at the owner’s home address demonstrating that these businesses do not operate in isolation from other aspects of their owners’ lives. Also, over 70% of business owners in this sector had moved into the area (Raley and Moxey [29]) and, with in-migrant business owners being more growth oriented (Bosworth and Farrell [4]), this influenced the sampling of a mix of local and in-migrant businesses. Face to face interviews were carried out with the owners of 16 businesses; six bed and breakfasts, two holiday-cottages, a caravan park, three tea-rooms, two pub/restaurants a village stores and an art and craft gallery. Biographical interviews were used to provide a detailed description of the development of individuals’ businesses and a semi-structured questionnaire enabled the interviewer to engage with each unique story through follow-up questions to identify the value of other individuals and networks throughout the account. As part of a wider study into rural business associations in the North East of England, four local tourism networks were surveyed during 2009. These were formally constituted as partnerships or associations and ranged in size from 22 to 106 members. They were loosely focused on rural service centres (3 market towns and a collaboration between 2 villages), with membership dispersed in the surrounding districts. A census was sent out by post to all members of the networks achieving a 51% response rate (122 respondents). The questionnaire explored the costs and benefits of membership and captured social, economic and demographic data on the respondent and their business.

4 Tourism entrepreneurs and networking The literature identified different forms of networking providing different benefits to businesses. The findings begin with an overview of the four business networks highlighting a range of motivations for participation and associated benefits. Interview analysis then explores the value of networking and is divided into two sections to draw out the differences between formal or organised business networking and less formal social or community-based relationships. One specific feature of networking among tourism firms is that it seldom involves the end customers (i.e. tourists) enabling us to differentiate broader networking activity from more direct marketing activity. 4.1 Tourism networks The four tourism networks in the study were voluntary associations operating under a regime of private law. They were formed by individuals for reasons relating to the promotion of the business and rural area; being described as a private response to peripherality, since “nobody else will do it for us” (Member Gilsland and Greenhead) and due to perceptions of “Government hostility to rural areas” (Member Haltwhistle Tourism Association) with a corresponding poor public provision of tourism services and area promotion. They have nominal annual subscription fees from £25 to £56.

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Over 70% of respondents are aged 50+ and 77% of members are in-migrants. Members appear quite integrated with the local area, with 97% of them making local purchases (defined as within a 30 radius) for the business in the past 12 months. Indeed, nearly half the businesses made at least 90% of purchases within the local area. Tourism businesses account for 88% of members (a mix of guest house, hotel, public house and restaurants), with 8% running local shops and 4% in agriculture. Over 48% of respondent businesses have no employees, indicating that many of these businesses are secondary to the owners’ main pursuits. Over 64% of members reported an increase in profits during the last 5 years and 46% consider the business to be growing (with 48% indicating a steady state). The smaller associations meet only during the ‘off-season’ and due to strong links with agriculture the last meeting before the summer precedes the onset of lambing time (resulting in a median of 4.5 meetings a year). These associations have a variety of aims and they meet to exchange local knowledge, such as the times of various events, swap marketing literature, form responses to threats to local tourism (such as wind farms or open-cast mining) and discuss approaches to improving the marketing of the local area. Methods used to promote the area include a basic cooperative web-site and an information ‘drop-off’, where members’ brochures and a locally sponsored tourist map are dropped off to tourist information offices in neighbouring towns and cities. The larger networks meet twice a year and mainly focus on the production of a cooperative web-site. Network membership has specific rules and members must provide cross-links from their own web-site to the networks in a reciprocal arrangement; resulting in a high search engine ranking for tourism searches within the district. Members post details of their business and accommodation providers must have an annual inspection by Visit Britain, providing evidence of their ranking on the web-site and maintaining quality standards. All networks provide a mechanism (formal or informal) for members to check the availability of their fellow members’ accommodation in the situation where they are fully booked – keeping trade within the area. They are also reported as being particularly useful for new members, typically newcomers to the tourism industry, as they are very useful sources of ‘free advice’ on what is necessary to survive and prosper in the area. 4.2 Attitudes towards business networking The examples above are all forms of organised business networks and the opportunities for cooperation, knowledge exchange, joint marketing and the establishment of new businesses are all benefits recognised in the wider literature on business networking. When asked about networking, the vast majority of individuals associated the term with these organised forms of activity and the general attitude was more often a negative one. A publican’s reaction was, “I curl my nose up really.” By contrast, the same individual explained that “it’s very important to support the local guesthouses because they do a lot of marketing and if we’ve got our brochures there it helps them no end knowing they can send people for a meal here and they know they can rely on us.”

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718 The Sustainable World People’s attitudes are affected by both the people they want to cooperate with as well as the structure and setting of a particular network. A caravan site operator has few connections to the local community as his customers are not local and the service he provides is much less personal. As such, his response to a question about networking was, “I’ve heard it, what does it mean?” The owner of a holiday cottage spoke of the high level of materials received through the post, saying, “I’m so cynical, when these glossy things come, I just throw them in the bin. I’m a small concern, it’s a different ball game, but if there’s something I miss out on, I get narked!” In these cases independence outweighs the need to engage with local business organisations and friends and family are the core sources of support. As well as an inherent independent attitude among rural business owners, this is compounded by a sense of marginalisation from some larger organisations that do not always cater for their needs. A Bed and Breakfast operator said “So much networking tends to be organised in Newcastle...They couldn’t even tell you where this village is.” Another noted that the local Tourist Information Centres were not helpful to their village saying that they are “missed out by all of them…this is why we need to help each other out because we don’t get referrals”. Having acted on this, they have a strong, but largely informal local network of bed and breakfast operators who exchange referrals. Another very local group has flourished in part as a response to being marginalised, with one member saying, “I think everybody feels that the village needs to get itself more noticed.” Where business owners do participate in formal networks, they tend to take a clear business decision, assessing the likely benefits that they can obtain. A tearoom owner described how she joined a regional network specifically to get a credit card machine at a reduced rate but has no other involvement. Another couple explained that they had never run their own business before so, “Business Link were very helpful…when we put in for the shop I had to do a business plan and that was very involved…At the time it was a lot of work, but looking back it gave us a lot of ideas”. The examples in Section 4.1 illustrated that business networks are more highly valued by business owners new to an area and this is supported by individual interviews. Where less formal local networks take time to develop, these organisations provide access to information and support that can be essential in establishing a business. As such, where incomers have positive experiences, they are more likely to reciprocate their time and effort into supporting these networks. A bed and breakfast operator who is on the board of an area partnership explained that it is not about helping her own business “it’s more the other way round; it helps any board that I sit on that I run my own business.” While acknowledging that she benefits from up to date information, this was clearly a secondary motivation for participation. The opportunity to support others and therefore collectively support the development of tourism in the local area was the central motivation. A similar distinction can be observed with incomers’ attitudes towards inspectors. Local owners expressed suspicion that inspectors will give away their WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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secrets and resentment that they are invading their personal space by judging their accommodation and service. Two both used the term “nitpickers” to describe them. Incomers had more positive experiences, in one case commenting on the helpful advice they had received and another commented, “We’re very lucky because by and large inspectors come here who I’ve got to know, I’d say they are very switched on…they understand the reality of running a business”. The sense that networking is a professional, business activity was clearly illustrated by an incomer who explained the value of her relationship with Business Link and the courses she has attended. This sense of investing time and effort for measurable returns was further highlighted by her reaction to a less formal group who “squabble about and don’t get on with what they should be getting on with, they talk about how they should be running the meeting…I’m not very patient with that sort of thing, I think 2 hours of my time I could be spending doing something more productive so I voted with my feet and didn’t go back.” This very pragmatic approach to formal networking is not unique to tourism businesses but the implication is that networks need to offer a clear incentive to attract members. A majority of very small businesses in the tourism sector means that networks have the opportunity to draw in a critical mass for external marketing but this does not require high levels of interpersonal engagement. As such, more innovative approaches to provide useful information, advice and linkages are thought to be essential for successful and vibrant network groups. In particular, the participation of businesses that link to core tourism activities without necessarily being defined as tourism businesses can add a valuable dimension to support business development. 4.3 Non-business networking For some rural businesses the best networking can happen when the business owner is totally unaware that they are engaging in networking activity. When asked about networking, a hotel and pub owner replied, ““Networking…networking just means with the computers.” Subsequently though, she revealed that she values feedback from customers, supports local events in the community and often speaks with her competitors in the village. For the pub trade, these are all essential for the service she provides but if this became a more formalised process, it may be less effective. The overlap between business and social networks is apparent in many ways, confirming Granovetter’s argument that “the behavior and institutions to be analyzed are so constrained by ongoing social relations that to construe them as independent is a grievous misunderstanding” (Granovetter [32, pp. 481–482]). A good example comes from a bed and breakfast owner saying, “I go to evening classes, I’m making stain glass panels now, I went to an evening class where I could put something back into the house, I’d love to go to an upholstery one as well.” Running a small tourism business is more than just a form of income but also a lifestyle choice, and moreover, a lifestyle choice where a desire to deliver a high quality of service and a responsibility to represent the broader locality motivates good business practices. The difference is that these are personal and

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720 The Sustainable World independently minded choices rather than following mainstream business theories. The informal group of bed and breakfast owners mentioned in 4.2 who exchange referrals was instigated by incomers who, in part saw it as an opportunity to be socially accepted into the local area. In another fairly informal village network, the organiser explained, “it’s good because its links with local people who live and work in the community, because we’re all busy businesses, it gives us a chance to meet with one anther as well.” As an informal, friendly group, new business owners have been welcomed as much through a sense of a social responsibility to support their venture as through any sense that it is important for the businesses to benefit directly. The direct benefits derived from informal networks were discussed by all interviewees to some extent. One commented on how she entered selfemployment for the first time, saying, “I knew the lady in the tea-room in was nearing retirement so I spoke to her and she let me work there for a summer before I took it over to get the feel of it. She was supportive and watched over us”. As an older person, embedded in the local community this support was invaluable to developing the confidence to run the business – a level of confidence that saw her expand the business significantly in the coming years. Given the nature of many tourism businesses, trust is highly valued. This leads many business owners to rely on personal contacts for part time staff rather than advertising more widely. In a similar vein, a cottage owner explained that she can always leave keys with neighbours if they are away and expecting tourists to arrive. Business owners also spoke of the importance of good tradespeople and accountants in more remote communities. One spoke of her accountant: “you just hand everything over to her.”. The accountant was recommended by a nearby farmer and now the bed and breakfast owner has recommended the same person to the local shopkeeper so once again social capital facilitates not only new business but initiates relationships that are already enriched with trust. Such practical arrangements are often taken for granted but without access to social capital, business operations would be much more complicated. While social and business networks overlap substantially, there is evidence that incomers keep a greater degree of separation, at least in the early years. For example, while locals consistently expressed preferences to support local businesses and use local produce wherever possible, in-migrants took time to evaluate the cost and quality of local products. Another example of this more guarded approach comes from a pub/restaurant owner who commented about a business in the same village with whom they have a very good relationship. She said, “I’ll send people across there but I’ve never eaten there myself so I’ll not recommend, I’ll just says that here’s another place in the village that does food.” Where there is a risk that lower quality produce or poor recommendations will affect the business, the balance between social and economic motivations is brought back into focus and the behaviour of individuals is affected. In the main though, the benefits of strong social networks appear to outweigh any costs. Whether it is built around the knowledge that people will “always go WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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that extra mile” to help out because they are regular customers or whether it is purely an exchange of ideas and “gossip” over a cup of tea, business owners speak very positively about the value of close friends in the running of their businesses, and in the rural tourism sector, these tended to be closely linked to the local area given that they all lived and worked within the same broader community.

5 Conclusions The paper has highlighted contrasts in networking behaviour among in-migrant and local business owners. It also notes the particular importance of networking in rural tourism businesses. Networking provides benefits beyond business development and financial gain and this is particularly important for lifestyle businesses. It is posited that human and social capital are of greater importance to lifestyle businesses because maintaining a lifestyle is the driving force. Networks help develop a sense of local identity and embedding rural tourism businesses in the local area further creates a sense of “authenticity” which is so often sought in tourist interactions with host or destination. Embedding provides opportunities for the business owner, in the shape of increased availability of local knowledge and trade links. However, as Saxena and Ilbery [25] have noted, embedded networks are not inevitably beneficial for all. There are instances noted above in which in-migrants felt excluded from participation in the informal networks more often populated by local members. The contrasting ability or inclination to network amongst in-migrant and locals has been noted. However, both groups form networks. In-migrants are more likely to be members of “hard” or formal networks at first, although they often integrate into other forms of network later. This indicates weaker emotional connections to networks in the early years and more reliance instead on formal memberships controlled by rules of participation. These types of network are usually more costly and less durable or long-lived (Petrou et al. [13]). In our study, more formal networks had a rule-based membership, met less frequently, offered less chance to build personal relationships, and focused on the promotion of businesses and on ensuring quality. Participation in formal networks was seen as a business decision, based on assessments of likely benefits. Locals were more likely to be involved in informal networks of friends and family although they may not consider these relationships to form a network. These are less demanding of resources and more focused on intangible benefits such as sharing knowledge and experience. These networks are also more longlived. Non-participation in networks, where it occurred, was mainly because of their desire to maintain independence, rather than any sense of exclusion. Saxena [1] concluded that the relational or social capital generated from these interactions were the greatest benefits of networks in rural tourism. In the Northumbrian study sites, networks met for knowledge exchange, sharing marketing materials, mobilising against perceived threats, and planning improvements in promotional activities. However, informal networks had formed in response to being left out of larger urban-based networks. Informal WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

722 The Sustainable World networks were set up for exchange referrals or sharing information. There were also overlaps between business networking and social networks, especially among lifestyle business owners. Networks offered means of social involvement and, for in-migrants, a route to acceptance in their new communities. Indeed, inmigrants were generally well-integrated with the local area, and although they were more likely to value formal networks for information sharing and support at first, they participated fully in them. Furthermore, participation in networks need not be a business decision in its narrowest sense. We found that participation could be motivated by a sense of community responsibility rather than business benefit. Some of these conclusions pose further questions. For example, local business owners are often less entrepreneurial in their business behaviour (Bosworth and Farrell [4]), preferring to retain the status quo in the business rather than innovate. As such, in-migrants were often the drivers of change, countering Saxena’s [1] interpretation of relational capital which suggests non-migrants should be better placed to foster an entrepreneurial approach based on access to the informal networks which provide the support and confidence to make changes in their own businesses. The key to understanding the potential benefits of networking for the rural tourism economy lies in the degree of overlap between innovative or entrepreneurial in-migrants and local business owners with access to local knowledge and local social or relational capital. In particular, the dynamics of these relationships, the places they occur and the causes and pace of their development should be the focus for ongoing research.

References [1] Saxena, G., Relationships, networks and the learning regions: case evidence from the Peak District National Park. Tourism Management, 26(2), pp. 277289, 2005. [2] Ilbery, B., Saxena, G., & Kneafsey, M., Exploring Tourists and Gatekeepers' Attitudes Towards Integrated Rural Tourism in the England– Wales Border Region. Tourism Geographies, 9(4), pp. 441-468, 2007. [3] Getz, D. & Petersen, T., Growth and profit-oriented entrepreneurship among family business owners in the tourism and hospitality industry. International Journal of Hospitality Management, 24(2), pp. 219-242, 2005. [4] Bosworth, G. & Farrell, H., Tourism Entrepreneurs in Northumberland: The Role of In-Migrants. Forthcoming. [5] Morrison, A., Carlsen, J., & Weber, P., Lifestyle Oriented Small Tourism [Lost] Firms and Tourism Destination Development. In: Tourism and Hospitality Research, Training and Practice: Proceedings of the 18th Annual Council for Australian University Tourism and Hospitality Education Conference, Gold Coast, Australia, 11th-14th February 2008 [6] Bosworth, G. Entrepreneurial in-migrants and economic development in rural England. PhD Thesis, University of Newcastle, 2009.

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[7] Murdoch, J., Networks – a new paradigm of rural development? Journal of Rural Studies 16, pp. 407-419, 2000. [8] Murdoch, J., Networking rurality: emergent complexity in the countryside (Chapter 12). Handbook of Rural Studies, ed. P. Cloke, T. Marsden, & P. Mooney. Sage, London, 2006. [9] Rosenfeld, S., Does Co-operation Enhance Competitiveness? Assessing the impacts of inter-firm collaboration. Research Policy 25, pp. 247-263, 1996. [10] Chell, E. & Baines, S., Networking, entrepreneurship and microbusiness behaviour. Entrepreneurship and Regional Development, 12, pp. 195-215, 2000. [11] Johannisson, B., Ramirez-Pasillas, M. & Karlsson, G., The institutional embeddedness of local inter-firm networks: a leverage for business creation. Entrepreneurship & Regional Development 14, pp297-315, 2002. [12] Lowe, P., Murdoch, J. & Ward, N., Networks in rural development: beyond exogenous and endogenous models (Chapter 5). Beyond Modernisation: The Impact of Endogenous Rural Development, ed. J. D. Van der Ploeg & G. Van Dijk Van Gorcum, Assen, The Netherlands, 1995. [13] Petrou, A., Pantziou, E.F., & Dimara, E. Resources and Activities Complementarities: the Role of Business Networks in the Provision of Integrated Rural Tourism. Tourism Geographies, 9(4), pp. 421-440, 2007 [14] Saxena, G. & Ilbery, B. Developing integrated rural tourism: Actor practices in the English/Welsh border. Journal of Rural Studies, In Press, Corrected Proof. [15] Tiepoh, M. Geepu Nah & Reimer, B., Social capital, information flows, and income creation in rural Canada: a cross-community analysis. Journal of Socio-Economics 33, pp. 427-448, 2004. [16] Harper, D. Online Etymology Dictionary. Accessed 13 February 2008 at: www.etymonline.com [17] Copus, A. & Skuras, D., Business Networks and Innovation in Selected Lagging Areas of the European Union: A spatial Perspective. European Planning Studies 14(1), pp. 79-93, 2006. [18] Malecki, E. J. & Oinas, P., Making Connections: Technological learning and regional economic change. Ashgate Publishing, Aldershot, 1999. [19] Davidsson, P. & Honig, B., The role of social and human capital among nascent entrepreneurs. Journal of Business Venturing 18, pp. 301-331, 2003. [20] Camagni, R., Local ‘milieu’, uncertainty and innovation networks: towards a new dynamic theory of economic space. Innovation Networks, ed. R. Camagni, Belhaven Press, London, 1991. [21] Bennett, R. J. & Errington, A., Training and the small rural business. Planning Practice and Research 10(1), pp. 45-54, 1995. [22] Malecki, E. J., Technology and Economic Development: The dynamics of local, regional and national competitiveness. Longman, Harlow, 1997. [23] Totterman, H. & Sten, J., Start-ups: Business Incubation and Social Capital. International Small Business Journal 23(5), pp. 487-511, 2005.

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724 The Sustainable World [24] Putnam, R., The Prosperous Community: Social Capital and Public Life. The American Prospect, No.13 (Spring 1993) pp. 35-42, 1993. [25] Saxena, G. and Ilbery, B. Integrated rural tourism a border case study. Annals of Tourism Research, 35(1), pp. 233-254, 2008 [26] Maskell, P., Social Capital, Innovation, and Competitiveness. Ch 6 in Social Capital, Critical Perspectives edited by S. Baron, J. Field & T. Schuller. Oxford University Press, 2000. [27] Westlund, H. & Bolton, R., Local Social Capital and Entrepreneurship. Small Business Economics 21(2), pp. 77-113, 2003. [28] Performance and Innovation Unit, Social Capital: A Discussion Paper, 2002. [29] Raley, M & Moxey, A Rural microbusinesses in North East England: Final Survey Results. Centre for Rural Economy, University of Newcastle, 2000 [30] Thompson, N. & Ward, N. Rural Areas and Regional Competitiveness. Centre for Rural Economy, Newcastle University, 2005 [31] One NorthEast Northumberland Rural Accommodation-Challenges and Opportunities. Unpublished data from One NorthEast Regional Tourism Team, 2008. [32] Granovetter, M., Economic Action and Social Structure: The Problem of Embeddedness. American Journal of Sociology 91(3), pp481-510, 1985.

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Alternative tourism: a pathway for sustainability in the Cabo Pulmo National Park, Baja California Sur, Mexico: a SWOT analysis A. Ivanova, R. Ibañez, A. Gamez & M. Angeles Autonomous University of Southern Baja California, USA

Abstract Many studies highlight alternative tourism as a path for sustainable local development in marine protected areas. However appropriate tools to measure the sustainability of tourism development must be implemented. The case of our study is the Cabo Pulmo National Park, located in Baja California Sur, Mexico. The methodology applied is the IUCN sustainability assessment and an analysis of Strengths, Opportunities, Weaknesses and Threats (SWOT), based on a comprehensive review of statistics and documents, and on an opinion survey of the main stakeholders and key players. The analysis clearly shows that there are elements for sustainability based on alternative tourism. Nevertheless, to achieve this desirable model of development some constraints need to be overcome. Based on our analysis, we underscore the main points which should be taken into account in the process of policy making. Albeit oriented to the needs of a specific community, we think that these considerations should be of benefit in constructing sustainable development projects elsewhere, in similar small coastal communities with alternative tourism activities. Keywords: alternative tourism, sustainable development, sustainability assessment, marine protected area, small coastal community, SWOT analysis, Cabo Pulmo, Mexico.

1 Introduction In response to a growing recognition of the need for conservation efforts resulting from the degradation of ocean systems, marine protected areas (MPAs) WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100651

726 The Sustainable World are being established worldwide. If designed correctly and managed well, MPAs have an important role to play in the protection of ecosystems and, in some cases, enhancing or restoring the productive potential of coastal and marine fisheries. However, it is recognized that MPAs are not the only solution for coastal and marine problems. For example, when MPAs are used in conjunction with other management tools, such as the integrated planning of economic activities and sustainability management, they can provide a solid offer the cornerstone for a strategy for sustainable development [3, 4]. When appropriately placed and well-managed, MPAs contribute to:      

Conserving biological diversity and associated ecosystems. Providing focal points for educating the public about marine ecosystems and human impacts upon them. Nature-based recreation and tourism. Providing undisturbed control or reference sites that serve as baselines for scientific research and for designing and evaluating other areas. Sharing costs and benefits among local communities, the private sector, regional and national governments, and other stakeholders [18]. Reducing poverty and increasing the quality of life in surrounding communities by development of sustainable tourism [12, 19].

The aim of this paper is to evaluate the sustainability of the alternative tourism activities performed by the community of the Cabo Pulmo National Park MPA, Mexico.

2 Case study The Cabo Pulmo National Park is a Marine Protected Area in the Municipality Los Cabos of the State of Baja California Sur Mexico, located between 23º 22' 30'' and 23º 30' 00'' North 109º 28' 03'' and 109º 28' 00'' West, in the Gulf of California. It is famous because it has the largest coral reef on the Pacific coast of the Americas, and is home to many species from the bio-geographical provinces of Panama, as well some species from Indo-Pacific areas [17, 18]. As IUCN (2008) states: “Large natural or near natural areas set aside to protect large scale ecological processes, along with the complement of species and ecosystems characteristic of the area, help to provide a foundation for environmentally and culturally compatible spiritual, scientific, educational, recreational and visitor opportunities.” In the Cabo Pulmo area, several small community enterprises are doing sustainable tourism, such as diving, snorkelling and kayaking [7]. The local inhabitants had an active role in the establishment of the MPA and are conscientious about the conservation of the environment and unique natural resources of the site [8. 16]. However in this context appropriate tools to measure the sustainability of tourism development must be implemented.

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3 Methods First, we use as research tool a sustainability assessment based on the IUCN indicators combined with the indicators developed by UNWTO for tourism activities and adapted to a small coastal community. The field data are obtained from survey and in-depth interviews with government officials, local residents and academics. Second, the results are presented in the form of a barometer of sustainability which enables users to obtain clear messages, gain an overview of wellbeing and sustainability, and show where performance is especially weak or strong. The barometer of sustainability is a tool for combining indicators and displaying the results. It is designed to measure human and ecosystem wellbeing together without submerging one into the other. It has two axes, one for human wellbeing, the other for ecosystem wellbeing. The axis with the lower score overrides the other axis. Each axis is divided into five bands for greater flexibility and control of the scale. Figures 1 and 2 show examples of the required information for each case.

Figure 1:

Location of Cabo Pulmo National Park, Mexico.

Third, based on the results of the sustainability assessment, the Strengths, Weaknesses, Opportunities and Threats (SWOT) analysis is used to identify problems related to the sustainability. As Talancón [15] suggests, environmental, economic, social, cultural and legal factors are examined.

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Figure 2:

Figure 3:

Indicators for ecosystem wellbeing, IUCN (2001).

Indicators for human wellbeing, IUCN (2001).

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4 Results Results of the process as applied to the Cabo Pulmo National Park MPA are shown below in graph form. It should be noted that overall Ecosystem Wellbeing (EW) earns very high marks, 85 out of a possible 100, indicating a sustainable ecosystem. On the other hand, Human Wellbeing (HW) stands at only 58, a middling mark, implying below “almost sustainable” condition. Thanks to the EW and HW combination, the Cabo Pulmo area is ranked as a medium sustainable development region.

CABO PULMO (72) HW(58)&EW(85)

Figure 4:

Position of Cabo Pulmo on the barometer of sustainability (as result of our study).

The results just presented prompted the SWOT analysis mentioned above, as shown in Tables 1 and 2.

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730 The Sustainable World Table 1:

Internal analysis (strengths and weaknesses).

Factors

Environmental

Economic and Financial.

Social and Cultural

Strengths  Natural landscape and ecosystems; sea, beach, endemic flora and fauna; sport fishing.  Coral reefs unique in the Pacific [16, 17]  National Park (Marine Protected Area).  Strong environmental NGOs.  Viability of a development pattern based on the alternative tourism [6].  The local community obtains high incomes performing alternative tourism services.  The site is attractive to visitors with high and medium income.  The local SMEs are advertising their services by Internet.  Hospitality of local inhabitants.  Human capacities building (a high percentage of the local young people studying alternative tourism).  Community members are part of environmental NGOs (protecting the MPA)  High community consciousness on conservation and natural resources protection  Programs on environmental education implemented in the community.

 Legal

Laws and regulations on environmental protection.  Program on management of the NP [5]

Weaknesses  Deficient waste management.  The carrying capacity is not defined.

 Insufficient infrastructure: hostels, roads.  Lack of maintenance of the existing roads.  Difficult access to drinking water.  Difficulties for the locals to access financing (insufficient information on the available finance resources, high collaterals) [9].  There are no primary schools.  There are no medical services.  The local entrepreneurs need advice on business management and financing.  Lack of cultural and sport activities for the community.  Local traditions are not consolidated.  Insufficient coordination between the public and business sector.  Centralized patriarchal decisions on the land use within the families.  Land speculation.  Lack of land property definition.  Difficulties for environmental laws compliance.

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Table 2:

External analysis (opportunities and threats).

Factors

Opportunities 

Environmental



  

 Economic and Financial

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     

Clean and attractive environment, competitive on world level. Unique coral reef in the Pacific.

Mexico is one of the most important tourism destinations in the world. National and international alternative tourism demand is growing [2]. There are finance resources oriented to NPAs and for tourism services developed by communities. Tourists visiting Cabo San Lucas are potential visitors to Cabo Pulmo. Growing interest for tourism activities related to the nature, flora and fauna. Possibility to expand to other foreign tourism markets (Europe and Asia). Competitive prices on international level. Unique tourist product. Governmental support to the tourism development [13, 14]. Policies that favor investment in tourism.

Threats  Growing supply of alternative tourism services in Central American and Asia Pacific destinations  Possible damages to the environment due to insufficient management and no specified natural carrying capacity. 

    

Lack of adequate schemes to design, develop, and promote the region´s tourism products. Increasing demand for quality services. Difficulties in the financing of alternative tourism projects. Competition from other touristic destinations with more infrastructure. Neighboring communities that offer greater facilities to tourists. Existence of a massive second-residence and hotel, golf course, and shopping mall project, to be located adjacent to the area.

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732 The Sustainable World Table 2: Factors

Opportunities 

Social

  

Legal

Continued.



Empowerment of the local community for decisionmaking and participation in the development Higher incomes for local families Better infrastructure (roads, schools, clinics, etc) Laws fostering tourism development in Mexico and in the state of Baja California Sur Laws on environmental protection and on MPAs

Threats  

 

Possible loss of local identity and values Insufficient participation of local community in the incomes generated by tourism activities.

Centralized development policies. Lack of legal mechanisms to guarantee the local participation in the development.

5 Discussion and recommendations The analysis clearly shows that there are elements for the sustainable development based on alternative tourism in the Cabo Pulmo National Park. Nevertheless, to achieve this desirable model of development some constraints need to be overcome [8]. Based on the previous analysis, we next underscore the main points which, in our opinion, should be taken into account in the process of policy making. Albeit oriented to the needs of a specific community, we think that these considerations should be of benefit in constructing sustainable development projects elsewhere, in similar small coastal communities with alternative tourism activities. Our recommendations are as follows. i. Create a transparent regime and guarantees on the land. The lack of security on the property of the land is a constraint for community members in developing infrastructure and real estate for tourism activities, even when governmental support is offered. ii.

Development of basic infrastructure necessary to offer better tourism facilities and service, while at the same time creating better living conditions for the community. We do not suggest big hotels or buildings, but small environmentally friendly hostels owned by locals. Although finance will be required, we think that this would be a necessary an important action, because at present most of the existing facilities are owned by foreigners, which brings little benefit to the locals. Also, roads must be in good shape, so as to guarantee the continuous and safe access to the site. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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iii. Basic services. The most important are the medical attention and the availability of drinking water. The implementation of these services is not only important for the visitors (it would allow them the possibility of extending their stay in the National Park); it is also clear that raising to social sustainability indicators is of vital importance for the local people. iv. Education and culture. A primary school is also necessary for the local children, which today must attend school in a nearby locality. It is also necessary to create recreation spaces for community members. The joint cultural experiences will contribute to the family and social cohesion. v. Environmental education It is important to introduce into the community more programs on environmental education, both for tourist and community members. It is an important to involve the community in waste recycling programs and natural park management and conservation. As well, visitors must not only be informed about the characteristics and value of the local resources, but also how to interact with the nature in the “Leave No Trace” manner, and without causing damage. vi.

Capacity building in business management and access to finance resources. To have more success in their small businesses many locals would appreciate professional advice and assistance. Most local entrepreneurs and community organizations interested in the alternative tourism market do not have the necessary skill sets to operate successful tourism establishments. Assistance could be provided by government agencies or by higher learning institutions in the state of Baja California Sur. Thus the creation of human capital would be fostered, with positive impacts on the competitiveness of the site. vii.

Create mechanisms oriented to foster the local management of the tourism. This study shows that the Cabo Pulmo National Park development is based on the convergence of groups of factors. The first is exogenous, based on central government investments, e.g. the creation of the MPA. The second is based on endogenous factor, in particular the presence of a small cultural and social system whose intrinsic relationships are able to generate productive efficiency and sustainability. viii. Foster research on natural resources management. In this context the priority is to define the site`s carrying capacity and avoid endangering local natural resources, with the coral reef as a priority. The conservation and management must be carried out of sites with respect for a site’s carrying capacity. This will require that the tourism sector cooperate with and work under the guidance of professional conservators. It is also important to continue to develop methods and indicators that enable us to evaluate the sustainability of the local development. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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6 Final remarks Alternative tourism practice within marine protected areas is a long-term commitment. But while it is important to think long-term, it is also necessary to set realistic short and mid-term goals. It is important for marine protected area planners to develop incentive measures that will influence decision-making processes within society. It is necessary to create inducements to incite or motivate government, local people, and international organizations to conserve biological and cultural diversity. The existing legislation and economic policies need to be reviewed in order to identify and promote incentives for the conservation and sustainable use of the resources, involving directly the local community. Based on empirical research carried out in Cabo Pulmo National Park we can state that there is a great potential for a sustainable and community based development based on alternative tourism. The main strengths in this context are the natural landscape and ecosystems; sea, beach, endemic flora and fauna; and the coral reefs unique in the Pacific. The local community obtains high incomes performing alternative tourism services. Community members are part of environmental NGOs, and present high consciousness on conservation and natural resources protection However our research shows also some weaknesses that must be addressed to reinforce the critical success factors for sustainability in Cabo Pulmo National Park. The list of suggestions for policy makers provided in part 4 – if applied could turn this potential into reality in a relatively short time. Finally, it is important to highlight that the success of the sustainable tourism development depends on the collaboration of all the stakeholders, government, business, and, in first place, the community members that must become the principal agents of local development.

References [1] Borrie, W., McCool, S., Stankey, K. & Engeldrum, B., Protected Area Planning Principles and Strategies. Ecotourism: A guide for Planners and Managers The Ecotourism Society 2: 133-154, 1998. [2] Bringas N. & Ojeda L., El ecoturismo: ¿una nueva modalidad del turismo de masas, Economía, Sociedad y Territorio, Vol. II, núm. 7, 2000. [3] Cicin-Sain, B. & Belfiore, S., Linking marine protected areas to integrated coastal and ocean management: A review of theory and practice. Ocean & Coastal Management 48: 19, 2005. [4] Christie, P. &White, A. & Deguit E., Starting point or solution? Community-based marine protected areas in the Philippines. Journal of Environmental Management 00: 14, 2002. [5] COMISIÓN NACIONAL DE ÁREAS NATURALES PROTEGIDAS (CONANP). Programa de Conservación y Manejo: Parque Nacional Cabo Pulmo, México, D.F, 2006.

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[6] Gámez, A., Turismo y Sustentabilidad en Cabo Pulmo, SDSU & UABCS & CONACYT, México, D. F., 2008. [7] Ibáñez, R., Turismo alternativo, Gestión y Desarrollo Local. El Caso de Cabo Pulmo, B.C.S, Tesis para obtener el grado de Maestra en Ciencias, UABCS, La Paz, México, 2007. [8] Ibáñez, R. & Gámez, A. & Ivanova A., Análisis ambiental de la actividad turística en Cabo Pulmo. Turismo y Sustentabilidad en Cabo Pulmo, Ed. A.E. Gamez, SDSU & UABCS & CONACYT, México, D. F., pp.191-222, 2008. [9] Ivanova, A. & Nikolov, D., Fuentes de financiamiento para actividades sustentables en Cabo Pulmo. Turismo y Sustentabilidad en Cabo Pulmo, Ed.A E. Gamez, SDSU & UABCS & CONACYT, México, D. F., pp. 99132, 2008. [10] IUCN. Resource Kit for Sustainability Assessment, Gland. Switzerland & Cambridge, UK, 2001. [11] IUCN. Establishing Resilient Marine Protected Areas Network- Making It Happen. Washington, D.C., US, 2008. [12] Santiago Jiménez, M. E., La Participación Local en Procesos Productivos Sustentables: Estudio de Caso en Tres Comunidades de la Costa de Oaxaca, ED. Instituto Tecnológico de Oaxaca. México, D.F., 2004. [13] SECTUR, Programa Nacional de Turismo: 2001-2006, México, D.F., 2001. [14] SECTUR, Programa Nacional de Turismo: 2006-2011, México, D.F., 2006. [15] Ponce Talancón, H. La matriz FODA: una alternativa para realizar diagnósticos y determinar estrategias de intervención en las organizaciones productivas y sociales, Instituto Politécnico Nacional. México, D.F., 2006. [16] Núñez, E., El papel de los arrecifes de coral en el desarrollo económico y social de los municipios de Los Cabos, Baja California Sur, Puerto Vallarta, Jalisco y Santa María Huatulco, Oaxaca, Tesis de maestría. Colegio de la Frontera Norte. Tijuana, México, 2005. [http://public. jubiloweb.com/somac/congreso/I.%20Ecología%20No%20Corales/Orales/ Alvarez-Filip.htm](01/12/08) [17] Reyes Bonilla, H. & Rodríguez Martínez, R. E., Estado actual de los corales arrecífales en México: especies en riesgo, Universidad Autónoma de Baja California Sur y Universidad Nacional Autónoma de México. Instituto de Ciencias del Mar y Limonología. Unidad Académica Puerto Morelos. Moles, México, 2005. [http://www.jornada.unam.mx/ 2005/01/31/eco-e.html] (14/05/08). [18] Sala E., Aburto-Oropeza O., Paredes G., Parra I., Barrera J.C., & Dayton P.K., A general model for designing networks of marine reserves. Science 298: 1991–1993, 2002. [19] Wearing, S. & Neil J., Ecoturismo, impacto, tendencias y posibilidades, Editorial Síntesis Madrid, España, 1999.

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Art and culture as a viable currency in Yoruba traditional architecture P. S. O. Aremu1, O. J. Ajiboye1 & B. Abiodun2 1

Department of Fine and Applied Arts, Obafemi Awolowo University, IIe- Ife, Nigeria 2 Department of Creative Arts, Tai –Solarin University of Education Ijebu Ode, Nigeria

Abstract The definition of art and culture is wholly embedded in the traditional architecture of the Yoruba people of the south-western part of Nigeria. This paper therefore highlights the relevance of culture and the artistic norms of the Yoruba regarding their much cherished traditional architecture with special reference to the artistic elements (figures, symbols, patterns etc,) as used to meet the aesthetic and creative ingenuity of their architecture. African traditional architecture encompasses interpretation and adaptation of cultural emblems that relate to the communities where found. When discussing African architecture generally, we are indirectly referring to art and culture that should be considered as a part of a whole. This paper mainly focuses on the kings’ and chiefs’ palaces where most of these artistic and cultural values are clearly spelt. These traditional structures are best referred to as galleries of creativity, which are gradually turning into ruins. The palaces are the custodians of artifacts, which could as well be tourist centers and can also be used to establish and interpret cultural sequence and history of the people. Keywords: traditional architecture, African, cultural values, artistic element tourism, art, Yoruba people, artifacts.

1 Introduction A sense of life is the source of art says Rand in her book titled “The Romantic Manifesto”. She further adds that the emotion involved in art is not an emotion in ordinary meaning of the term; it is experienced more as a “Sense” or a “feel” WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100661

738 The Sustainable World with two characteristics pertaining to emotions [1]. As [2] also points out that a work of art is essentially individualistic in origin, and that from artist to artist there are differences in personality and temperament. All these two submissions go along with the concept of artistic creation among the black people of Africa. Writing about art and culture would be a floating exercise if not traced to the prehistoric man who created art images and structures to beautify his environment in the name of decoration and architecture. He found a shelter which he eventually made into his dwelling place. As [3] rightly suggests that it could be termed as the true rudimentary emergence of the artistic elements in man’s architectural creation and decoration. As it has been variously suggested that these shelters could be termed as the true rudimentary emergence of the artistic elements in man’s architectural creation and decoration, for this reason it is seen as a part of the culture that controls their existence here on earth. Aside of this, Yoruba art culture and architecture possess the realization of creative activity, and the native contexts of the objects in use are invested with religious feelings and not of aesthetic embodiment. In most African societies, art is always tied to religion because it is part of their heritage. For this simple fact it is seen as a part of the culture that controls their existence here on earth. Art and culture are never considered globally but interpreted with the basic rudimentary elements that are combined to make a whole. Aside of this, function and meaning could be taken as crucial determining factors with which art and artistic objects are assessed in African art as a whole. Yoruba art, culture and architecture possess the realization of creative activity, and native contexts of the objects in use are invested with religious feelings and not of aesthetic embodiment. Yoruba religious art, as it is in most black African societies, is interpreted in terms of its artistic elements such as the figures, symbols, patterns and colour symbolism. All these are taken as the legitimacy of the intellectual assessment canon. In Yoruba land, art and culture occupy a salient position most especially those that are used as architectural embellishments in the kings’ and important chiefs’ palaces. The images and symbols as well as colours are usually attributed to the deities and answerable to religious beliefs and aspirations of the people [4]. The palaces are the store-house of culture with great concern about art and artifacts inform of paintings (mural) and carved wooden images and symbols. Sculptured objects, including figures and masks, patterns and semi-abstract representations, together with other unpleasant materials including blood, animal skins etc. are found as religious objects in palaces. These palaces contribute to greater appreciation of Yoruba art and culture. It is valid to now add that Yoruba architecture is still responding to the dynamics of continuity and change in a way because the former artistic elements being used in the past are still in use today. They are still lending authority to the images of fear because of their religious obligations, they like wise inspire local artists. According to [5], emotionally, African sculptor is animated by fear of the mysterious elements about him: fear of the dead… fear of jungle beasts; fear of his fellow man; and fear of the forces of nature. All these fears are fundamental to the artistic creativity of the Yoruba traditional artists; the fear that directs their WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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imagination to represent visually. Again and again… the arts of Africa cite the fear-laden emotions of the creators and users of these objects and reiterate the view that they are so much dominated by intense emotionality and fear [5]. Yoruba traditional artists (carvers and mural painters etc.) try to translate, discover, intensify and respond to the mystical aspects of Yoruba life. Some of the carved images seen in palaces and in other important traditional places are used to search from the unknown by trying to make the invisible seen in the mystical content within life. As we reflect on the contributions of Yoruba people to the evolution and development of art, it is important to observe that before the evolution of sculptural art in America and Europe and elsewhere, stone carving and mud sculpture had existed in Yoruba land. I believe that Surrealism, Dadaism and some other modernist movements of the 1920s did not come to Africa as a new creative development, but as adaptations of already existing concepts which hitherto were familiar to indigenous African craftsmen. Although these works made by the Dadaists and surrealists and others were very impressive and eyecatching, they were not challenging and intriguing to the traditional and modern African artists as a whole. The reason is not farfetched, this is because African masking tradition (as those used in mural paintings and wood carvings in palaces) had given the African artists the opportunity to develop to high aesthetic level. The various carved images of which the Akwanshi, (among the people of Cross river state of Nigeria); Ere-Ibeji, (among the Yoruba); Akwaba (the Ashantis of Ghana) etc. stand out distinctly, as good examples of original art produced by anonymous African artists from black African countries. Conceptually, these art forms provided a channel of exploration into the social, religious and political feelings of the various societies in black Africa.

2 Study area Yoruba arts, culture and architecture had from time past responded to the dynamics of continuity and change within the framework of Yoruba artistic elements, thus making the distinctive Yoruba features prominent. These artistic renderings could be seen in ile-ife, Ogbomoso, Ikere, Ila-Orogun and in most Yoruba towns and villages in south- western Nigeria where this research was carried out. The study embraces the Yoruba speaking areas of the republic of Dahomey, now Benin republic, located on the western part of the Yoruba land. These places have the same tradition and culture, which guide their architecture.

3 Methodology In-depth interviews were conducted whereby knowledgeable people such as chiefs and court attendants were made use of. Existing information was also collected from books, journals to substantiate the oral information collected from these people. After ascertaining the data collected to be genuine, the facts were then synthesized and interpreted. The interviews were a hybrid of one-on-one interview approach in which the respondents were approached in their different WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

740 The Sustainable World place of work and at home. The point of view, feelings and perspective of the respondents were deeply explored. The questions asked captured the totality of the investigation and the answers led to some valuable questions concerning the deteriorating nature of the artistic elements in use on the architectural structures in the areas of study.

4 Research finding The study identifies the Salient position art and culture occupies in the assessment of Yoruba architecture. Many writers who have variously written on Yoruba architecture did not venture to situate the importance of artistic elements in relation to architecture of the Yoruba palaces and pointing this to its relevance regarding tourism. The study equally discovers that works on form and meaning in Africa art particularly concentrate on the interpretation thereby giving no prominence to architecture and its elements in Yoruba land. Those interviewed did not understand that the content and form are essential to the proper understanding of the function of art as it relates to architecture. The study then concludes that the cultural values inherent in the architecture of Yoruba palaces are fast fading away giving way to contemporary nature, thus reducing the concept of tourism regarding the use of Yoruba traditional Art and culture

5 Yoruba society, its art and artists The king, Oba, is referred to as ekeji-orisa, next to the gods in importance among the Yoruba. They are placed on a high pedestal. Their palaces are usually referred to as the galleries of creativity and the custodian of artifacts which could serve as tourist centres. Yoruba land is endowed with numerous art and artifacts which stand as cultural phenomenon that had its origin from various artistic orientations or traditions. The local artists and craftsmen have used their own techniques to experiment in various directions in an effort to articulate their feelings and experiences into eventful works of art seen in palaces of the kings (oba) or important chiefs, (ijoye), in their various villages, towns and cities. These works are guided by their culture, in terms of structure, design and overall aesthetic appeal. In the palaces of the Alaafin of Oyo, Ooni of Ife, Soun of Ogbomoso, the Ogoga of Ikere and other notable kings in Yoruba land, the main stylistic influences discovered are representational and modified abstract – representation mode of expression. The artists try to establish the originality in sculptural exploration and mural paintings. The carved doors and verandah posts contribute to greater appreciation of art in palaces of the notable kings and chiefs. The carving style has been the admixture of simple bas-relief, and deeply cut designs, which characterized late Oyo Yoruba carving style [6]. Apart from verandah posts and carved doors, art works found in palaces are numerous of such are, dance wand in wood found in Ila-Orangun, Ikere-Ekiti, Ogbomoso, Isehin, IleWIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Ife, Oyo town, among the Atakpami of The Republic of Benin who are of Yoruba extraction, as well as in Egbado area of Yorubaland; the assemblages of pottery works, mud sculptures, statutes, carved seated figures, and art works in different forms, are kept in the palaces to serve as objects of tourism. Sometimes they are displayed in the museums attached to the palaces the best place to attract local and foreign tourists. This display would make known the uniquely creative, artistic and philosophical aspiration, socio-religious motivation and scope of Yoruba artists toward the development of tourism in Yoruba land. The exhibited works of art would equally help to provide the conceptual, philosophical and stylistic development of art in Yoruba area. People from far and near are always eager to see the creative imagination of the local artists, and to evaluate how much they can put their latent socioreligious language into two or three dimensional forms to create authentic Yoruba visual art. The art of the Yoruba of South-west Nigeria has a wide spectrum of usage. It is not limited to certain basic assumptions rather it is used within a well-defined cultural setting in which both the creator (the artist) and the beneficiaries (local and foreign tourists) share basic assumption about the nature of the work of art. Art work could be used freely to meet other socio-religious obligations such as festivals and other religious events. During the annual Olojo and Edi and other festivals in Ile-Ife, as in other Yoruba towns, some of these arts and artifacts are assembled, worshiped and pacified with rites to make the religious ones efficacious. Annual celebrations call for people from all walks of life to participate. People enjoy the togetherness of the society as it is the time of reunion and for the propagation of tourism. There are series of festivals, some of these may involve the use of artifacts, such as masks, statutes carved and mud sculptural pieces. Dancing, feasting, sacrificing and blessing people also take place during these celebrations. People jubilate and use this occasion to solicit favours from the creator through the gods they worship. [6] asserts that there is a general feeling that the visible and the invisible worlds coexist for the benefit of man who is at the center. Most, if not all these annual celebrations attract people both foreign and local, thus the concept of tourism is created. These festivals are not entirely complete without the use of art objects, as [6] adds that often African Art expresses religious ideas we find on wood, stools, calabashes, stones, pots and handcrafts. All these are artistic elements with which art is created visually. The most exciting thing about these local artists and craftsmen is that they work with culture guided principles and translate these into aesthetic statements about Yoruba culture in traditional / contemporary society. Their works of art could be said to have constituted a metaphor of achievement, reminding viewers of one of the few means by which the traditional artists can achieve economic success through tourism. The main gain of the artists comes from the sales of their works, which also depends on credibility. To gain credibility, artists need to excel in the society. Although these local artists have similar background, their main distinction lies in the usage of materials (wood, mud, metal etc.) artistic elements symbols, patterns, images, colours etc); representational styles, skill WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

742 The Sustainable World and in the use of formal and informal balance or otherwise in their composition, form and meaning. What should be made clear when assessing Yoruba art is the philosophy based on their indigenous culture, which has elevated their creative tendencies to a level of communal fame and achievement in the contemporary Nigerian society.

6 Yoruba art and architecture The Yoruba palace architecture is built to assume a more permanent structure with thicker walls, more elaborate designs and larger spaces. The palaces are more defined by spatial variation of its sections such as verandah, courtyards etc. Yoruba palaces are relatively dedicated to the gods, Orisa, and could be termed the dwelling places of the gods. The task of ornamentation and decoration of Yoruba palaces lies on the communities and the priests in charge of the gods which the kings represent on earth. African people generally have their own respective religious places which are not for common use, they are considered sacred or holy. The kings and notable chiefs in the society normally reserve certain areas in the palaces where they express their religious feelings. These places are specially decorated with religious emblems to go with the tradition of the land. The architecture of the Yoruba is traditionally embedded in the use of art as the main source of aesthetic embellishment. Art is wholly linked to architecture both in structure and interpretation. For this reason the Yoruba have always considered artistic elements in the formative attitude of their palaces meant for the kings and notable chiefs in the society. The form encompasses the actual structure while the elements denote the various designs, patterns, motifs, symbols and colours in use, as decorative elements. Yoruba architecture has always responded to the dynamic of continuity within the cultural boundary of Yoruba artistic elements. The artistry of Yoruba palaces is one that needs to be a better documented aspect of their cultural life. Their best known medium is wood which Yoruba artists carved both for internal use and for sale to tourists. Within the palace, we have handsomely carved verandah posts, doors and whole house fronts, elegant calabash utensils designed to contribute to their erotic appeal through both visual and tactile means. The ritual objects, such as masks, statutes, carved images and mud sculptures are decorated and used to serve as items for architectural consideration. They are also considered as part of social life of the people, though some of the items found in shrines enclosed in some palaces are towards the religious concern of the Yoruba. The artistic rendering of the various structures that combine to form the entire palace has relationship with the tradition of the people which they guide jealously. It is sad to note that the former usage of culture-guided artistic elements in Yoruba architecture is no longer apparent in most palaces in Yoruba land, as it was in the past decades. Those that still survive the negative tendencies, such as erosion, crave for modernization, neglect, lack of cultural values on the part of the people etc. have been turned into tourist centres because they contain useful artifacts that could be used to interpret cultural sequence and history of the Yoruba. This is a good omen for tourism. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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In most Yoruba palaces, the old structures are usually enclosed in the new. Thus the traditional form is seen side by side with the contemporary type. The traditional structure could be referred to as the custodian of artifacts and religious objects, which could help support tourism. Thus a museum is being created within the palace. Both the immovable art works, such as the verandah posts and other decorated structures which are movable receive communal or societal attention inform of exhibitions. They all portray the same cultural values and interpretations. Adaptation is now in vogue and this attitude could reduce tourist attraction. There should be a re-awakening of cultural heritage syndrome to enable us see into the past of the Yoruba people of south-west Nigeria. The culture-bound aesthetics that were cherished by all in the past that once stood as symbols of prestige among the Yoruba are gradually going into ruins. The forms and other artistic elements that used to favour tourism are now giving way to westernized culture. Carvings that were once used on ritual posts, kings’ thrones, door posts, posts and lintels that used to hold the roofs are now giving way to westernization, thus the concept of tourism is fast fading out, and with time, nothing will stand as a pointer to tradition that once cherished its culture in terms of Art and architecture. Yoruba architecture could be classified into two, secular and religious. Secular embraces the type that has mundane or common motifs, patterns and colour schemes, while the religious type has the emblems of religious symbols, motifs, images and colours. The artistic elements of the religious type relate to the gods and not for decorative purpose alone. For the tourists to enjoy the form of Yoruba religious architecture, interpretation of the motifs and colours is vital to documentation and tourists’ interest. [7] as well as [8] wrote on traditional architecture in Africa but little was said about the Yoruba architecture, or palace architecture that embraces the use of religious themes. The religious themes in carved images, patterns, and symbols are the attempts to articulate spiritual, emotional and aesthetic impulses. The themes are always the combination of opposites, time and eternity, personal and the cosmic, force and tenderness, male and female. These motifs used on walls in palaces or carved images in wood that serve as decoration on verandah posts, doors, window panes and other structural formations in the palaces are very essential for the portrayal of the spirits, gods and the ancestors of the Yoruba people. Generally, traditional Yoruba art expresses religious ideas, and they are expressed in the form of masks, and carvings on wood, metal work and sometimes in stone and mud as in mud sculptures. All these are the variously used in Yoruba architectural designs and formations. Local artists normally consult the kings and chiefs before embarking on new creations in the palaces. This is vital because kings’ intentions and artistic preference must be taken into consideration simply because consultation with the gods and the ancestors might be necessary most especially if the design is to respond to the religious callings. It is equally important to note that the existence of these religious arts help to elevate the status of palace architecture, thus creating avenue for tourist attraction. As earlier stressed the forms and other artistic elements that used to be WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

744 The Sustainable World the cynosure of all eyes are gradually fading out giving way to modern tendencies, thus the reduction of that cultural flair that has been the bane of creativity in art and architecture of the Yoruba.

7 Conclusion Art, culture and the architecture of the Yoruba are interrelated, closing ranks in all artistic endeavours. Art and culture are very vital in justifying and in the assessment of what Yoruba architecture stands to represent visually. It is apparent to add that a departure from art and culture will render the traditional architecture of the Yoruba meaningless and uninteresting. Equally, the religious phenomenon which is usually considered primary in African thought is always given a pride of place in African art. For, according to [6], Nature is not conceived as of impersonal but is “filled with religious significance. Man gives life even where natural objects and phenomena have no biological life”and since this spirit power is manifested in all things, it could then be deduced that the carved religious items used as symbols of architectural embellishments are equally living since they can perform certain vital functions in the realm of existence. It would be discovered that the most outspoken and eloquent voice of the Yoruba art and culture is incontestable as they are important part of a whole architectural structures. The traditional art and architecture of the Yoruba still retain some interesting features that can introduce one into the past, and the role and meaning of some artistic elements together with the intellectual process and imagination of the artists could be determined. When all the homogenized communal ideologies found in Yoruba art, culture and architecture are fully realized, and then the concept of tourism would be seen to be possible in Yoruba identity and creative imagination.

References [1] Rand, A.: The Romantic Manifesto New York. 1996. [2] Read, H. A Personal Point of View: Summary of Dwellings.” In the Artist in Tubil Society ed. M.W. London: Routledge and Kegan Paul. 1961 [3] Basil, D. The Last Cities of Africa. Garden City, New York 1965. [4] Personal Interview with Pa Yusufu Gbadamosi of Ode-Olowo in Oshogbo 10th April 2010. [5] Myers, B.S., Art and Civilization. New York and Toronto; McGraw-Hill. 1967 [6] Mbiti, J.S., Introduction to African Religion: Heinemann Educational Book Ltd. London: WIX & AH. 1979 [7] Chanda, J., African Art and Architecture. Redmond, WA Microsoft Cooperation. 2005 [8] Bourdeir, J, and Minh, T., Drawn from African Dwellings. American Association University Press 1996.

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Food tourism initiatives: resistance on the ground S. L. Slocum & S. Everett Division of Tourism, Faculty of Education and Sport, University of Bedfordshire, UK

Abstract Food tourism has gained academic and, more recently, political recognition as a potentially sustainable form of tourism development. While state intervention in agriculture policy and the economic context for agricultural production has been long established, a new policy framework that integrates support for farming together with rural development and the environment as a means to create new jobs, protect and improve natural resources, and support rural communities has become evident in food tourism initiatives across the United Kingdom. These interventions are partly a response to the Policy Commission on the Future of Farming and Food (PCFFF) and have resulted in increased emphasis and programme development in food tourism as a means to support rural agricultural areas. It is argued that the economic motivations behind these policy developments are derived from two sources: utility goals that concern the contribution of the farming sector towards the overall health of the economy; and equity goals that focus on the provision of satisfactory incomes for rural populations. In preparation for a new national food tourism website, a series of stakeholder interviews were conducted to gauge industry challenges in implementing food tourism across the UK. Within an established top-down approach to agricultural development, local and regional food organisations have developed food tourism initiatives with the mindset that producers need information and persuasion in order to engage with emerging tourism supply chains. Common challenges to this tactic include the geographical dispersion of producers; confusing and conflicting information available on best practices; and identifying the varying needs between small and large farm operations. However, additional struggles have been identified relating to the differing social identities of the meaning WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100671

746 The Sustainable World behind ‘farmer’. Many agricultural producers view their craft as a lifestyle operation rather than a business and oppose pressure to increase their management obligations through increased supply chain complexity and the need to incorporate additional personnel. Keywords: food tourism, community development, farming policy, tourism supply chain.

1 Introduction Following the Foot and Mouth epidemic in 2001, farm diversification became a major policy focus across the UK as a means to revitalise the troubled agricultural industry [2]. National policy support has emerged that unite local food and farming with regional distinctiveness [4] and has provided an avenue to enhance the provision of tourism product offerings across the country. The result is that food is increasingly becoming part of the sustainability agenda for many communities around the UK and emphasis has been placed on food tourism to supplement the agricultural sector [5]. Everett and Aitchison [1] claim that food tourism is important in strengthening a region’s identify, sustaining cultural heritage, easing fears of global food homogenisation, and supporting a region’s economic and socio-cultural foundation. Therefore, foodthemed pursuits can increase community identity while providing an avenue for economic development [6]. By reconnecting consumers with the land and the food-producing environments [1], the formation of food tourism schemes are two-fold: to fulfil utility goals that involve the contribution of the farming sector in the overall health of the economy; and enhance equity goals that focus on the provision of satisfactory incomes for rural populations [7]. Regions across the UK have recently given food tourism much attention in their regional development initiatives and tourism action plans. Scotland currently markets itself as the “Land of Food and Drink” and has become a leader in promoting the triple-bottom-line of economic, social and environmental sustainability through increased tourism-agriculture linkages. Wales is also pushing a food tourism strategy and states its agenda as, “co-operating across traditional boundaries and compartmentalised thinking to bring together the two industries of agriculture and tourism” [8: p. 5]. Regions across England have begun to make headway in uniting local food production and tourism although adoption has been sporadic and highly provincial due to the regional planning framework employed in the country [9]. Organisations, such as Food for Britain, have engaged in the development of Britain’s specialty food sector by incorporating food tourism marketing tools in partnership with local agencies but have neglected to bring together the food and tourism sectors to stimulate tourism-induced economic activity [9]. The policy framework in the UK has created a number of barriers to the success of food tourism initiatives. The UK has traditionally employed a topdown approach to agricultural development [3]; therefore local and regional food organisations have developed food tourism initiatives within the existing policy structure. Agricultural development often starts with the notion farmers must be WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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convinced to adopt new technologies [3]. With diversification, pressure now exists to “persuade” farmers that tourism markets are viable and profitable. Policies concerning tourism in rural areas are often focused on the stimulation of visitor numbers, with emphasis on marketing the potential for rural tourism and assuring a means of access for visitors [10]. Therefore, producers are often excluded from the decision making processes and are expected to accommodate the behaviours and patterns of the visitors. Moreover, policy incorporating a food emphasis in regional tourism promotion has shifted the approach of tourism development from a sectorally-based to a territorial-based strategy, resulting in fragmented application and implementation from town to town and region to region [9]. While the emerging research greatly supports food tourism as a viable and sustainable form of tourism product [11], an analysis of implementation procedures has yet to be addressed in the academic literature. The key issue rests on how policy makers choose an appropriate mix of solutions, how these are integrated, and how farmers, consumers and other stakeholders are involved in the process of reform itself [3].

2 Literature review 2.1 Food tourism The literature on food tourism has significantly increased over the past ten years, with dedicated texts [11, 12, 13], and articles [1, 14] raising awareness of this multifaceted subject area. A lot of previous research has tended to focus on food as an economic commodity and its economic linkages [8], destination marketing strategies [15, 16] and quantitative consumer analysis [17, 18] which has meant that work of a sociological or cultural orientation has been stifled. However, recent work has recognised food as a communicator of cultural meaning as well as a material object able to help interrogate contemporary socio-cultural relationships [19, 22]. In seeking to identify synergies across the various academic disciplines that have examined the sociology of food to develop tourism studies and simultaneously inform current policy and government initiatives, academics are increasingly sympathetic with Scarpato’s [21, p. 60] plea that multiple disciplinary approaches must be embraced to ‘allow tourism and gastronomy scholars to claim centrality for their work’ and adequately reflect the importance of this multi-sensual form of tourism engagement [22]. The growth of this new form of post-Fordist tourism experience has certainly been fuelled by reconfigured consumption patterns and a desire for less packaged, niche, more individual and less formalised modes of tourism consumption [23]. A desire for ‘tasting the world’ [24, p. 244] and placing the ‘world on a plate’ [25] has become a popular pursuit. Consequently, there is an emphasis placed on understanding the tourist consumer, but often at the expense of the producer. The focus is often on touristic experience, motivations and their impact on the destination [14] or on developing frameworks to inform policy decision-making or regional marketing strategies [18, 26]. Similarly, Hall et al. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

748 The Sustainable World [11] are overtly consumption-focused in their choice of case studies and despite Boniface [12] claiming it is a ‘ripe time for producers’, the narrative is focused on responding to consumer demand and reacting to tastes of the ‘new tourist’ [23]. Although there are studies that elicit data from food producers, such as Kneafsey and Ilbery’s [27] West Country survey, it is difficult to locate a study that simultaneously examines the relationships between producers and consumers in this new culinary experience. Few studies have addressed the impact of food related tourism on those producers in the regions, including Long [13] whose contributors generally concentrate on the tourist and their experience, with little discussion of its impact on the destination’s culture and community. This tendency is also evident in Boniface [12], which focuses on the tourist, rather than the host culture. It is openly admitted by Hjalager that “there are clearly many gaps in our knowledge” [28, p. 233], which include the need to approach the study of food from different perspectives through the pursuit of creative and innovative lines of enquiry which will, in turn, uncover new avenues of food research. Studies on the United Kingdom as a food tourism destination remain relatively scarce, even in the light of numerous high profile marketing campaigns such as Food from Britain (2004). In 2003, Boniface [12] was one of the few authors to pay particular attention to the British Isles, referring to a ‘turning point’ in how the UK uses its countryside; its response to farming crises; its growing concern regarding the quality of food; and its increasing market for organic and local produce. It provided a useful analysis on the evolution of the food and drink industry and an acute awareness of the latest government policy developments. Although no specific location is mentioned, her discussion supports increasing work on how producers are responding to policy directives through regional taste trails [29]; and regional initiatives such as the “Taste of Wales” [30]. Globalisation is a concept closely associated with the destruction of local cultural identities and the encroachment of homogenising westernised consumer culture. This is most clearly apparent in the relationship between traditional rural lifestyles and the growth in initiatives that harness the growing interest in regional and unique food. There is much to suggest a link between the growth of food tourism and the regeneration of rural areas and communities. Butler et al. [31] and Hall and Roberts [32] reflect a growing recognition by academics and policy makers that rural businesses must embrace integrated development and diversification into the tourism sector in order to survive. These publications evaluate how food-related tourism is being pushed to assist in helping sustain rural communities and livelihoods. From festivals promoting local produce [33] to farm stays and wine tourism [34], the connections to food and drink tourism are made obvious. However, much of the research is profit seeking and market focused, looking to encourage economic partnership and increase consumer demand. There needs to be more research that considers the concerns and issues that exist beyond purely economic regeneration. Bessière [35] was one of the few writers to recognise the powerful alliance between rural tourism, gastronomy WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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and identity, where “rural tourism can be a part of the re-appropriation of our gastronomic history” [35, p. 116]. Bessière suggests that rural areas and food tourism have a fundamental role to play in stemming the tide of perceived globalisation and social homogenisation, “ultimately, it is the erosion and standardisation of traditional culinary practices that allows us to understand the resurgence of rural gastronomy...rural areas are thus seeing themselves becoming spaces of reconciliation, welcome and affirmation of culinary heritages” [35, p. 118]. Richards [36] also insists that the tensions between globalisation and localisation are producing greater variation in our post modern societies. However, Urry is keen to outline the complex nature of interconnections and the dimensions of “global cultural flows” [37, p. 152] and advocates the closer analysis of individual localities and regions. This paper recognises that food tourism may be presented as the panacea to homogenisation and standardisation, but as new rural policy frameworks seek to engage agricultural producers, the pressure to embrace these new food tourism initiatives is perhaps also regarded as a threat to their own individual lifestyles. This research suggests there is a paradox. It seems food tourism has developed in reaction to standardisation of food, yet the pressure to come together and support wider initiatives is apparently triggering very similar concerns relating to conformity and obligations to grow and develop beyond their physical food product into something that meets a ‘food tourism’ policy agenda. 2.2 Food tourism and agricultural policy development Over the past few years there has been significant progress in the level of convergence between policy development and academic research. Following high profile farming and food crises, there has been an explosion of interest in these industries as evidenced within national, regional and local policy documentation and implementation. Hjalager and Corigliana [38, p. 281] state “the development and standards of food for tourists are not determined uniformly by tourism policies, but more significantly by national economic, agricultural and food policies,” which summarises the current situation within the British Isles. As outlined, the most significant move by the government following the Foot and Mouth crisis was the creation of the Policy Commission on the Future of Farming and Food (PCFFF) in August 2001 which was charged with the task of discovering “how we can create a sustainable, competitive and diverse farming and food sector which contributes to a thriving and sustainable rural economy” [2, p. 5]. Although not specifically directed at developing food tourism, the published report clearly recognised it as a significant means of achieving its overall objective of sustainable farming through reconnection with its consumers and the environment. Whilst not being overly radical in its suggestions, it directly influenced subsequent national government strategies (Department for the Environment, Food and Rural Affairs (DEFRA)), and regional delivery plans [4]. Although such documents stress the economic needs and market future of the industry, there is an increasing concern that social,

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750 The Sustainable World cultural and environmental sustainability within the country and its regions must be achieved. The PCFFF report states that “it is our strong view that the farming and food industry is on a path that cannot be sustained in the long term” [2, p. 13]. One of its key recommended strategies to improve this situation is diversification and the report specifically highlights tourism as the most common form of farm diversification. As previously discussed in the academic literature review, rural and farm tourism is increasingly regarded as a significant means of boosting a struggling agricultural industry and sustaining a rich and diverse rural heritage and landscape. This sentiment is re-emphasised within the government’s official response to the Commission’s findings [39]. Although clearly concerned with other areas of the farming industry such as Common Agricultural Policy reform, European Union involvement and the overall health of the nation, the DEFRA publication acknowledges the need to diversify outside the traditional boundaries of farming and use the wider resources of individual farms [39]. Perhaps most significantly, January 2010 saw the launch of the Government’s much-publicised and ground-breaking new food strategy ‘Food 2030’ [51] which sets out a vision of what they want the food system to look like in 2030, and how it might be achieved. Claiming to be the first of its kind in over 50 years, it lays out ambitious targets and objectives where consumers’ demand is “met by profitable, competitive, highly skilled and resilient farming, fishing and food businesses, supported by first class research and development”, where “Achieving a sustainable and secure food system for 2030 depends on everyone in the food system working together” [40, p. 5]. It is apparent from the policy literature that local and regional food collaboration is regarded as one of the key ways to secure the future of the British farming industry. The concept of reconnecting farmers with their regional market and the wider players within the food chain features centrally within the main body of the PCFFF report [2] and the Food 2030 strategy. The strategies recommend improving market access within regions by establishing cooperatives and encouraging the wider use of collaboration between each producer,  [2, p. 37]. Eastham’s [41] policy-based essay claims that five years ago the idea of promoting recoupling within the supply chain was absent from most policy documents and it is only recently that public bodies are driving home the ideas which have been present within earlier academic research. For example, The South West South West Strategy of Sustainable Farming and Food Steering Group [42] dedicates large sections of its report to discussing the implementation of knowledge exchange systems, unified business support services and collaborative development initiatives, all of which fall in line with this relatively new emphasis on “reconnection”. In essence, policy documentation is now being designed “to create economically and socially sustainable rural communities” [41, p. 240] while strengthening the industries which give rural regions their identity. This concept of reconnecting the consumer to the farmer and the landscape has influenced other recent government strategies and policies. The white paper Our Countryside: The Future - A Fair Deal for Rural England [4] concerns itself WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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with the aim of sustaining and enhancing “the distinctive environment economy and social fabric of the English countryside” [4, p. 6]. Although it addresses a variety of rural issues which do not fall under the current focus of food tourism, it expresses a deep passion to conserve the landscape, protect traditions and sustain vital industries and ways of life. It expresses an awareness of the importance of promoting speciality and regional foods to visitors as well as the need for farms to diversify their business by running tourist-focused enterprises such as farm shops and farm stays. The concept of assurance schemes such as the Red Tractor scheme [2, p. 39] and speciality food groups such as ‘A Taste of the West’ [4, p. 94] are indicative of this belief that producers must offer value added products in order to encourage consumers to buy local food over cheaper global produce. It is perhaps the Countryside Agency’s Eat the View programme [43] which went the furthest in promoting the importance of increasing consumer awareness of the links between the products they buy and the local countryside. The project acknowledges that there has been a loss of countryside character and distinctiveness and seeks to rectify this loss of identity through reconnection with local produce. It claims that interest in local food is growing and consumer interest is raised which helps protect regional distinctiveness. Further research should determine whether this is an achievable vision and assess how successful these government suggestions are in achieving economic growth, and ensuring food based traditions are sustained.

3 The project In 2009, a group of food industry professionals, regional food and tourism organisations, agricultural producers, and tour operators collaborated to form a web-based marketing tool for food tourism across the UK. Preliminary studies were conducted to assess the diverse needs of all sectors involved as a means to develop a sustainable and diversified food tourism website. The website was to serve two main functions. The first objective was to develop a one-stop marketing tool for tourists interested in sourcing local food while on holiday, learning about and experiencing traditional food production techniques, and exploring local traditions through local recipes and regional cuisine. The second objective was to provide a portal for information exchange and the dissemination of best practices to tourism agencies new to working with food producer and vice versa, to food agencies exploring emerging tourism markets. 3.1 Methodology This research involved a two-step process of data collection. First, a series of tourist surveys were conducted at three of the UK’s leading food festivals during the summer and autumn of 2009: the Abergavenny Food Festival (Wales), the Stratford Festival (England), and the East Midlands Food Festival (England). The purpose was to examine how food-related tourism can deliver social, cultural and environmental sustainable development in rural regions and communities, and then develop tangible and practical solutions to achieve this. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

752 The Sustainable World Next, stakeholder interviews were conducted via telephone to a variety of organisations exploring or participating in food tourism initiatives. Participants included tourism consultants, food festival organisers, local government organisations, food-based non-profit groups, agricultural producers and tour operators. In total 16 interviews were conducted during the spring of 2010. The four key objectives of the interviews were: to engage and secure the support of regional bodies responsible for the delivery of food tourism; to recruit significant numbers of active food tourism providers and identify long-term partners to assist in the delivery and sustainability of this project; to identify barriers to food tourism provision, development and consumer engagement; and to solicit advice of the long-term management and sustainability of the food tourism website. However, for the purposes of this paper, the data derived from the stakeholder interviews are used to address the third objective in relation to barriers (perceived and real) to development which are identified and discussed.

4 Finding and discussion In order to understand the potential of food tourism as a rural revitalisation tool and agricultural diversity strategy, it is vital to understand the convergences and tensions facing food and tourism organisations in the attempt to bring together two diverse industries. The participants in this study face a number of common insights in negotiating the complex relationship between tourism and agriculture. Both sectors consider local food production a valuable expression of cultural and regional identity that preserves local heritage and reflects a unique lifestyle and value set. It was widely agreed that food tourism can cumulatively expand economic opportunities for food producers and food service providers, encouraging economic growth through job creation and increases in earnings. However challenges faced by the participants include a lack of understanding and available knowledge on food tourism, in particular: information regarding the role food plays in destination branding; access to food tourists and an understanding of their motivations; and innovative partnerships that incorporate food into the tourism offering. Building a regional destination brand based on local food production requires best practice knowledge that encourages a wider use and better promotion of locally sourced food. Often restaurants have no knowledge of the source of their food, and if produced locally, fail to capitalise on the marketing potential of localisation. Participants feel that producer and food service complacency limits the establishment of networks and the sharing of information which could potentially enhance the tourism distribution system and establish a viable local supply chain. Farmers have established a traditional means of distribution and often are unaware of what happens to their produce once it leaves the farm. Food service providers rely on industry distribution systems that provide low cost and well-rounded inventories, facilitating a onestop shopping experience. Networking between these two links in the value chain has proven complex because channels of communication are nonexistent. The perception is that producers want to acquire the highest price for their commodities, whereas food service providers want to negotiate the lowest cost of WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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their food staples. Outside of the hospitality industry, there is limited evidence of alternate food tourism collaborations. The regionalisation of agricultural, and more specifically tourism, has limited the transference of information regarding successful food-based attractions, farm-based travel experiences, and other innovative food tourism partnership ideas. Both sectors posses limited understand of the other, and often work dichotomously, rather than congruently, when promoting programmes and agendas. The nature of farming has lead to resistance against the newly formed food tourism policy agenda. On the one hand, local agricultural producers face numerous options and pressures, to diversify their offerings. Proposals involving equine services, animal food production, farm structure letting and the exportation of surplus produce were investigated by the study participants. Many producers feel that food tourism is the latest trend promoted by rural development agencies, which may lose steam, thus reduced funding, when the political tide changes. On the other hand, producers face many tangible constraints that pose challenges to food tourism. Producers tend to be widely dispersed geographically, decreasing access to tourism markets. Many local producers view their trade as a lifestyle business, maintaining reluctance to commercial pressures and preferring to engage in small-scale operations. Growth of the agricultural business forces farmers to adopt new administration skills, such as personnel management. Resources needed to navigate food tourism markets vary according to firm size, isolating small-scale producers with fewer resources over large scale operations. Small producers lack economies of scale and unique selling points and cannot compete in the fragmented tourism sector. Government agencies have been tasked with remedying many of these constraints in food tourism development. In most regions around England, it appears that tourism divisions within local government have undergone the food tourism development, whereas in Wales and Scotland these programmes are derived from the food and drink sector. While there are exceptions to the rule, the bottom-up food and drink sector appears to generate stronger ties between the industries because they more often solicit local group buy-in, whereas tourism bodies, competing for the rural traveller, often struggle against neighbouring areas and face fragmented regional government entities. During the interviews, it was more common to find governmental tourism employees engaged in part time employment than their agricultural counterpart. Moreover, the food and drink sectors, which have a stronger industry influence, are strategically placed between the producers, who are the agents of supply, and tourist, who are the customer. The food and drink framework suggests that initiatives can be championed by local producers working within groups and, on the whole, indicates a pattern of better collaboration through knowledge exchange systems and unified business support services more prevalent in an industry-run sector, rather than through public organisations.

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5 Conclusion This article has indicated that food tourism is still in its infancy as a rural development tool in the U.K. While regional development agencies have begun to explore the rural revitalisation potential of partnering locally sourced produce with emerging tourism markets, there are still a number of obstacles in the implementation of recent policy agendas. This study has shown that two topdown approaches are currently being applied simultaneously, either through tourism-based initiatives or through agricultural focused schemes. Both paths have sustained challenges and opposition caused by a lack of information and knowledge exchange between the two multifarious sectors. While numerous studies have examined the sociology and economic contribution of food in regional development, the implementation strategies of food tourism partnerships require further assessment into the key aspects of diversity between the two sectors.

References [1] Everett, S. and Aitchison, C., The role of food tourism in sustaining regional identity: a case study of Cornwall, South West England. Journal of Sustainable Tourism, 16(2), pp. 150-167, 2008. [2] Policy Commission on the Future of Farming and Food (PCFFF), Farming and Food: A Sustainable Future. Online. http://archive.cabinetoffice. gov.uk/farming/pdf/PC%20Report2.pdf. Accessed 28 October 2006. [3] Pretty, J.N., Agri-Culture: Reconnecting People, Land and Nature. Earthscan: London, UK, 2002. [4] Department for Environment, Food and Rural Affairs (DEFRA), Our Countryside: The Future – A Fair Deal for Rural England. Government White Paper, 2002. [5] Sharples, E., Food tourism in the Peak District National Park, England. In C.M. Hall, E. Sharples, R. Mitchell, N. Macionis and B. Cambourne (eds). Food Tourism Around the World: Development, Management and Markets (pp. 206–227). Oxford: Butterworth Heinemann, 2003. [6] Rusher, K., The Bluff Oyster festival and regional economic development: Festivals as culture commodified. In C. M. Hall, E. Sharples, R. Mitchell, N. Macionis and B. Cambourne (eds). Food Tourism Around the World: Development, Management and Markets (pp. 193–205). Oxford: Butterworth Heinemann, 2003. [7] Simms, R., Food, place and authenticity: local food and the sustainable tourism experience. Journal of Sustainable Tourism, 17(3), pp. 321-336, 2009. [8] The Welsh Assembly. Food Tourism Action Plan: Food and Drink for Wales. http://www.walesthetruetaste.co.uk/userResources/Food%20 Tourism%20PDF.pdf. 2010. [9] Boyne, S., Hall, D., and Williams, F., Policy, Support and Promotion for Food-Related Tourism Initiatives: A Marketing Approach to Regional WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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756 The Sustainable World [28] Hjalager, A. and Richards, G. (eds) (2002) Tourism and Gastronomy. London: Routledge. [29] Boyne, S., Williams, F. and Hall, D., On the trail of regional success: tourism, food production and the Isle of Arran Taste Trail. In: A. Hjalager and G. Richards (eds). Tourism and gastronomy. London: Routledge, pp. 91-114, 2002. [30] Jones, A. and Jenkins, I., A Taste of Wales – Blas Ar Gymru: institutional malaise in promoting Welsh food tourism products. In: A. Hjalager and G. Richards (eds). Tourism and gastronomy. London: Routledge, pp. 115-131, 2002. [31] Butler, R., Hall, C., Jenkins, J. (eds). Tourism and Recreation in Rural Areas, Chicester: Wiley, 1998. [32] Hall, D. and Roberts, L. (ed.), Rural Tourism and Recreation: Principles to Practice. Wallingford: CABI Publishing, 2001. [33] Janiskee, R. and Drews, P., Rural Festivals and Community Re-imaging. In Butler, R., Hall, C. and Jenkins, J. (eds). Tourism and Recreation in Rural Areas, Chicester: Wiley, (1998), pp. 157- 175, 2001. [34] Hall, C. M. and Macionis, N., Wine Tourism in Australia and New Zealand in Butler, R., Hall, C. M. and Jenkins, J. (eds). Tourism and Recreation in Rural Areas, Chichester, Wiley, (1998), pp. 197-224, 1998. [35] Bessière, J., The Role of Rural Gastronomy in Tourism. In D. Hall and L. Roberts (ed.) Rural Tourism and Recreation: Principles to Practice (pp. 115–118). Wallingford: CABI Publishing, 2001. [36] Richards, G., Gastronomy: an essential ingredient in tourism production and consumption? In A. Hjalager and G. Richards (eds). Tourism and Gastronomy (pp. 3-20). London: Routledge, 2002. [37] Urry, J., Consuming places. London: Routledge, 1999. [38] Hjalager, A. and Corigliana, A., Food for tourists – determinants of an image. International Journal Tourism Research, 2(4), pp. 281-293, 2000. [39] Department for Environment, Food and Rural Affairs (DEFRA), The strategy for sustainable farming and food – facing the future. London: DEFRA, 2002. [40] South West Strategy of Sustainable Farming and Food Steering Group (South West SSFFSG), Making a Difference: The South West Delivery Plan for Sustainable Farming and Food, Online. htttp://www.gos.gov.uk/gosw/docs/246139/165816/2004_making_differenc e_delivery. [41] Department for Environment, Food and Rural Affairs. Food 2030, Onine. http://www.defra.gov.uk/foodfarm/food/pdf/food2030strategy.pdf. [42] Eastham, J., Valorizing through tourism in rural areas: moving towards regional partnerships. In C.M. Hall, E. Sharples, R. Mitchell, N. Macionis and B. Cambourne (eds). Food Tourism Around the World. Development, management and markets (pp. 228–248). Oxford: Butterworth Heinemann, 2003.

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[43] Department for Environment, Food and Rural Affairs (DEFRA), Our Countryside: The Future – A Fair Deal for Rural England. Government White Paper. Online. http://www.defra.gov.uk/rural/ruralwp/whitepaper. [44] The Countryside Agency, Eat the View: promoting sustainable local products. London: Countryside Agency, 2001.

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Retrofitting potential of an existing tourist lodge for improved environmental performance: an investigation S. Bardhan1, B. Ghosh2, S. Hazra3 & M. Chatterjee1 1

Department of Architecture, Jadavpur University, India School of Energy Studies, Jadavpur University, India 3 School of Oceanographic Studies, Jadavpur University, India 2

Abstract Tourism industry involves a wide range of constructional activities in terms of development of infrastructure and lodging facilities in tourist destinations. Hotels, resorts, lodges etc. are known to be resource intensive, especially during their operation-cum-maintenance period. This is critical, when seen in the context of sensitive ecological belts, as is common for nature based tourism. Such a tourist lodge not only replaces a certain amount of local flora and fauna in its own site and immediate surroundings, but also continues to load the ecosystem by using substantial energy and other resources for its day to day functioning. Since these structures are 24-hour operational, the cumulative effect of this may eventually exceed the carrying capacity of the eco-system supporting it. This paper attempts to present a study that examines the possibilities of ecointervention by retrofitting one such existing tourist lodge with active and passive resource-efficient measures with an intention to find the theoretical improvement in its environmental performance. The building in question is a medium capacity tourist lodge located in the ecologically fragile coastal belt of the Indian Sundarbans overlooking Bay of Bengal in the state of West Bengal, India. The process involves mapping of the current consumption/generation pattern of the structure in terms of energy and water and compares these footprints with the post-retrofit situation of the same building. Since energy consumed by these structures depends on the conventional systems of electrical grid and the stand-by Diesel Generator, Carbon emission becomes a critical criterion in the measurement. The study also covers the indirect benefits of these retrofits on local plant species. The final results of this analytical study were WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100681

760 The Sustainable World found to be largely positive pointing towards an over-all reduced carbon emission and environmental impact of the tourist building. Keywords: natural resources, eco-compatibility, building sustainability, environmental retrofit, carbon emission.

1 Introduction In developing countries, tourism can be considered as a means of redistributing economic resources, mitigating the socio-economic situation at local, national and international scales and contributing to biodiversity conservation. It is important that such tourism is fully compatible with sustainable development goals and appropriately addresses the environmental indicators of ecosystems and biodiversity, waste disposal, water consumption, intensity of land use and physical impact, protection of the atmosphere, noise level and visual impact [1]. The Indian Sundarbans forests to the south of West Bengal in Eastern India is a complex and unique tiger inhabited mangrove eco-system and salt water swamp constituting the lower part of Gangetic delta. It is located between 21°31’ to 22°53’N latitude and 88°37 to 89°09’E longitude and is about 140 km southeast of the Calcutta metropolis. The Sundarbans forest has been declared a World Heritage site under Natural criteria ix and x by UNESCO in 1987 in recognition of its rich bio-diversity and incomparable natural value. A major part of this region also supports human habitation that depends on the forests and the local resources for sustenance. Agriculture, pisciculture, aquaculture and animal husbandry are some of the main occupations of these people. Over the last decade, the population of this region has increased from 3.2 million as per the 1991 census to around 4.0-4.5 million at present. Majority of the people are living below poverty line (BPL), which is defined as an income group with a family income of not more than US$ 130 per year or less than one US $ per day. On another hand, the pristine beauty of the natural setting of sea, beach, forest and wildlife attracts hordes of tourists every year. Thus eco-tourism is perceived to be a very viable and environmentally sustainable employment option for the region. However, responding to the popular demand, tourism activities have already grown in an unplanned and ad-hoc manner. The tourism sector is also in serious discord with the fragile coastal ecology of the Sundarbans. Currently, these activities are proliferating at different eco-sensitive regions in an unregulated way, largely characterized by considerable consumption of natural resources and subsequent generation of waste. This leads to natural resource depletion, pollution and emissions and collectively threatens the survival of the very eco-system which sustains them. The result is disastrous in terms of environmental, social and economic health of the region and therefore, is a challenge to these three fundamental dimensions of sustainability. In this backdrop, an assessment study of an existing tourist facility at Bakkhali, a coastal location popular for its beach tourism, was carried out to check its environmental performance. The tourist facility in question is a three storied lodge of about 387 Sq m (4164.12 sq ft) plinth area and a capacity of 60 beds. Energy and water were considered as the major environmental indices for WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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this assessment and the average annual energy consumption, referred as energy foot-print as well as the average annual water consumption, referred as water foot-print were measured on the basis of field survey results. The operational energy foot-print of the tourist lodge was found to be about 212 kWh/Sqm/year while the water foot-print was found to be 14.6 Cum/Sqm/year. The energy expended in pumping this water in the overhead tank with a 1.5 H.P. pump was found to be an additional 13.5 kWh/Sqm/year. Hence, the total energy foot-print of the said lodge worked out to be about 225 kWh/Sqm/year. This value was again converted into an equivalent quantity of carbon emission and referred as carbon foot-print, calculated on the basis of carbon emission per unit of oil based electricity produced [2]. It was found that its average carbon foot-print was 74.01 ton C per year, which is very high and detrimental to the region when considered in extended spatial and temporal terms. It was, therefore, felt necessary to understand the degree of eco-intervention required to retrofit and convert this existing tourist lodge into a sustainable and eco-tourism one. The present paper discusses the result of the investigation carried out to assess the retrofit potential of this lodge with respect to energy and water resources. These retrofitting measures aimed at correcting the building in favour of eco-compatibility. In course of this investigation, it was found that the current energy sources available to the local community, in general and the tourist lodge, in particular were highly inadequate. Regular disruption in grid-power services is quite common, which prompts the locals and lodge owners to switch over to diesel generators- a sure source of air and noise pollution. The energy required for cooking/ heating water is achieved by burning either fossil fuels or woody biomass. Local transportation is also dependent on fossil fuel use. Burning of biomass and fossil fuels not only trigger emission of Green House Gases (GHG-s) and particulates but also threatens supply securities. All these collectively add stress to the bio-diversity of the sensitive mangrove forest and are also alarming in the context of global warming and climate change. Thus, finding a more efficient alternative to fossil fuels and bio-mass became imperative as ecotourism has to adhere to the Clean Development Methods as part of ecodevelopment. 1.1 Architectural integration of the sustainability measures In order to qualify as sustainable tourism, the energy demand of the lodge as mentioned in the previous paragraph needed to be met from clean and renewable sources instead of fossil fuels and forest bio-mass. In Indian solar radiation condition, the availability of solar power in that region is about 800 W/m2 for five hours duration i.e. 4000 Wh/m2/day [3]. With this abundant solar energy, retrofitting potential of renewable energy systems like the solar Photovoltaic (PV) and solar thermal were considered to be very high and worthy of investigation, especially because it would be easy to integrate these with the existing building fabric, particularly on the building roof. The electricity production using photovoltaic route would reduce the diesel consumption and production of hot water through solar thermal route would lessen the load on the bio-mass consumption, optimize energy-efficiency and reduce the energy footWIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

762 The Sustainable World print considerably. Similarly, water sustainability was considered to be achievable through water recycling measures and other available technologies. Apart from these building retrofits, landscape measures were considered to be of very high potential in terms of carbon sequestration, environmental amelioration and ecological restoration. This has been discussed in details in this paper. 1.2 Retrofit potentials of the existing tourist facilities As discussed, the possible ways of adapting and integrating sustainable measures with the existing tourist structure were identified as follows: 1. Reducing energy foot-print by a. Introduction of Renewable energy sources through solar PV panels b. Use of solar thermal for heating water 2. Reducing water foot-print by a. Rain Water Harvesting (RWH) to supplement the total water demand b. Grey Water Recycling (GWR) for non-potable use 3. Carbon offsetting by appropriate landscaping and tree plantation to neutralize the CO2 emissions, to the maximum extent possible. The following sections take up the above issues one at a time and suggest retrofitting options based on quantitative assessment of the technologies concerned. These techniques have been matched with the actual conditions and demands of the said tourist facility to address the case-specific needs and adjudge the corresponding environmental benefits achieved through the suggested retrofits.

2 Energy 2.1 Retrofit potential for solar photovoltaics The solar photovoltaic or PV applications are closely related to the concept of sustainable architecture and eco-tourism as it generates power from the renewable source of sunshine without any noise pollution or emission. The initial investments costs can also be reduced if the PV power system is integrated within the building by replacing the existing building components. The photovoltaic generators can be installed over the tourist lodge roof in south–east façade at an inclination of 22.5o in order to produce the maximum electricity. These PV generators may be designed for a nominal voltage of 24 V. In the selected building, the open roof area is 387 Sqm or 4164.12 sq ft. The solar PV modules available in the market have generation capacity of around 10.62 W/sq ft/hr. The approximate electricity generation capacity covering the entire roof will then be about 220 kWh (4164.12 sq ft x 10.62 W/sq ft / hour x 5 hrs) per day. As mentioned earlier, the annual energy demand being 225 kWh/Sqm, it is around 238 kWh per day and which is slightly higher than the solar energy harnessing potential of roof-top solar PV modules. Since the WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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architectural integration of the solar PV modules can be made at a height with enough headroom from the existing roof top, the covered space so formed can also be utilized for tourism related activities and help in additional revenue generation. Further, shading from the solar PV will substantially reduce the heat gain of the building from its roof and keep the interiors cooler. Thus direct and immediate benefits through this multi-advantageous solar PV installation can act as an incentive and be compensatory to the initial investment and procurement cost. The long term environmental benefit associated with this adaptation is also multi-dimensional. Elimination of air and noise pollution will lead to better health of the local community as well as the bio-diversity. A measurable benefit was of course reduction in CO2 emission, which was to the tune of (220 x 0.85) = 187 KgC/day or 68.25 Tons of CO2 per year and a savings of 25756 Lt. of diesel fuel per year. However, the energy involvement in the production process of the most common type of module, which uses multi-crystalline silicon, releases 37 gm/ kWh of Green House Gases of CO2 equivalent to the atmosphere [2]. Therefore, the captive CO2 Emission component within the solar modules for generation of 220 kWh will be (220 x 0.037) = 8.14 KgC/day. Hence, the net environmental benefits after accounting for this captive emission worked out to be 178.86 KgC/day or 65.28 x 103 KgC/year. This has been shown below in Table 1. Table 1:

CO2 Offsetting from Solar ‘PV’ Integration.

A Power generation potential

B = A x 0.85 Reduction Potential of CO2 Emission

C = A x 0.037 Captive Emission component of the installed solar PVs

D= (B-C) x 365 Net annual negation in CO2 emission per year

kWh/day 220

KgC/day 187

KgC/day 8.14

KgC/year 65.28 x 103

Thus, the net annual negation potential in CO2 emission was about 88% of the measured carbon foot-print or the annual CO2 generated by the lodge, which is 74. 01 x 103 KgC/year, as was mentioned in the introduction. The balance 8.73 x 103 KgC/year of CO2 needs to be further reduced through other retrofit measures. 2.2 Retrofit potential for solar thermal The retrofit possibilities of Building Integrated Solar Thermal (BIST) in the existing tourist facilities were investigated for optimum ways of successful integration. The Solar Thermal (ST) products commercially available in the market with the flat plate collector system offer integration solutions either with the façade or on the roof itself. Since the building has longer axis in N-S direction with front balconies facing north, balcony integration option for this face can virtually be ruled out. Hence the possible building components that can accommodate the solar thermal collectors are either the roof and balcony parapet with high solar exposure or the south-facing building façade, which is WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

764 The Sustainable World advantageously the rear façade. Bulk of the hot water required is to meet the bathing water demand of tourists in any tourist facility. Studies on water use pattern shows that about 30% of the per capita water consumption accounts for bathing, which comes to about 0.3 x 180 Lt per capita per day (lpcd) = 54 lpcd. Considering a total of 64 people including guests and staff, this comes to (64 x 54) = 3456 Lts/ day. In order to find out the energy required to heat this volume of water, the following assumptions were made: i. Since hot water requirement is mostly during the winters i.e. October to February only, the average number of days requiring heating of water has been considered to be 150. ii. Temperature of water in winters is 20ºC iii. Temperature of heated water at comfort level is 26ºC Since one Calorie of heat energy is required to raise one gm (or 1 cc) of water by 1ºC, to raise the temperature of 3456 Lt of water by (26 – 20) = 6ºC, {(3456 x 103) cc x 6} = 20736 x 103 calories or (20736 x 103 x 1.16 x 10-6 ) = 24 kWh of energy would be required per day towards this purpose. Studies by Dias and Pooliyadda [4] have specified the TOE (tonnes of oil equivalent) of biomass, mainly firewood to be 0.38, where, one TOE= 41.84 GJ, meaning 1 Mt of firewood will consume (0.38 x 41.84 GJ) = 15.9 GJ of energy (i.e. ≡ 4420 kWh for 1000 Kg of biomass or 4.42 kWh/Kg). For 24 kWh of energy required, biomass consumption is about 5.4 Kg/ day. Studies specified Greenhouse gas emission to be 45 grams per kilowatt-hour of CO2 Equivalent for bio-mass based fossil fuel form of energy supply [2]. Since the energy needed for heating water is at present being met by using bio-mass, the corresponding CO2 emission for 150 days can be calculated as (24 x 0.045 x150) = 162 KgC/year for this Lodge. Again, the total bathing water requirements were assessed vis-à-vis capacity of the solar thermals to check the technical feasibility of architectural integration in the said Lodge. The following Tables give a quantitative assessment of the Solar Thermal adaptation and the associated benefits arising from it. These benefits manifest in two forms- one, avoiding bio-mass based energy consumption along-with its subsequent CO2 emission, (as shown in the above calculations) and two, preventing bio-mass burning and thus, saving the biomass itself. This implies saving of trees, which in turn will help in fixing the atmospheric CO2. These have been tabulated below under ‘Direct’ and ‘Indirect’ environmental benefits under Tables 2 and 3 respectively. A 2.0 m x 2.0 m collector would yield 100 Lts of hot water at 65ºC every 3.5 hrs, i.e. effectively one day. This volume of water is equivalent to 600 Lt of usable water. Above calculations show that 6 nos. of solar panels are sufficient to yield the required water. This means 6 x 2 m = 12 RM (running meter) length of roof parapet can be utilized for this purpose. For façade integration, 6 x 4 Sqm = 24 Sqm area can also be considered as an alternative to the parapet option. However, from maintenance and servicing points of view, the former appears more convenient and viable than the latter. The said number of collectors with the above dimensions would be easily accommodated on the roof parapet. Assessment of indirect environmental benefits involved complex calculations at multiple stages. Stage one involved finding out the annual quantity of bio-mass WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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DIRECT environmental benefits from solar thermal integration.

A

B

C= A/B

D

Hot water demand for the tourists @ 54 lpcd Lt/day 3456 Lt at 26ºC

Hot water output by a single ST collector

Qtty. of collectors required

Lt/day (100 Lt at 65ºC) ≡600 Lt at 26ºC

Nos. ≈6

Equivalent Energy saved through ST from bio-mass based fuel kWh/day 24

E = (D x 0.045) x 150 Direct negation in CO2 Emission from burning of bio mass KgC/yr 162

required for generating the energy needed for heating water. Stage two involved translating that bio-mass quantity into the actual number of trees being felled annually to supply the said amount. Stage three involved quantification of the CO2 fixed by such trees, if retained, and contribute in negating global warming effect. 2.2.1 Finding out the annual quantity of bio-mass used Considering the TOE (tones of oil equivalent) of biomass, mainly firewood to be 0.38, where one TOE = 41.84 GJ, meaning 1 Mt of firewood would consume (0.38 x 41.84 GJ) = 15.9 GJ of energy, the amount of bio-mass required to meet the previously-stated energy demand for hot-water production was found out. In other words, 15.9 GJ or 4420 kWh energy would be produced by 1000 Kg of biomass or 4.42 kWh of energy will be produced by 1 Kg of bio-mass. This was also found to be at par with the research findings of Karmakar [5], which indicated that one Kg of Avicennia species – the common firewood of the region - generates about 4000 Kilocalories of heat, which is equivalent to 4.64 kWh of energy. This formed the basis for estimating the amount of bio-mass required for heating water at the studied lodge and the bio-mass consumption was found to be about (24/4.42) or 5.4 Kg/day. Hence the annual consumption of biomass (i.e. for 150 days of the winters) for this Lodge was calculated to be (5.4 x 150) = 810 Kg/yr. 2.2.2 Finding out the equivalent number of trees Converting these values into actual number of trees was again an assumption based process- the rationale being effective bio-mass can be obtained from a matured tree of about 300 mm trunk girth and 3.5 m height. The volume of such tree (of height less than 3.9 m) can then be calculated as (π r2 h) where r = Radius of the tree girth and h= Height of the tree or (3.14 x 0.152 x 3.5) = 0.247 Cum or (0.247 x 106) cm3. Considering density of matured mangrove wood to be 0.6 g/cm3 (Karmakar [5]), the weight of each tree producing this wood would be {(0.247 x 106) x 0.6}g or 148.36 Kg. Therefore, the number of trees (Avicennia spp.) felled to supply the bio-mass of 810 Kg/yr to the tourist lodge worked out to be (810/148.36) = 5.46 or ≈ 5 nos per year.

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766 The Sustainable World 2.2.3 Finding out the CO2 sequestered by those trees It has been reported by Karmakar [5] that the Carbon assimilation efficiency of Avicennia dominated mangrove eco-system is 54.75 tonnes of Carbon /hectare/year against the average value of mixed mangrove forest as 27 tonnes C/ hectare /year. Since the Avicennia species are the most preferred firewood, the former value has been considered here, i.e. 5.47 KgC/ m2/year. Considering an average Avicennia tree canopy to be 3.0 m, each such tree will occupy 3 x 3 = 9 m2 area of forested land. Therefore, each such tree will be able to fix 5.47 x 9 = 49.23 KgC/year. Hence the 5 nos. of trees will sequester a total of (5 x 49.23) = 246.15 KgC/year. This is tabulated below in Table 3. Table 3: A Equivalent Energy saved through ST kWh/day 24

INDIRECT environmental benefits from solar thermal. B Bio-mass required for heating the same volume Kg/yr 810

C = B/148.36 Saving of precious trees @ 148.36 Kg/ tree Nos./yr 5

D= C x 24.3 CO2 Sequestered by the saved biomass KgC/yr 246.15

The direct and indirect environmental benefits are summarized below in Table 4 and the cumulative benefit in terms of total CO2 offsetting achieved by retrofitting solar thermal technology for providing hot bathing water to the tourists has been enumerated. Table 4:

Total CO2 offsetting from solar thermal integration.

A

B

C =A + B

Direct negation in CO2 Emission by solar thermal [As per column E of Table 2] KgC/yr

CO2 Sequestered by the saved bio-mass producing trees [As per column D of Table 3 ] KgC/yr

Total CO2 Offsetting

162

246.15

408.15

KgC/yr

3 Water 3.1 Retrofit potential for rain water harvesting systems In the context of the present study, Rain water Harvesting (RWH) was considered to be one of the most significant water retrofit tools for the following purposes:  Efficient management and conservation of fresh water, which in many occurrences is an alarmingly depleting non-renewable resource  Reduce the water-foot-prints of the said lodge WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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

Disallow over-exploitation of ground-water in the coastal region, to prevent salt water intrusion into the ground water. As mentioned earlier, the daily water requirement of the lodge is 12000 Lt per day, which means 4380 Cum of total water demand per year. The annual Rain Water Harvesting (RWH) endowment of the lodge was assessed considering average annual rainfall as 1900 mm (Source: India Meteorological Department) and run-off coefficient for the roof as 0.8. The annual RWH Potential has been considered to be 60% of this Endowment, accounting for losses due to first flushing requirements and others. The RWH Potential would have two components – one, ‘storage’ for the purpose of direct use and two, ‘recharge’ for replenishment of ground water sources. As recommended by the State Pollution Control Board, the storage option would address 40% of the total potential while the rest would be used for recharge [6]. The calculations point to about 141.17 Cum of storage and a reservoir of 144 Cum internal volume with dimensions 6.0 m x 6.0 m x 4.0 m would cater to the storage requirement. The recharge option could be realised in many ways depending on local hydro-geological conditions and actual site layout. The most noteworthy finding is, however, that the total annual RWH endowment is only 13.4% of the total annual water demand and the annual RWH potential is a meager 8% of the same, as indicated in Table 5. Table 5:

RWH Potential for the existing Lodge.

A=(Area x1.9 x 0.8)

B= 0.6 x A

C= 0.4 x B

Total annual RWH Endowment

Annual RWH Potential (60% of A) Cum 352.94 [8% of annual water demand]

Storage potential (40% of B)

Cum 588.24 [13.4% of annual water demand]

Cum 141.17 [3.2% of annual water demand]

D= 0.6 x B Or (B-C) Recharge potential (60% of B) Cum 211.77

This shows that in case of tourist facilities, RWH can play only a small supplementary role towards meeting its total annual water demand. This is because water is not only used lavishly by the guests, but is also wasted in copious amount. In this societal context, it is essential to ensure ‘use efficiency’ through water-efficient fittings and fixtures. Most of the toilets surveyed in this facility (and other lodges, too) had the conventional 13.5 Lt flushing closets. If these were replaced by the dual flush toilet of 9 Lt (3 Lt + 6 Lt) capacity, it would be possible to record substantial savings in water, i.e. a minimum saving of (13.5 – 6.0) = 7.5 Lt/flush and average saving of (13.5-3) =10.5 Lt/flush. Considering one flush of 6.0 Lt and four nos. flushing of 3 Lt, the volume of water saved is (7.5 + 4 x 10.5) = 49.5 Lt per capita per day. For the studied Lodge, the annual savings worked out to be (49.5 x 64 x 365) = 1156320 Lt/year or 1156.32 Cum/year.

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768 The Sustainable World 3.2 Retrofit potential for grey water recycling systems Urban Development Plans Formulation and Implementation (UDPFI) Guidelines in India has estimated waste water to be 80% of the water consumed [7]. It also recommends 180 lpcd (litres per capita per day) of water for tourist accommodations. Therefore, the per capita waste water generated in this lodge per day is 180 x 0.8 = 144 Lt. This consists of both grey water and black water. For retrofitting purpose, the grey water is being only considered for recycling with intervention at source of generation by separating the two waste-water systems. Studies have also shown that grey water is usually 60% of the waste water while black water is the rest. This means (0.6 x 144) = 86.4 Lt per capita per day was the grey water generated from the lodge. This waste water can then undergo aerobic biological treatments like passing through a soil-box planter bed of specified dimension and constituents and using the treated water for irrigation, washing of paved areas etc. after necessary quality check. However, with limited availability of land area adjoining the tourist lodges, the retrofit potential with available techniques like grey water gardens/pressure leaching chambers etc. seemed to be only 10–15% maximum, as shown in column D of Table 6 below. Table 6:

Grey water recycling potential for the existing structures.

A Annual water consumption

B = 0.8 x A Annual waste water generated

C= 0.6 x B Annual Grey water generation

D= 0.1 x C Volume of treated water through retrofitting

Cum 4380

Cum 3504

Cum 2102.4

Cum 210.2

4 Landscape elements 4.1 Integration of appropriate landscaping measures Trees and all other natural vegetations are natural ways to keep the CO2 increase under check. They fix this CO2 during the day through photosynthesis while emitting O2 and maintain the crucial Carbon balance in the atmosphere. It is being assumed that a land area of 200 Sqm will be available in each of their premises for introducing landscape measures. These are proposed to be:  Plantation of indigenous evergreen trees along front boundary  Conservation of soil  Plantation of Avicennia spp. – one of the most common mangrove species at peripheral areas. Wackernagel and Rees [8] indicated that typical forest productivities of temperate, boreal and tropical forest show an accumulation of approximately 1.8 tonnes of carbon per hectare per year by an average forest. This works out to be 0.18 KgC/m2/year. Assuming an average tree canopy to be 5.0 m, each tree will occupy an area of 25 Sqm. This points to a CO2 sequestration amount of (0.18 x 25) = 4.5 KgC/year or 4500 gC/year by each average tree. Therefore, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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undertaking a program of planting just 10 such trees will sequester 45 KgC/year. Other than trees, soil under other natural vegetation or grass cover will also sequester Carbon to some extent. Related studies by Post and Kwon [9] have indicated 33.2 gC/ Sqm/year fixation by soil. Considering an approximate 200 Sqm of earth area within the premises of this tourist facility, (33.2 x 200) or 6.64 KgC/year will be absorbed by these open spaces. Considering the high Carbon fixing ability of Avicennia species (@ 5.475 KgC/Sqm/year), this thesis proposes its’ planting on an area of 50 Sqm. This would help in fixing (5.475 x 50) = 273.75 KgC/year. It is obvious that 200 Sqm of open area will remain covered by grass, ground covers and variety of flowering/ non-flowering shrubs. However, since no ready data was available on the rate of Carbon sequestration by other vegetations, this component has not been included in evaluating total CO2 sequestration possibility through landscaping measures. Table 7 gives an account of the extent of CO2 negation by adopting landscape measures. Table 7: Landscape components

Total carbon assimilation by landscape components. A Potential Qtty

B Unit

10 200 50

Nos. Sqm Sqm

Trees Soil Mangroves TOTAL

C Rate of C sequestration g C/yr 4500 33.2 5475

(A x C)/ 1000 Total Carbon sequestration KgC/yr 45 6.64 273.75 325.39

5 Conclusions The retrofit possibilities against the three major resources of energy, water and landscape elements were explored in this paper and quantitative assessment for the first two were conducted to check the technical feasibility. The post-retrofit reduced foot-print of the lodge establishes the potentiality of sustainable retrofit measures into a strong possibility. About 90% of the total annual CO2 emission was found to be compensated by the energy retrofits, though the water retrofit situation was not very bright in annual terms. The verification of the post-retrofit environmental pay-back period for the lodge showed slow rate of pay-back. However, with improved efficiency in energy consumption like adopting energy efficient lamps and gadgets, and avoiding use of woody bio-mass as fuel, the post-retrofit annual emission will further come down. Therefore, the actual amount of CO2 negation would also increase resulting in a faster Environmental Pay-back period. It can, therefore, be stated that the building will become sustainable in the long run if the retrofits discussed here are adopted and adapted.

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Acknowledgement The authors wish to thank All India Council for Technical Education (AICTE) for their support in carrying out this study.

References [1] Blangy S. & Mehta H., Ecotourism and Ecological Restoration, Journal for Nature Conservation, 14(3-4), pp. 233-236, 2006. [2] IEEE Spectrum, Issue: February 2008, 45(2), Pg 56, 2008. [3] Field Station Data, School of Energy Studies, Jadavpur University, 2004. [4] Dias W.P.S. & Pooliyadda S.P., Quality based energy contents and carbon coefficients for building materials: A systems approach, Energy, 29, pp. 561-580, 2004. [5] Karmakar S, Study of Mangrove Biomass, Net Primary Production & Species Distribution using Optical and Microwave Remote Sensing Data, M. Tech. Thesis, Andhra University, India, pp. 36 & 40, 2006. [6] West Bengal Pollution Control Board (WBPCB) website, www.wbpcb.gov.in [7] Urban Development Plans Formulation and Implementation [UDPFI] Guidelines, Ministry of Urban Affairs & Employment, Govt. of India, pp. 151-152, 1996. [8] Wackernagel M. and Rees W., Our Ecological Footprint, New Society Publishers, 1996. [9] Post W. M. and Kwon K.C., Soil Carbon Sequestration and Land-Use Change: Processes and Potential, Global Change Biology, 6, pp. 317-328, 2000.

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The short-break holiday: assessing its understanding in the Northern Territory, Australia R. D. Sharma School of Law and Business, Charles Darwin University, Australia

Abstract The paper is based on a national study of the ‘Short-break holiday market in Australia’. It was conducted on behalf of the Sustainable Tourism Cooperative Research Center (STCRC). The study relates to specific market segments and examined a range of issues including: consumer attitude and behavior of the short-break holiday market; destination choice sets of that market; market potential vis-à-vis other travel and leisure offerings; destination attributes. Primary data was obtained by conducting local focus groups with actual and potential short break tourists in the relevant areas, followed by interviews with local tourist associations and industry representatives regarding current market and product strategies and possible adjustments to the evolving economic conditions. A key finding (the focus of this paper) indicates significant conceptual divide between the demand and supply side responses in terms of their understanding of the dimensions and key issues of ‘short break holidays’. Consumers view this in a very broad manner compared to a more precise definition provided by the industry stakeholders. This disparity has obvious implications in terms of the relevance of strategies deployed by the industry stakeholders. Keywords: short break holidays, definition, Northern Territory, focus group.

1 Introduction ‘Short break’ has emerged as a significant holiday activity in various global market segments. In Australia ‘destination marketing organisations’ (DMO) aggressively promote key destinations for short break holidays. Many industry

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772 The Sustainable World stakeholders including accommodation and transport providers have used short break holidays in their promotional campaigns. Murphy et al. [1] argue that ‘short-break holidays’ are an expanding global phenomenon, attributed to more complex and stressful lifestyles within affluent societies. It is pertinent to note that most short-break holidays are undertaken in addition to the traditional annual family holiday. This therefore represents additional demand and opportunities for new tourism products. Short break holidays are motivated by consumers’ desire to get away for a few days, away from home in a nearby regional or national destination for relaxation and fun. Based on the history that spans more than 30 years, it is reasonable to intuitively assume that all stakeholders are fairly conversant with the specific attributes of ‘short break’ as a distinct tourism product. It seems logical also to assume that all stakeholders, particularly the demand and supply side stakeholders have a clear and consistent understanding of this product. It is assumed that consumers (representing the demand side) and industry (comprised of accommodation, transport and other service providers such as wholesalers etc.) have similar understanding of what ‘short break’ really means. Conceptual agreement between consumers and product providers is essential for 2 reasons: (1) development of appropriate products that meet consumer needs and wants and (2) to enhance promotional effectiveness for the end users and distribution channel members. A review of literature reveals that ‘short break’ is defined and interpreted by different groups with significant variations. There appears a lack of conceptual understanding between the key stakeholders. The following definitions of ‘short break’ for example highlight the issue. Table 1: Author STCRC Australia [2] Tsiotsou and Vasioti [3] Huybers [4] Pike [5] Fache [6] Lohmann [7]

Short break definitions.

Definition – Brief description Short break is a ‘non-business’ trip between 1 and 4 nights away from the place of residence (home). Short term vacation refer to 1 – 6 nights stay Short-break refer to a trip of 2 – 3 nights’ duration A short break is a non-business trip of one to three nights duration, away from the home environment. A short break is defined as a non-business trip of 1 to 3 nights away. A short-break holiday is characterised by the duration of the trip (up to 4 days, but at least one overnight stay)

It is apparent from the foregoing that ‘short break’ lack a universal definition. There is limited agreement among authors as to what it really stands for. While there is agreement that it is a non-business trip, the duration of stay varies between various authors. Other attributes such as location, travel time, etc. do WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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not feature in most definitions. The academic definitions cited above confirm that a common and coherent definition of ‘short break’ is currently unavailable. It is difficult to speculate the specific causes of the different definitions. Davies [8] however contends that the difficulty to determine what a short-break is, largely due to the travel industry itself is not prepared to agree on a definition. One is inclined to agree with Tsiotsou and Vasioti [3] that many aspects of ‘short-term visitors remain unexplored – a view also shared by Pike and Ryan [9]. While it is widely accepted that ‘short break holidays’ can play a significant role in promoting a destination, limited understanding and investigation of ‘short break’ among key stakeholders is unhelpful in either theory building effort or industry guidance for improved practice.

2 Research objectives Given the emergence of ‘short break’ as a significant travel activity in most western economies, there is clearly a need for more systematic research. Sustainable Tourism Cooperative Research Centre (STCRC) Australia initiated a major project on short break holidays in Australia. The major focus of the project was the development of ‘a competitive destination strategy’, with the goal of providing current and potential ‘short-break’ Australian destinations with some guidelines as to how to differentiate themselves and become more attractive to this market [1]. A key objective of the project was to gain the understanding of short break holiday from both supply and demand side stakeholders. The objective was to assess how well is ‘short break’ understood within the key stakeholders. This paper explores the level of stakeholder understanding.

3 Methodology The national research team decided initially to use an exploratory qualitative methodology to assess the demand and supply side understanding of ‘short break’ in all key market segments of Australia. This paper is based on focus group and in-depth responses of demand and supply side participants of the Northern Territory of Australia. A focus group session was conducted with actual and potential short break customers in Darwin. The purpose of the focus group was to talk with people from the Northern Territory (predominantly Darwin) who had recently undertaken a short break holiday in Australia and others who may be considering such an option. The participants were identified and selected through a local newspaper advertisement in the Northern Territory. A total of 11 men and women took part in the focus group discussion. The participants brought a rich variety of backgrounds to the discussion and represented a broad range of demographic characteristics – 5 male and 6 female; well spread out age groups and family life cycle stages. A majority of respondents (8 out of 11) had recently undertaken short break holidays and were also planning to go in near future.

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774 The Sustainable World Assessment of supply side understanding was based on 8 in-depth interviews that were conducted with industry representatives in Darwin and Alice Springs. Industry participants were represented by four sectors namely, accommodation, travel, industry associations and government.

4 Findings The responses provided here have removed all references to individuals and organisations in order to protect the identity of the respondents. The focus group findings of demand side respondents are based on the pre specified general and regional issues.  In terms of defining and or describing a short-break holiday, consumer responses varied quite significantly. This was irrespective of prior short break experience of the respondents. It was described within a very wide range of days – a weekend (2 days) to 3 weeks.  Most consumer respondents were unconcerned with the number of destinations included in a short break holiday. It really did not matter if more than one destination was visited during the trip.  Most respondents also accepted short break holidays as an adjunct or addon to a business trip.  Similarly consumers did not differentiate between domestic and international short break holidays.  The two major tourism hubs of Northern Territory (NT) (Darwin/Top End and Alice Springs/Central Australia) were perceived as distinct short break destinations. Darwin was described as uniquely tropical while Alice Springs as predominantly a desert destination.  In addition to the differences in topography, the two tourist regions were viewed with very different histories and heritage and therefore the two were seen as non competing destinations.  The other attributes identified included holidays with fun and entertainment; holiday away from home; break from normal schedule; escape from everyday life; break away from every day chores. The supply side respondents indicated a much higher level of agreement within the industry group in terms of defining and describing short-break holidays.  Almost the entire group viewed it fairly similarly in terms of the duration. All responses were within 3–5 days range.  The level of understanding and consistency between the accommodation sector respondents was particularly high. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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 Many respondents highlighted that short break holidays mostly involved short haul flights. The preparation and lead-time taken to organize these holidays was also considered short or less elaborate.  Travel sector respondents considered short break as a trip of no more than four days duration, usually over a long weekend; 3–5 days including the weekend.  Short break holidays are meant exclusively for personal and family relaxation with no work related component. This is significantly different from the consumer understanding of adjunct or add-ons to business trips.  With regards to the Northern Territory (NT), there was general agreement that the two key NT tourist destinations are quite different. Both have unique tourism attributes that in some way complement each other. Both are distinct and diverse landscapes – tropical savannah and desert and are independent of each other.  Darwin is unique for fishing and nightlife and Alice Springs comes across as the capital of indigenous art and culture. Darwin has Kakadu and Alice Springs the big Rock – Uluru.  The two NT destinations did not fit under the same marketing appeal and promotional campaign. Although the two destinations were not perceived to be in competition with each other, it was infeasible to combine the two for the purpose of marketing and promotion.  According to Tourism Top End research the traditional perception barriers of time, distance and cost still applied in differentiating the two NT destinations.

5 Discussion Short break has become a popular and widespread holiday option in Australia [1]. Many tourism products are now designed and packaged for the ‘short break’ segment. The principles of new product development and product modification suggest that industry stakeholders’ understanding of short break’ should drive product development in terms of specific attributes. In the present case it is unclear if the attributes of short break are aligned to consumer understanding as well. It is evident from the qualitative responses that the demand and supply groups are not aligned sufficiently in terms of what short break holidays constitute. Consumer and industry responses indicate a significant conceptual divide in terms of their basic understanding and specific dimensions of ‘short break holidays’. NT consumers view short break holidays in a very broad manner compared to a more precise definition provided by the industry WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

776 The Sustainable World stakeholders. The understanding variance within the consumer group is much higher than the industry stakeholders. Overall, neither the consumers nor the industry has a clear and consistent idea of ‘short break holidays’ in the Northern Territory. It is relevant to highlight that this conceptual ambiguity is not limited to NT alone. Research by Murphy et al. [1] indicated that this applies more broadly to Australia as a whole. Consumers consider ‘short break’ largely as a uni-dimensional product. ‘Number of days’ is the key attribute in their description of short break. Although as stated earlier, consumer responses vary significantly from 3 to 21 days. Industry respondents consider ‘short break’ as multi-dimensional construct. There is more uniformity in their description compared to the consumer group. The industry description however is also at variance with the definition provided by the academics. The ‘understanding incompatibility’ is obvious at 3 levels: (1) among academics (as indicated by the definitions, (2) among practitioners and (3) among consumers. This divide and mutual incompatibility has obvious implications in terms of the relevance of strategies deployed by the industry stakeholders. It is an accepted practice that the composition of product attributes (both tangible and intangible) is largely dictated by ‘target market’ characteristics and expectation. Consumer emphasis on single dimension, ie, number of nights only, may suggest that this is a homogenous market segment. Consideration of additional features reported by the supply side stakeholders however indicates that short break is a more complex and heterogeneous market. It is argued that destination performance is a function of a destination’s capacity to deliver relevant benefits to the target market travellers. Destinations should offer appropriate attributes to their target markets. Mere possession of attractive attributes however does not guarantee the success of a destination [5]. In a congested product space, product differentiation is an important strategy to position competing tourist destination. However it is difficult to develop differentiated products if destination features are perceived as irrelevant by the target market or customers perceive inherent similarity in the competing product range.

6 Conclusion Short break has emerged as a significant holiday activity in various global market segments for example in New Zealand [10], UK [11, 17], Europe [6, [12], USA [13], Australia [15] and Canada [16]. However the notion of ‘short break holidays’ is neither clear nor consistent in the cognitive domains of either consumers or industry stakeholders. Short break appears to lack an internationally recognised definition [5]. The widespread academic attention and its reporting in main stream media has allowed ‘short term holiday’ as an expression of a distinct tourism product to enter the popular lexicon. However ‘short term’ bas been interpreted quite widely in similar consumption contexts. Consumer definition is largely uni-dimensional that relies on ‘number of nights’ in a broad and imprecise manner. Industry on the other hand considers short WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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break along a range of attributes. Number of nights; domestic or international; stand alone or coupled; and single or multiple destinations. The apparent lack of understanding is unhelpful in the development of competitive strategies that require collaborative effort for consumer analysis and product planning. There have been suggestions made earlier that ‘short break holidays’ as a construct lacks an internationally recognised definition [5]. The description provided by different stakeholders confirms that industry lacks a common and coherent definition of ‘short break’. Boerjan [14], however, has queried whether we need to differentiate between a short or long holidays. Whether the current situation is satisfactory in promoting short break holidays remains unresolved. It is therefore argued that the definition of short break should be reviewed. A tighter definition that captures the essential attributes in term of number of nights, number of definition etc. will facilitate future marketing of this unique tourism product in a more effective manner. Supply of destination products globally has increased significantly. As a consequence, destination marketing organisations (DMO) are fiercely competing for consumer attention and their business. Given the multiplicity of the definitions and descriptions, it is essential that greater interaction and engagement between the academics and practitioners is facilitated to urgently address the inconsistencies. Short-break holiday-makers are a complex and varied group, not a single homogeneous market. In order to provide more appropriate product features, engagement between the key stakeholders is important for more balanced assessment.

Acknowledgement We acknowledge the support and financial assistance provided by the ‘Sustainable Tourism Cooperative Research Centre’ (STCRC) of Australia in conducting this research.

References [1] Murphy, Peter; Niininen, Outi and Sanders, Dale. Short-break holidays: A competitive destination strategy, CRC for Sustainable Tourism Pty Ltd, 2010. [2] STCRC Australia, http://www.crctourism.com.au/ viewed on 27 May 2010 [3] Tsiotsou, Rodoula and Vasioti, Eleytheria. Satisfaction: a segmentation criterion for ‘short term’ visitors of mountainous destinations. Journal of Travel and Tourism Marketing, 20 (1), pp 61 – 73, 2006. Huybers, Twan. Domestic tourism destination choices—a choice modelling analysis. International Journal of Tourism Research 5 (6), pp 445 – 459, 2003. [4] Pike, Steve. ToMA as a measure of competitive advantage for short-break holiday destinations. Journal of Tourism Studies, 13 (1), pp 9 – 19, 2002. [5] Faché, Willy: Editor,. Short-break Holidays. Rotterdam, Netherlands: Centre Parcs, 1 – 109, 1990. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

778 The Sustainable World [6] Lohmann, Martin Evolution of short-break holidays. The Tourist Review, 2, pp 14 – 23, 1991. [7] Davies, B., The economics of short breaks. International Journal of Hospitality Management, 9 (2), pp 103 – 106, 1990. [8] Pike, Steve and Ryan, Chris. Destination positioning analysis through a comparison of cognitive, affective and conative perceptions. Journal of Travel Research, 42 (4), pp333 – 342, 2004. [9] Pike, Steve. The use of importance-performance analysis (IPA) to identify determinant short break destination attributes in New Zealand. Pacific Tourism Review, 6 (1), pp 23 – 33, 2002. [10] Ryan, C., Modelling hotel strategies in the weekend break. Unpublished report. Nottingham, UK: Clarendon College, 1983. [11] Faché, Willy. Short break holidays. In Witt, Steve and Moutinho, L. (eds) Tourism Marketing and Management Handbook (2nd Edition) Hertfordshire: Prentice Hall International, pp459 – 467, 1994. [12] Plog, S., Thirty years that changed travel: Changes to expect over the next ten. Paper presented at the 31st Travel and tourism research association conference, Burbank, CA, 2000. [13] Boerjan, Paul, Do we need a distinction between short and long holidays? The Tourist Review, 2 (1), pp 11 – 17, 1995. [14] Dwyer, Larry, Liviac, Z. and Mellor, R., Competitiveness of Australia as a tourist destination. Journal of Hospitality and Tourism Management, 10 (1), pp 60 – 78, 2003. [15] Hudson, Simon and Ritchie, Brent. Understanding the domestic market using cluster analysis: a case study of the marketing efforts of Travel Alberta. Journal of Vacation Marketing, 8 (3), 263 – 276, 2002. [16] Middleton, Victor and O’Brien, K. Short break holidays in the UK. Travel and Tourism Analyst, May, pp 45 – 54, 1987.

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Cycling in the city, reduction of greenhouse gas emissions and economic impact on tourism: case study of Puebla, Mexico Y. D. Bussière1, I. Espinosa Torres2, J.-L. Collomb3 & E. Ravalet4 1

Faculty of Economics, Benemerita Universidad de Puebla, Mexico Institute of Social Sciences and Humanities, Benemerita Universidad de Puebla, Mexico 3 SETEC, Paris, France 4 CERTU, Lyon, France 2

Abstract Cycling in the city, a practice which had been lost progressively since the 1960s with the rapid expansion of the use of the automobile, has recently become common practice in many cities of the North where the bicycle had almost disappeared. Urban speedways and viaducts built in the 1960s are being reconsidered and even destroyed to give place to boulevards and a friendlier urban environment for pedestrians. Many examples are available: Lyon with the introduction of Velo’V in 2005, Paris with the introduction of Veli’b in 2007 and Montreal with the introduction of BIXI in 2009 are recent experiences which may be cited as best practices. Could similar policies be applicable to Latin American cities where the use of the bicycle has been progressively abandoned but seems to have now a regaining image? What could be its potential impact on diminishing greenhouse gas emissions? What could be its potential impact on tourism? After a rapid review of various experiences in Europe, Canada and Latin America, we will focus on the example of Puebla, a city of 1.5 million inhabitants in the Centre-East of Mexico, for which we collected data in an opinion survey (2007–8) on non motorized modes. This case study leads to conclusions on the feasibility of such policies in a South American context and its potential impact in terms of sustainability as well as in economic benefits via the tourist industry. An approximation of the emissions in urban transportation that can be saved by the practice of the bicycle for utilitarian an leisure purposes and multimodality Bike-Public Transport, facilitated by the rent-a-bike systems, WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line) doi:10.2495/SW100701

780 The Sustainable World gives us a tangible reduction of the emissions of around 3% of urban transport of persons and 0.5% of total emissions in conservative scenarios. Furthermore these environment friendly policies, in cities like Puebla, a UNESCO World Monument city with strong tourist activity, could induce enormous economic benefits (in the range of 500 million US$ a year) by prolonging the average stay of tourists of a few days. Keywords: cycling, rent-a-bike, GHG, tourism, economic impact, Puebla, Mexico.

1 Introduction Sustainable development in cities to reduce global warming is one of the challenges that human society will have to face in the next few decades. In Northern countries the level of population is more or less stabilized, the technology is progressively getting cleaner, but the behaviors are still aligned on increasing consumption in a context of urban sprawl which leads to more GHG emissions. In countries of the South the context is very diverse depending on the level of development. If we look at future prospects, the threat will come from emerging countries where the rate of growth of population is still high, the economic development rapid, and the behaviors aligned on the American model, with a high consumption of energy. The countries of Latin America will see a strong demographic growth, probably also a strong economic development and possibly behaviors aligned on the North American model. Moreover, the sources of GHG emissions are diverse and linked to the life style requiring energy, the growth of motorization, the deforestation, agriculture, etc. [21]. To slow down the actual tendency of increasing GHG emissions, we rapidly arrive to the conclusion that we will need a sum of many measures, even very small ones, mainly in developed or emerging countries. The paper is divided in 3 parts: a rapid review of best practices of cycling in the city; results of a survey in Puebla on the use of non-motorized modes and its impact on tourism; an evaluation of the impact of the use of the bicycle on the reduction of GHG.

2 Cycling in the city: various examples The practice of the bicycle in European cities is very diverse. It reaches high levels in Northern cities (around 20% to 30% of all trips) [13] and very low levels in cities of Southern Europe, like France, Spain or Italy with a few exceptions in cities where pro-bicycle policies have been implemented such as Strasbourg (8%). But things are changing and such policies like those taken in Lyon and Paris with the implementation of cycle paths and bicycle renting have an important impact of the practice of the bicycle. Policies favorable to the use of the bicycle in the city have proven to be efficient.

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2.1 The example of Lyon The practice of the bicycle had almost disappeared in Lyon with only 0.73% of total trips in 1995. It had reached 1.64% in 2006, a progression in one year most probably due to the introduction in May 2005 of the renting system in self service, Vélo’V, implemented in the central part of the urban area of Lyon to promote the use of the bicycle not only of leisure but also for utilitarian purposes. The Rent a Bike facilitates the use of the bicycle by making it easier, more flexible [20]. It permits to the users to take a bike in any station on the territory covered by the service and to bring it back in any other station of the territory. A membership card or a credit card gives access to this type of service. The cost is very accessible for the user. JCDecaux and Clear Channel are responsible of the vast majority of ongoing projects. The great advantage of the system Rent a Bike in comparison to the use of a personal bicycle is that it facilitates multimodality since it is not necessary to transport the bicycle in the car, the bus or the metro to use it for the total trip, which favors long trips combining bike-public transportation. Moreover, in many occidental cities, to use the bicycle in the city has become fashionable, and the Rent a Bike enjoys a good image a la mode. The social perception of the mode of transportation is important. Lyon had in 2008 around 400 stations distributed on the territory every 300 meters or so, on a good proportion of the areas of Lyon and Villeurbanne. The stock of bicycles is of around 4 000, some of which are under repair. The repair costs (wear, voluntary degradation and thefts) is around 1 000€ per year and per bike [19]. The membership cost (in 2009) is cheap (1 € per week or ou 5 € per year). For each renting, there is a free period of ½ hour to 1 hour (depending on the type of membership) followed by a paying period (from 0,5 to 1 € per additional hour) [14]. Based on Household OriginDestination surveys of Lyon in 1995-1996 and 2006 [8, 18] we can measure the rapid change in mobility behavior in favor of the mode Vélo’V and general use of the bicycle: it has progressed by 124% in the urban area of Lyon. 2.1.1 Who are the cyclists in Lyon? The population of cyclists, defined as the residents who have used a bicycle for at least one of their trips captured during the day of the survey, is composed of 75% men and of 25% women, in 1995 but also in 2006. The proportion of cyclists is higher for adults in the age group 30-35 years. In volume, we notice the importance of workers, whose proportion passes from 41% of the total population of cyclists in 1995 to 59% in 2006. However, in relative terms, it is in the category of students that the practice of the bicycle remains most important (4.7% of the students are cyclists vs. 3.5% of the workers). Between 1995 and 2006, the social composition of the cyclists progressed in favor of the population of higher incomes. This reinforces the idea that the image of the cyclist is important and that it should be positive to favor the use of the bicycle and an eventual modal change from the auto to the bike. Velo’V was accompanied by a revolution of the image of the bicycle in Lyon. This is an essential point if we wish a positive evolution of the practice of the bicycle in cities of the South in

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782 The Sustainable World general, and more specifically in cities of Latin America where the image of the “functional” use of the bicycle is associated with poverty. 2.2 The case of Paris and of other European cities The City of Paris has implemented its system of Rent a Bike, similar to the Lyon system, the Velib’, in July 2007. In 2008 the system had already 1 450 stations for 20 600 bicycles and the use of the bicycle has passed from 2% to 3% of total trips. The objective is to attain 4 to 5% in 2010 and 6 to 8% in 2020. As in the case of Lyon, the administration of the system is done by the firm JCDecaux which finances the operation with publicity on the urban furniture. Other formulas are also possible, as for example, in Barcelona where the administration is done by Clear Channel and the financing is assured by the surplus in parking revenue. These systems have spread out rapidly and we can find them now in various European cities: In France: Toulouse, Dijon, Marseilles,…; in Austria: Vienna; in Spain: Barcelona and Sevilla, to give only a few examples. 2.3 The case of Montreal The Rent a Bike in Montreal (BIXI) started in Abril 2009 on the Lyon model with a more sophisticated wireless technology which gives more flexibility to the system, as removing the stations for the winter season. In September 2009 there were 3 000 bicycles distributed in 300 stations in the center of Montreal. This system was so popular that it was rapidly exported to various cities, namely, Ottawa, London (U.K.), Boston, Washington, Melbourne. By mid-August 2009 it had 8 419 members, 77 070 occasional users and 3 612 799 km travelled [1]. 2.4 The case of Bogotá The City of Bogota has implemented in December 2000 an integral plan of transportation favoring the use of the public transport and non-motorized modes, the STIM (Sistema Integrado de Transporte Masivo) known as the Transmilenio. This plan included, among other things, the implementation 300 km of cycloroutes. To these measures other elements were introduced to favor the use of the bicycle such as the day without autos in the center, every year. These policies induced a strong progression of non-motorized modes, which passed from 9% to 13% of total trips between 1998 and 2002. The use of the bicycle has passed from 0.58% in 1996 to 4.4% in 2005, with 2% in cyclo-routes [17]. Public transport passed from 72% to 73% and Auto from 16% to 11% [3]. Policies favorable to non-motorized modes can therefore be efficient even in cities where we would a priori think the contrary. Other examples in Europe, like Barcelona where the use of the bicycle was very low, give similar results. 2.5 The case of Monterrey Monterrey is a northern city of Mexico of 3.7 million inhabitants, located at 230 km south of the US border. Due to this proximity to US, we find a higher level of motorization than in southern cities with the following modal split, according to WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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the Origin-Destination Survey of 2005 auto-driver: 23.8%; auto-passenger: 12.8%; public transportation: 43%, transport of personnel by firms: 2.1%; school transportation: 1.4%; taxi: 6.3%, bicycle: 0.8%, walking and others: 10%. Based on two surveys realized during the autumn of 2008 for the implementation of a Bus Rapid Transit [12] on users of public transportation: one survey on 300 users of public transportation, the other on 1 514 car drivers. From the first survey on users of Public Transportation, 75% of the respondents are favorable to a multimodality between public transport and the bicycle with a possibility of parking and 58% declare that they would use it. Women are more favorable than men for this type of multimodality (78% vs. 74%) but slightly less favorable to use it (65% vs. 44%). The second survey, gives the following results. Firstly, 95% of the car drivers say that they would use the new system of public transportation (a proposed line of BRT) if it was modern, rapid, with air conditioning and if it would reduce the time of travel, at the condition however that the waiting time does not increase, or the proportion decreases to 65%. 91% of the car drivers are favorable to the implementation of cyclo-routes and incitative parkings with little gender differences. To the question if they would use the system, the level of approbation is high but men are more favorable (85%) than women (76%). We find here a gender difference similar to Lyon but less pronounced. These results show clearly that the population, the users of public transportation or car drivers, are open to policies favoring the use of the bicycle and multimodality bicycle-other modes.

3 The case of Puebla Puebla is a mid-sized city of Mexico of 1.5 million inhabitants located 2 hours driving south-east of Mexico City. According to the last Origin-Destination survey (1994) [10], the modal split was the following: auto: 19%, public transportation: 48%, walking: 27%; bicycle: 2%; others: 4%. The demographic context is one of rapid growth (average annual growth between 1.5% and 2%) and individual motorization augments 3 to 4 times that of the population [6]. The modal split of public transport should be around 40% today. What is the situation of the non-motorized modes – bicycle and walking? A recent study based on surveys done face to face in various pubic places of the city with a sample of 1 162 persons gives us an idea of the perception of these modes and their potential [4,5,21]. The surveys were realized between November 2007 and January 2008 with the following distribution, each with a distinct questionnaire: residents of Puebla: 586; tourists: 301; enterprises: 113; informal merchants or ambulantes: 99; parking lots: 63. 3.1 Results on residents of Puebla Although the best source to obtain the modal split is the household OriginDestination Survey, without a recent survey, our person to person survey on a sample of persons encountered in public spaces gives us a good idea of the actual modal split, which would be the following: auto-driver 32.4%; auto-passenger 12.6%; public transportation: 40.3%; taxi: 0.3%; bicycle: 1.9%; walking: 9.7%; WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

784 The Sustainable World others: 0.7%. The residents of the Historic Center walk much more with 24% of total trips at the expense of auto-driver, the modal split of the other modes being comparable. The questionnaires administered seeked to measure the opinion on three aspects: the implementation of pedestrian zones in the Historical Centre, cycle-paths and a Rent a Bike system inspired on the European example. The answers of the different questionnaires give us an interesting insight on the potential of non-motorized modes if adequate policies were adopted. Firstly, 60% of the residents of Puebla express a dissatisfaction of the actual situation of transportation in the Historical Center. Also, 76% declare using the bicycle. This mode, even though is represents a small proportion of the total trips, stays very present and could have a potential. The residents of Puebla approve by 76% to transform the Zócalo (Central place) and the neighboring streets in a walking zone; by 74% to introduce cycle-paths in the Historical Center; by 59% to introduce cycle-routes outside the Historical Center; by 68% to introduce a system of renting bicycles with a price competitive with public transportation. At the question: Would you use the bicycle routes? 74% answered “yes”. What is the opinion of the businesses located in the Center, close to the proposed pedestrian zones? They are also favorable by 59% to make the Center pedestrian and 46% think that these measures will benefit their business. The informal business or “ambulantes” approve by 60% the introduction of measures favorable to non-motorized modes and 81% say that they would respect the public spaces reserved to pedestrians and bicycles. The parking lots of the Center are favorable by 48% for policies favorable to make the Center pedestrian and 59% are favorable for bicycle-routes. According to this survey it seems that the local population, the tourists and the businesses are very receptive to the introduction of policies favorable to non-motorized modes and that the direct economic impact of such policies would be largely positive due to the importance of the tourist activity in Puebla, without taking in account other positive impacts such as decongestion, a better air quality and, finally, a better quality of life. 3.2 Results of tourists in Puebla The tourist activity in Puebla is important. The tourists are very favorable for the implementation of policies pro non-motorized: 89% say that they would prolong their stay if the Zócalo (Central Place) and neighboring streets was transformed in a pedestrian zone and if were introduced bicycle paths and a system of Rent a Bike: 22% would prolong their stay one day, 29% two days; 28% three days; 13% four days or more. The average stay declared sums up to 1.46 days. A gross evaluation of the economic impact can be done by multiplying: the annual number of tourists x the average stay x the daily expenditures x a Keynesian multiplier (3 720 000 x 1.46 x 672 Mexican pesos x 1.50). We obtain an impact of more than 5.5 billion pesos annually (around $570 million dollars US at the moment of the study). A very high social benefit if compared to the cost of the infraestructure which would be roughly 150 000 pesos per km (12 500 $US). If we imagine an initial red of 200 km the initial cost of $2.5 million ($US) would be recovered the first year. As for the operating costs of a Rent a Bike system at WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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a price equivalent to the public transportation, we estimated that it would need public subsidies or complementary financing from publicity, parking, or other sources of roughly $4 million ($US) only for the first two or three years. A detailed Benefit-Cost Analysis would undoubtedly lead to very positive results.

4 Impact of bicycle use in Puebla on reduction of GHG We calculated the impact of the use of the bicycle in Puebla on the reduction of CO2 emissions [4]. The results of any model, even the most sophisticated, will depend on the initial calibration and in this area we often lack of exact data. Our objective here is to give an idea of the magnitude of the possible reduction of CO2 emissions due to non-motorized modes. After a brief presentation of the context of CO2 emissions in Mexico, we will present the main results of the reduction of CO2 emissions which could induce the use of the bicycle in Puebla in 2005. Furthermore a scenario of growth of the proportion of the use of the bicycle will be applied over a period of 15 years and we will present an estimation of potential reduction for the year 2020 in a context where policies favorable to the bicycle were adopted. Finally, from the results of the survey in Monterrey on intermodality Bike-Public transport, we will present a simulation of the possible impact of such a practice based on the data of the City of Puebla. Mexico had global emissions of 553 Mt CO2eq of GHG in 2002 [9, 11] and the country has since exceeded the level of 600 Mt CO2eq. This positions Mexico in tenth position of countries emitting CO2 gases in volume [2]. The sector of transportation represented approximatively 20% of the emissions with 114 Mt CO2eq in 2002. The main data used in our study is based on the automobile fleet of Puebla; this data is available at the Department of Transportation and Communications of the State of Puebla [16]. The methodology used is based on a Canadian study [7] realized for Vélo Québec. The method consists, at first to calculate the emissions of all modes of transportation in Puebla, then to quantify the practice of the bicycle and the impact that would have generated the trips made in bicycle if they had been made by bus, lighter public transportation (combis), and automobile with the hypothesis that for each mode, supply adjusts to the level of demand. The base year chosen is 2005, corresponding to the year for which we have a complete overview of the motorized fleet of Puebla. For each year until 2020 we applied growth rates of different categories of vehicles according to socio-demographic trends. Once the motorized fleet projected, we calculated the emissions of CO2 for each category of vehicles, a total of 11. This was done taking into account the level of emissions in 2005 for Mexico for each category according to new vehicles. To obtain a global level of emissions (new and old vehicles) we calculated for each year a level of emissions for new vehicles based on the precedent year with a correcting factor to take in account the technological progress. We supposed a rate of renewal of the automobile fleet of 8% per year and an improvement in WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

786 The Sustainable World technology (or annual diminution of emissions of new vehicles) of 2% between 2005 and 2010, and of 4% between 2010 and 2020. The progressive improvement of emissions of new vehicles seems to have a slow impact on the emissions of the total fleet: according to our model, the emissions of the total fleet were 238.1 grC02/km and that of the new vehicles was of 198.4 gr CO2/km in 2005, which leads us, respectively to 173.3 grCO2/km and 116.8 grCO2/km in 2020. In the calculation of the practice of the bicycle we did a distinction of “utilitarian” activities and “leisure” activities and distinguished between weekday activities and weekends and holidays [7]. This distinction permits to calculate a transfer to the cyclist activity from 3 modes (Auto, Public TransportBus, Public-Transport-light) with different coefficients (we used: transfers of the bike utilitarian practice: 30% from Auto and Public Transport; transfers of the bike leisure practice: 50% from the Auto and 25% from Public Transport). The initial modal split of the bicycle was 1.5% of total trip in 2005. It has been set in 2020 at 4% in a first scenario and at 8% in a second scenario. The results of scenario 1 are summarized in Table 1 with an estimation of the emissions of CO2 in Puebla due to the cyclist practice in 2005 and 2020 with the modal split of the bicycle augmenting between 2005 and 2010 from 1.5% to 4.0% of total trips. This practice permits the economy of 27 901 tons de CO2 en 2005 and 52 545 tons of CO2 in 2020, that is, 24 644 supplementary tons with the modal split of 4%. Compared to the emissions of CO2 emitted by urban traffic in Puebla these figures represent respectively 2.0% and 3.4% of the total, excluding the trucking activity, that is, around 0.4 % to 0.68% of total emissions of CO2. Despite of a proportion of cyclists which has more than doubled in percentage, the proportion of the total reduction of emissions due to the practice of the bicycle has progressed by only 70% between 2005 and 2020. This is due essentially to the increasing motorization taken in account in the model. Other scenarios permit to measure the amplitude of possible impacts of the practice of the bicycle on the reduction of CO2 gases. Thus if the modal split of the bicycle reaches 8% instead of 4% in 2020, a rate that many European cities have already attained or surpassed, the reduction of CO2 induced in proportion of the emissions of urban transport passes from 2.7% to 5.3%, an equivalent of 1.1% of total sources of total emissions, which is far from being negligeable. Also, given the results very favorable to multimodality Bike-Public Transport of the opinion survey of Monterrey, we thought useful to try to approximate the impact of policies promoting this practice on the augmentation of the use of Public Transportation, based on the data of Puebla, with two additional senarios (1a and 2a). With the same model we calibrated the impact of a change in modal split in favor of Public Transportation with the hypothesis that 15% of the trips made by cyclists would lead to a transfer towards Public Transportation from Auto with average trips of 15 km in Public Transportation. In a scenario where the modal split is 4% for the bicycle, we obtain a transfer of 0.6% of total auto demand towards Public Transportation (scenario 1a) and in the case of a scenario where the modal split of the bicycle is 8% we obtain a transfer of 1.2% (scenario 2a). WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

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Table 1:

787

Reduction of CO2 emissions of public transportation due to the practice of the bicycle in Puebla 2005 and 2020 (scenario 1 at 4% in 2020). Units

2005

2020

%

1.5

4.0

Cyclist activity

cyclists.km

158 571 747

514 858 060

Cyclist activity - utilitarian

cyclists.km

63 670 793

206 729 267

Cyclist activity - leisure

cyclists.km

94 900 954

308 128 793

Rate of emissions CO2 for the automobile – gasoline

gr CO2/km

238

173

Rate of emissions CO2 for bus – by passenger Rate of emissions CO2 for light public transport - by passenger

gr CO2/km

102

60

Modal split of the bicycle

gr CO2/km

75

55

Emissions of CO2 generated if the cyclists would have partially used the automobile*

Tons CO2

21 908

37 455

Emissions of CO2 generated if the cyclists would have partially used the bus*

Tons CO2

4 103

8 366

Emissions of CO2 generated if the cyclists would have partially used light Public Transportation*

Tons CO2

1 890

6 725

Total emissions due to a transfer of the cyclist activity on the three modes

Tons CO2

27 901

52 545

Tons CO2

1 773 620

1 979 941

Total emissions of transportation in Puebla Total emissions of transportation in Puebla without trucking

Tons CO2

1 385 078

1 557 877

Reduction of emissions without trucking due to the cyclist practice during the week

%

0.7%

1.0%

Reduction of emissions without trucking due to the cyclist practice during the weekends and holidays

%

1.3%

2.4%

Reduction of emissions of CO2 of urban transport without trucking

%

2.0%

3.4%

Reduction of emissions of CO2 of urban transport % 1.6% 2.7% *Note: The rates of transfer towards the automobile, the bus, and the light public transport used were respectively: 0.7; 0.2; 0.1 for the utilitarian cyclist activity and of 0.5; 0.25; 0.25 for the leisure activity.

The impact of scenario 1a, trucking excluded, gives an additional reduction of CO2 emissions of 1.14%. If we add the various cumulative effects, the total impact becomes important. Thus, for example, the cumulative impact of a modal split which would 1.5% to 4.0% and a modal transfer of 0.6% in favor of Public Transport from the autos would give a total impact of 4.9% of emissions of CO2 caused by urban transportation of persons (3.8% with trucking) and of 1.0% of total emissions. The scenario 2a, with a modal split of 8.0% in 2020 and a transfer of 1.2% towards Public Transport would give an impact of 9.0% of urban transportation of persons (8.2% with trucking) and of 1.8% of total emissions (Table 2).

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788 The Sustainable World Table 2:

Potential reduction of CO2 emissions in the city of Puebla – scenario 1a of 4% and scenario 2a of 8% in 2020 applied to urban transportation of persons (%). Year

Modal split bicycle (observed 2005 and 2 senarios in 2020) Direct reduction of CO2 from Urban Transportation of persons Indirect reduction of CO2 by augmenting the use of Public Transport (multimodality Bike-PT) Total reduction of CO2 of Urban Transportation of persons Total reduction of emissions of CO2 * Corresponds to 53 000 tons of CO2

2005 1.5 2.0

2020 4.0 3.4*

2020 8.0 6.7

x

1.45

2.9

2.0 0.4

4.9 1.0

9.0 1.8

Although these results may vary in function of the rate of occupation of autos and of Public transportation, they show that the potential benefits of the use of the bicycle in the city are important.

5 Conclusion Various best practices show undeniably that the bicycle is a viable option in midsized cities and also in metropolises as in Paris. The transportation policies of the sixties centered only on motorized modes are now outdated and the city planners are searching solutions to have more friendly cities for the non-motorized trips. In Mexico, based on the example of Puebla, which could be to a large extent, representative of a mid-sized city in Latin America, we can conclude that the population is largely open to the implementation of policies favorable to the use of the bicycle in the denser parts of the city, the historical centers, but also, as seen in the example of Monterrey in corridors of massive transportation where the bicycle could be used as a mode of multimodality with public transportation if appropriate measures were taken, such as safe parking stations for bicycles at the principal stations of Public Transportation. Even though various cities of Mexico are sensibilized to the practice of the bicycle in the city, we will need maturing the idea and that pro-bicycle measures be an integral part of urban transportation planning. In the paradigm which we presented an estimation of magnitude of the reduction of emissions of CO2 due to urban transportation, induced by the practice of the bicycle gives us a reduction of 3% of urban transportation of persons and of 0.7% of global emissions in medium scenarios of the practice of the bicycle for utilitarian an leisure purposes. If we add the indirect impacts due to a modal shift favorable to Public Transportation in a context of measures favorable to intermodality BicyclePublic Transport, the impact could reach close to 5% of urban emissions and 1% of global emissions in medium scenarios and, respectively 9.0% and 1.8% in more extreme proactive scenarios. In terms of impact on global warming, the effect is thus perceptible and policies favorable to the use of the bicycle in the

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city appear to be one of the many measures possible which will be necessary to attain the objective of a reduction of global emissions of GHG. Furthermore, these policies, according to various experiences have other positive effects such as a better quality of life in the city. In the case of Puebla the positive impact on Tourism could induce enormous economic benefits. In the Latin American context, such policies, at least in cities with a touristic vocation, should be financially and socialy viable.

Acknowledgements This study received the support of: - the Academic Group in Urban and Regional Economics of the Faculty of Economics of the BUAP (Puebla) – the Vicerectoria de investigación y estudios de posgrado of the BUAP – the Colegio of Tlaxcala – CONACYT (Mexico) – ECOS-NORD (CONACYT-ANUIES) program - the consulting firm in transportation LOGIT of Puebla.

References [1] BIXI: http://www.bixi.com/accueil [2] Blodgett, J., Parker, L. Greenhouse Gas Emissions: Perspectives on the Top 20 Emitters and Developed Versus Developing countries. Congressional Research Service, 2008. [3] Bogotá? Como vamos? (2002), from telephone surveys; STT (2003), from 7 600 face to face surveys). [4] Bussière, Y., Collomb, J-L, Ravalet, E. “Cycling in the City and Reduction of Greenhouse Gas Emissions: The Case of Mexico”, Marseilles, World Bank Fifth Urban Research Symposium 2009, 14p., 2009. [5] Bussière, Y., Espinosa Torres, I., Collomb, L.-L. “Transporte sustentable: Modos no-motorizados en Lyon y Paris y su aplicabilidad en la Ciudad de Puebla”, 6e Congreso Internacional de Urbanismo y Medio Ambiente, BUAP, Puebla, 21-23 Mayo, 2008, ppt., 2008. [6] Bussière Y. “Demanda de transporte en Puebla: Comparación con Montreal y perspectivas”. ch. 5 in Yves Bussière (éd.), Transporte Urbano en Latinoamérica y el Caribe: Estudios de casos (San José, Puebla, Puerto España, Puerto Príncipe), San Jose Costa Rica, Puebla, Montreal, FLACSO, BUAP, GIM, 109-132. 2005. [7] Bussière, Y., Bernard, A. L’impact du vélo sur les gaz à effet de serre au Québec. Rapport de recherche pour Vélo-Québec. Montréal. INRSUrbanisation. 19 p., 2000. http://www.velo.qc.ca/velo_quebec/memoires /VeloetGESWord98.pdf [8] C.E.R.T.U. L’enquête-ménages déplacements “méthode standard. Note méthodologique et annexes. Editions du CERTU, 295 p., 1998. [9] Eastern Research Group. MOBILE5-Mexico Documentation and User’s Guide. Prepared for the Western Governors’ Association and Binational Advisory Committee by Eastern Research Group, Inc., Sacramento, CA, and Radian International, Sacramento, CA., 2000. WIT Transactions on Ecology and the Environment, Vol 142, © 2010 WIT Press www.witpress.com, ISSN 1743-3541 (on-line)

790 The Sustainable World [10] Groupe interuniversitaire de Montréal (G.I.M.). Enquête ménagestransport. Puebla, Pue. (Mexique), 1993-94. Rapport final. (sous la dir. de Rice, R.G., Bussière, Y., Chapleau, R.). Realised for the Government of the State of Puebla, Mexico, Estudio Integral de Vialidad y Transporte. Montreal, INRS-urbanisation, 1994. [11] Instituto Nacional de Ecología de México- Secretaria de Medio Ambiente y Recursos Naturales (2002) National Greenhouse Gas Inventory 1990-2002, Report of México. [12] LOGIT (Puebla, Mexique). Surveys realized on Transit users and Car drivers. Monterrey, Mexico, 2008. [13] Papon, F. “Mûrissement social et pratique de la bicyclette”, chap. 12 in Bussière, Y., Madre, J.-L., Démographie et Transport: Villes du Nord et Villes du Sud, Paris, l’Harmattan, 263-288, 2002. [14] Ravalet, E., Bussière, Y., Collomb, J.-L. “Potentiel du vélo en ville: Une comparaison France-Mexique (Lyon et Puebla)”, communication, XLVe Colloque ADSRLF 2008, 25-27 août, Rimouski, Québec, Canada, 2008. [15] Richard, A. “La montée du vélo en libre-service: un nouveau mode de transport urbain à part entière”, Conference, Montreal, Institut d’Urbanisme, Univ. of Montreal, 11 déc. ppt., 2009. [16] Secretaria de los Transportes y de las Comunicaciones del Estado de Puebla Programa de Gestión de la Calidad del Aire en la Zona Metropolitana del Valle de Puebla 2006-2011, 2006. [17] Suero, D.F. “La bicicleta como medio de transporte en la ciudad de Bogotá”. Pdf. (around 2005). (htttp://colombus.uniandes.edu.co: 5050/dspace/bitstream1992/849/Paper_Investig_Diego_Suero.pdf). [18] SYTRAL, Enquêtes ménage OD 1995 et 2006 de Lyon. [19] Transflash. Vélo’v: un premier bilan?. CERTU. No 311, 2006. [20] Ville & Transports. Les vélos en libre service, No 433., 2007. [21] Stern, Nicolas. Stern Review on the Economics of Climate Change, U.K., 700p. , 2006. [22] Yanes Díaz, G. et al. Unidades Multifunctionales de Servicio Urbano del Centro Histórico de la Ciudad de Puebla, CONACYT, Puebla, 2008.

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Author Index Abbyad R. ................................ 501 Abiodun B................................ 737 Adeyinka S. A. .......................... 69 Afon A. O. ................................. 69 Aga E. ........................................ 59 Ajiboye O. J. ............................ 737 Akdemir Z................................ 117 Akhtar N. ................................. 379 Al Tonobey H. ......................... 409 Ali Naeem U. ........................... 379 Alvarez J. R. .............................. 89 Alves T. ................................... 145 Amado M. P. ............................ 445 Ambrosino D. .......................... 513 Angeles M................................ 725 Apaer P. ........................... 331, 343 Arantes L. ................................ 275 Arapis G. .................................. 581 Aremu P. S. O. ......................... 737 Arun C. .................................... 421 Asani M. A. .............................. 69 Baloyi O................................... 311 Bardhan S. ............................... 759 Baros Z. ................................... 217 Baverel O. ................................ 275 Belgiorno V. ............................ 355 Belz M. .................................... 629 Bert J. P.................................... 549 Bosworth G. ............................. 713 Brito P. S. D. ............................ 367 Burciu Ş. .................................. 489 Bussière Y. D. .......................... 779 Cabrita A. L. .............................. 89 Cai Z. C........................................ 3 Cepeda A. ................................ 299 Cerda J. .................................... 459 Cesaro A. ................................. 355 Chatterjee M. ........................... 759 Chen Q. ............................ 331, 343 Chen Y. T. ............................... 265

Choi C...................................... 227 Chu S. L. .................................. 431 Cointet A. ................................ 437 Collomb J.-L. ........................... 779 Crocco F. ................................. 525 Cuadrado B. ............................... 39 Danoh C. .................................. 469 Dávid L. ................................... 217 de Cos O. ................................. 101 De Marco S. ............................. 525 de Meer A. ............................... 169 Decker A. ................................. 323 Dragu V. .................................. 489 Drewes J. E. ............................... 15 Eftekhari M. ............................... 51 Ejaz N. ..................................... 379 El Shaer H. M. ......................... 409 Elías A. .................................... 401 El-Zanfaly H. T........................ 389 Espinosa Torres I. .................... 779 Everett S. ................................. 745 Faborode T. F. .......................... 69 Fahim I..................................... 389 Faniran G. B. ............................ 69 Farrell H................................... 713 Flores J..................................... 653 Gamez A. ................................. 725 García I. M................................. 39 Garcia J. W. ............................. 287 Garrison M............................... 257 Ghosh B. .................................. 759 Gouveia J. B. ........................... 157 Guerreiro da Silva V. ............... 445 Guo X. ..................................... 343 Gurtubay L............................... 401 Hall B. C. ................................. 665 Hamid H. A. ............................ 431

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Hasan A. Z. ............................... 69 Hazra S. ................................... 759 Hunt D. V. L. ........................... 193 Hussein A. ............................... 431 Ibañez R. .................................. 725 Ilogho T. U. .............................. 69 Iturriarte A. .............................. 401 Ivanova A. ............................... 725 Jamil J. ..................................... 243 Jedziniak M.............................. 581 Jimah M. S. ............................... 69 Jubert F. ................................... 549 Jurinčič I. ................................. 619 Karkalis K. ............................... 581 Kashiwagi N. ................... 331, 343 Kaufmann C. S......................... 629 Kaysi I...................................... 501 Kazama H. ............................... 569 Kazaras K. ............................... 557 Kirytopoulos K. ....................... 557 Kotval K. ................................. 233 Kurokawa H. ............................ 343 Landau L. ................................. 287 Laval C. ................................... 537 Lee T. Y. .................................. 181 Legrand W. .............................. 629 Lin Y. C. .................................. 181 Lombardi D. R. ........................ 193 Loster-Mańka A. ...................... 581 Lourenço J. M. ......................... 145 Lousada J. ................................ 299 Machemer P. ............................ 233 Maezono T. .............................. 331 Marañón M. ............................. 101 Marchal J. ................................ 469 Marmolejo C. ........................... 459 Marsousi N. ............................. 479 Martínez O ............................... 653 Masinga K................................ 311

Miranda F. P. ........................... 287 Miryousefi P. ........................... 689 Mmereki R. N. ......................... 605 Mochizuki H. ........................... 569 Mongelli D. W. E. ................... 525 Morales L................................. 653 Mostafa A. ............................... 389 Mostafa M. .............................. 389 Mullin J.................................... 233 N’Diaye A. .............................. 469 Naddeo V. ................................ 355 Nakamura H............................. 569 Nasongkhla S. .......................... 205 Newbery R. .............................. 713 Ng S. T. ..................................... 79 Nisar H..................................... 379 Nzeda Tagowa W. ................... 675 Pansiri J. .................................. 605 Park H. ..................................... 227 Park K. ..................................... 227 Park W. .................................... 227 Patrício S. ................................ 367 Paunero S. ................................ 401 Pehlken A. ............................... 323 Perez Y. A. ................................ 27 Pinto J. ..................................... 299 Popoola K. O. ............................ 69 Pourebrahim K......................... 479 Prado J. M. ................................. 39 Puad M. S. ............................... 243 Quenard D. .............................. 275 Radha K. V. ............................. 421 Rahaman K. R. ........................ 145 Rahman I. A............................... 51 Raicu Ş..................................... 489 Ravalet E. ................................ 779 Rentizelas A............................. 557 Reques P. ................................. 101 Ribalaygua C. .......................... 169 Rodrigues L. F. ........................ 367

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Rogers C. D. F. ........................ 193 Rojas-Pinilla H......................... 701 Rolbiecki M. ............................ 323 Rollet P. ................................... 275 Ruiz J. ...................................... 653 Sá N. L. .................................... 157 Sadeh S. M. .............................. 193 Salaverría M. ........................... 401 Santos D. M. F. ........................ 367 Sciomachen A. ......................... 513 Sener G. ................................... 117 Sequeira C. A. C. ..................... 367 Serag-Eldin M. A. .................... 131 Sharma R. D. ........................... 771 Silva P. ..................................... 299 Sintusingha S. .......................... 205 Sloan P. .................................... 629 Slocum S. L. ............................ 745 Sörensson A. ............................ 593 Ştefănică C. .............................. 489 Sugiyama K. ............................ 343 Szymańska E............................ 641

793

Takahashi S. ............................ 569 Tatsiopoulos I. ......................... 557 Tavares P. ................................ 299 Thoben K.-D. ........................... 323 Valderrama J. ........................... 653 van Aswegen M. ........................ 15 Varum H. ................................. 299 Velázquez G. ........................... 653 Verján R................................... 653 Vieira J..................................... 299 Wang Q. ........................... 331, 343 Wang X.................................... 343 Wang Y. Z. .............................. 265 Wang Y.................................... 331 Wennerstern R. ............................ 3 Wong J. M. W. .......................... 79 Wong K. K. W. .......................... 79 Yuksel S................................... 109 Zadeh S. M. ............................. 193 Zainun Y. N. .............................. 51

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Urban areas produce a series of environmental problems arising from the consumption of natural resources and the consequent generation of waste and pollution. These problems contribute to the development of social and economic imbalances. All these problems, that continue to grow in our society, require the development of new solutions. The Sustainable City 2010 follows five very successful meetings held in Rio (2000); Segovia (2002); Siena (2004); Tallinn (2006) and Skiathos (2008). The Conferences attracted a substantial number of contributions from participants from different backgrounds and countries. The variety of backgrounds and experiences is one of the main reasons behind the success of the series. The papers from the 2010 conference are published under the following topics: The Community and the City; Planning, Development and Management; Urban Strategies; Sustainable Transportation and Transport Integration; UrbanRural Relationships; Public Safety; Cultural Heritage Issues; Environmental Management; Architectural Issues; Landscape Planning and Design; SocioEconomic Issues, Poverty and Segregation; Intelligent Environments; Natural Resources; Waste Management; Case Studies. WIT Transactions on Ecology and the Environment, Vol 129 ISBN: 978-1-84564-432-1 eISBN: 978-1-84564-433-8 2010 752pp £286.00

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This International Conference on Urban Transport and the Environment has been successfully reconvened annually for the last fifteen years. Transportation in cities, with related environmental and social concerns, is a topic of the utmost importance for urban authorities and central governments around the world. Urban Transport systems require considerable studies to safeguard their operational use, maintenance and safety. They produce significant environmental impacts and can enhance or degrade the quality of life in urban centres. The emphasis is to seek transportation systems that minimize any ecological and environmental impact, are sustainable and help to improve the socio-economic fabric of the city. Another area of concern addressed by the conference is that of public safety and security, seeking ways to protect passengers while retaining the efficiency of the systems. The sixteenth conference topics are: Transport Modelling and Simulation; Transport Security and Safety; Transport Technology; Land Use and Transport Integration; Intelligent Transport Systems; Public Transport Systems; Road Pricing; Inter-Model Transport Systems; Transport Automation; Traffic Management; Urban Transport Strategies; Urban Transport Management; Environmental Impact, Including Air Pollution and Noise; Information Techniques and Communications; Mobility Behaviour; Policy Frameworks; Environmentally Friendly Vehicles; Transport Sustainability; Safety of Users in Road Evacuation. WIT Transactions on The Built Environment, Vol 111 ISBN: 978-1-84564-456-7 eISBN: 978-1-84564-457-4 2010 368pp £139.00