Urban Planning and Urban Design

139

Coordinating Lead Author

Jeffrey Raven (New York)

Lead Authors

Brian Stone (Atlanta), Gerald Mills (Dublin), Joel Towers (New York), Lutz Katzschner (Kassel), Mattia Federico Leone (Naples), Pascaline

Gaborit (Brussels), Matei Georgescu (Tempe), Maryam Hariri (New York)

Contributing Authors

James Lee (Shanghai/Boston), Jeffrey LeJava (White Plains), Ayyoob Shari (Tsukuba/Paveh), Cristina Visconti (Naples), Andrew Rudd

(Nairobi/New York)

This chapter should be cited as

Raven, J., Stone, B., Mills, G., Towers, J., Katzschner, L., Leone, M., Gaborit, P., Georgescu, M., and Hariri, M. (2018). Urban planning and

design. In Rosenzweig, C., W. Solecki, P. Romero-Lankao, S. Mehrotra, S. Dhakal, and S. Ali Ibrahim (eds.), Climate Change and Cities:

Second Assessment Report of the Urban Climate Change Research Network. Cambridge University Press. New York. 139–172

ARC3.2 Climate Change and Cities

140

Embedding Climate Change in Urban

Planning and Urban Design

Urban planning and urban design have a critical role to play

in the global response to climate change. Actions that simul-

taneously reduce greenhouse gas (GHG) emissions and build

resilience to climate risks should be prioritized at all urban

scales – metropolitan region, city, district/neighborhood, block,

and building. This needs to be done in ways that are responsive

to and appropriate for local conditions.

Major Findings

Urban planners and urban designers have a portfolio of cli-

mate change strategies that guide decisions on urban form and

function:

• Urban waste heat and GHG emissions from infrastructure –

including buildings, transportation, and industry – can be reduced

through improvements in the efciency of urban systems.

• Modifying the form and layout of buildings and urban dis-

tricts can provide cooling and ventilation that reduces energy

use and allow citizens to cope with higher temperatures and

more intense runoff.

• Selecting low heat capacity construction materials and reec-

tive coatings can improve building performance by managing

heat exchange at the surface.

• Increasing the vegetative cover in a city can simultaneously

lower outdoor temperatures, building cooling demand, run-

off, and pollution, while sequestering carbon.

Key Messages

Integrated climate change mitigation and adaptation strategies

should form a core element in urban planning and urban design,

taking into account local conditions. This is because decisions

on urban form have long-term (>50 years) consequences and

thus strongly affect a city’s capacity to reduce GHG emissions

and to respond to climate hazards over time. Investing in miti-

gation strategies that yield concurrent adaptation benets should

be prioritized in order to achieve the transformations necessary

to respond effectively to climate change.

Consideration needs to be given to how regional decisions

may affect neighborhoods or individual parcels and vice versa,

and tools are needed that assess conditions in the urban environ-

ment at city block and/or neighborhood scales.

There is a growing consensus around integrating urban plan-

ning and urban design, climate science, and policy to bring

about desirable microclimates within compact, pedestrian-

friendly built environments that address both mitigation and

adaptation.

Urban planning and urban design should incorporate long-

range mitigation and adaptation strategies for climate change

that reach across physical scales, jurisdictions, and electoral

timeframes. These activities need to deliver a high quality of life

for urban citizens as the key performance outcome, as well as

climate change benets.

Chapter 5 Urban Planning and Urban Design

141

5.1 Introduction

Key concepts, challenges, and pathways for adaptation

and mitigation of climate change through recent advances in

the planning and design of cities are reviewed in this chapter.

Section 5.2 presents the concept of integrated mitigation and

adaptation as a framework and introduces the factors of urban-

scale form and function as inuences on urban climate. Section

5.3 explains how urban microclimates are embedded in zones

of human occupation and links metropolitan-scale urbanization

with heat and storm-water impacts. Section 5.4 focuses on

planning and design innovations that can be applied to achieve

integrated mitigation and adaptation. Section 5.5 describes a

process for implementing climate-responsive urban planning

and urban design. Section 5.6 identies key climate-resilient

urban planning and urban design stakeholders and a set of

value propositions to engage a broader constituency. Section

5.7 describes the challenges in cross-sector linkages between

the scientic, design, and policy-making communities. Section

5.8 identies knowledge gaps and future research opportunities,

and Section 5.9 presents conclusions and recommendations for

practitioners and policy-makers. Case Studies are distributed

throughout the chapter to illustrate on-the-ground, effective

implementations of the planning and design strategies

presented.

5.2 Framework for Sustainable and

Resilient Cities

Urban planning and urban design encompasses multiple dis-

ciplines, providing critical input to inform systems, manage-

ment, and governance for sustainability and resilience to climate

change (see Box 5.1). They congure spatial outcomes that yield

consequences for and constitute responses to climate change

(see Figure 5.1). The spatial form of a city – from the scale of the

metropolitan region to the neighborhood block – strongly prede-

termines per capita greenhouse gas (GHG) emissions. With each

10% reduction in urban sprawl, per capita emissions are reduced

by 6% (Laidley, 2015). Although compact urban form generally

contributes positively to mitigation, it can paradoxically exacer-

bate local climate effects, requiring creative forms of adaptation.

Research in this area is expanding, and, as a result, planning and

design strategies are increasingly providing win-win solutions

for compact urban morphology.

However, not all existing urban areas are compact (see

Figure 5.2). Low-density areas continue to contribute dis-

proportionately to emissions because of the excess mobility

required by long distances, few alternatives to the private car,

and scant possibilities for shared building envelopes. Whether

such patterns are the result of planning or a lack thereof, it is

1. Efficiency of Urban Systems2. Form and Layout

3. Heat-Resistant

Construction Material

4. Vegetative Cover

Urban Water

Drainage

Urban

Farm

Green

Roof

Hot

Roof

Cool

Roof

Solar

Energy

Natural

Ventilation

Green

Path

Transit -

Oriented

Zone

Transit

Rail

500 M

Figure 5.1 Strategies used by urban planners and urban designers to facilitate integrated mitigation and adaptation in cities: (1) reducing waste heat and greenhouse gas

emissions through energy efﬁciency, transit access, and walkability; (2) modifying form and layout of buildings and urban districts; (3) use of heat-resistant construction

materials and reﬂective surface coatings; and (4) increasing vegetative cover.

Source: Jeffrey Raven, 2016

ARC3.2 Climate Change and Cities

142

clear that the planning and design disciplines will increasingly

need to prioritize the retrotting of these areas for greater land-

use efciency (UN-Habitat, 2012).

A high proportion of urban areas that will need to minimize

GHG emissions and adapt to climate change have not yet been

built. Beyond aiming for appropriate levels of compactness, new

urban development can and must be strategic about location

(avoiding, e.g., areas particularly vulnerable to heat, ooding,

or landslides).

5.2.1 Integrated Mitigation and Adaptation

Urban planning and urban design can be critical platforms

for integrated mitigation and adaptation responses to the chal-

lenges of climate change. They have the opportunity to expand

on the traditional inuence and capabilities of practitioners and

policy-makers and integrate climate science, natural systems,

and urban form – particularly compact urban form – to congure

dynamic, desirable, and healthy communities.

Traditionally, urban planning and urban design have focused

on settlement patterns, optimized land use, maximized proxim-

ity, community engagement, place-making, quality of life, and

urban vitality. Their focus is increasingly expanding to include

principles such as resilience, comfort, resource efciency,

and ecosystem services (see Chapter 8, Urban Ecosystems).

Applying these principles to urban policy helps to identify and

strengthen prescriptive measures and performance standards

and broaden urban performance indicators.

If future cities are to be sustainable and resilient, they must

develop the physical and institutional capacities to respond to

constant change and uncertainty. This will require strategies for

long-term commitments across multiple electoral cycles and often

among many political jurisdictions that constitute functional met-

ropolitan areas (see Chapter 16, Governance and Policy).

Global climate risk is accumulated in urban areas because

people, private and public assets, and economic activities

become more concentrated in cities (Mehrotra et al., 2011;

Revi et al., 2014). Recognition of the growing vulnerability of

Box 5.1 Key Deﬁnitions for Urban Planning and Urban Design

Urban planning: A eld of practice that helps city leaders

to transform a sustainable development vision into reality

using space as a key resource for development and engag-

ing a wide variety stakeholders in the process. It generally

takes place at the scale of the city or metropolitan region

whose overall spatial pattern it sets. Good urban planning

formulates medium- and long-term objectives that recon-

cile a collective vision with the rational organization of the

resources needed to achieve it. It makes the most of munic-

ipal budgets by informing infrastructure and services invest-

ments and balancing demands for growth with the need to

protect the environment. And it ideally distributes economic

development within a given urban area to reach wider social

objectives (UN-Habitat 2013).

Urban design: Urban design involves the arrangement and

design of buildings, public spaces, transport systems, ser-

vices, and amenities. Urban design is the process of giving

form, shape, and character to groups of buildings, to whole

neighborhoods, and to a city. It is a framework that orders

the elements into a network of streets, squares, and blocks.

Urban design blends architecture, landscape architecture,

and city planning together to make urban areas functional

and attractive.

Urban design is about making connections between peo-

ple and places, movement and urban form, nature and the

built fabric. Urban design draws together the many strands

of place-making, environmental stewardship, social equity,

and economic viability into the creation of places with dis-

tinct beauty and identity. Urban design is derived from but

transcends planning, transportation policy, architectural

design, development economics, engineering, and land-

scape. It draws together create a vision for an urban area

and then deploys the resources and skills needed to bring

the vision to life (urbandesign.org).

Figure 5.2 Each bar represents an entire metropolitan area (i.e., the city and

the continuous urban footprint surrounding it), including often much lower-density

suburbs.

Source: A. L. Brenkert, Oak Ridge National Laboratory. Maps created by Andreas Christen, UBC

Chapter 5 Urban Planning and Urban Design

143

Figure 5.3 “Green and blue ﬁngers” in Thanh Hoa City, Vietnam, planned for 2020:

Contiguous green corridors and canal circulation networks aligned with prevailing

summer breezes, punctuated by stormwater retention bodies as urban design

amenities.

Source: Jeffrey Raven, Louis Berger Group, 2008

urban populations to climate-related health threats requires that

the climate management activities of municipal governments

be broadened (see Chapter 10, Urban Health).

One means of doing so is to prioritize investments in mitiga-

tion strategies that yield concurrent adaptive benets over those

that do not (see Chapter 4, Mitigation and Adaptation). At pres-

ent, nonintegrated mitigation and adaptation is most commonly

pursued, with the majority of mitigation funds directed to

energy projects that produce no secondary benets for local

populations in the form of heat management and enhanced

ood protection or reduced damage to private property

and public infrastructure. For example, mitigation strate-

gies involving the substitution of a lower carbon-intensive

fuel, such as natural gas, for a higher carbon-intensive fuel,

such as coal, are an effective means of lowering CO

emissions yet provide few benets related to climate

adaptation.

5.2.2 Form and Function

Forward-thinking cities are beginning to exploit the positive

potential of built and natural systems – including green infra-

structure, urban ventilation, and solar orientation – to “future-

proof” the built environment in response to changing conditions

(see Figure 5.3 and Box 5.2). These passive urban design strate-

gies “lock in” long-term resilience and sustainability, protecting

Box 5.2 Urban Form and Function

The physical character of cities can be described by

three aspects of form: land cover, urban materials, and

morphology. On the other hand, the ow of materials

through a city describes its metabolism, the character

of which is regulated by its functions (see, e.g., Decker

et al., 2000).

Surface cover (Form): The replacement of natural land

covers by impermeable materials limits the inltration

of precipitation into the substrate, increases runoff, and

decreases evapotranspiration.

Construction materials and surface coating (Form):

Common urban materials such as concrete have high con-

ductivity and heat capacity values that can store heat ef-

ciently. Also, many urban materials are dark colored and

reect poorly (e.g., asphalt).

Morphology (Form): The conguration and orientation of

the built environment, from regional settlement patterns to

buildings, create a corrugated surface that slows and redi-

rects near-surface airow and traps radiation.

Urban activities (Function): Cities concentrate material,

water, and energy use that must be acquired from a

much larger area. Some is used to build the city (chang-

ing its form), but most is employed to sustain its econ-

omy and society. Once used, the wastes and emissions

are deposited into the wider environment, degrading soil,

water, and air quality, and increasing heat through the

exacerbated greenhouse effect.

ARC3.2 Climate Change and Cities

144

the city from future decisions that could undermine its adapt-

ability. They also remove the risk of relying on bolted-on,

applied technologies that may require expensive maintenance

or become obsolete in a short time. These form-based, contextu-

ally specic urban planning and urban design strategies are the

ultimate guarantors of successful life cycle costs, payback, and

liveability.

Integrated mitigation and adaptation in cities can assume

many forms across spatial scales, urban systems, and physical

networks (see Figure 5.4); a wide range of strategies adopted in

service of urban sustainability already advances this objective.

Enhanced urban transit, for example, has the effect of reducing

both carbon emissions from single-occupant vehicle use and

waste heat emissions that contribute to the urban heat island

(UHI) effect. Investments in pedestrian and cycling corridors,

particularly when integrated with parks and other green spaces

in cities, can reduce carbon emissions, enhance carbon seques-

tration, and, perhaps most effectively, cool cities through

evapotranspiration and shading. Sustainability strategies across

urban systems can contribute to climate management goals

under the umbrella of integrated mitigation and adaptation (see

Figure 5.5).

National

Region

Sub-Region

City

Neighborhood

Site

Building

Desired Outcome

Figure 5.4 Spatial scales relevant to urban planning and urban design for climate

change mitigation and adaptation.

Source: Jeffrey Raven, 2008

Figure 5.5 L’ Ecosystème Urbain (Urban Ecosystem).

Source: Duvigneaud, P. and Denayer-de Smet, S., 1975

Chapter 5 Urban Planning and Urban Design

145

5.3 Climate in Cities

Urban areas occupy a small percentage (perhaps less than 3%)

of the planet’s land area, but this area is intensively modied

(Miller and Small, 2003; Schneider et al., 2009). The landscape

changes that accompany urbanization modify climate across a

spectrum of scales, from the micro-scale (e.g., street), city-scale,

and regional scales (see Chapter 2, Urban Climate Science).

The magnitude of the modication is evaluated by comparing

the urban climate with its background climate, which is taken

to be the “natural” climate. Because each city has a unique geo-

graphical region (latitude and topography primarily), the natu-

ral climate is assessed in the same region but over a non-urban

surface (Lowry, 1977). One of the challenges posed by global

climate change is that the background climate is itself changing

and that cities contribute signicantly to this change through the

emission of GHGs.

The most profound changes occur in the layer of air below

roof height. Here, access to sunlight is restricted, wind is slowed

and diverted, and energy exchanges between buildings are the

norm. The spatial heterogeneity of the urban landscape creates

a myriad of microclimates associated with individual buildings

and their relative disposition, streets, and parks (Errel et al.,

2012). This is also the layer of intense human occupation, where

building heating and cooling demand is met, emissions of waste

heat and pollution from trafc are concentrated, and humans are

exposed to a great variety of indoor and outdoor urban climates.

The climate effect of cities extends well beyond the urban-

ized area. As air ows over the urban surface, a boundary layer

forms that deepens with distance from the upwind edge. This

envelope may be 1–2 kilometers thick by mid-afternoon and

is distinguishable as a warm and turbulent atmosphere that

is enriched with contaminants, including GHGs. The extent

of urban inuence depends on the character of the city (e.g.,

its area, built density, and the intensity of its emissions) and

on the background climate, which regulates the spread and

dilution of the urban envelope. As a result, cities contribute

signicantly to regional and global air pollution (Guttikunda

et al., 2003; Monks et al., 2009). Moreover, meeting urban

energy demand accounts for up to three-quarters of CO

emis-

sions from global energy use and thus represents a signicant

driver of global climate change (IPCC, 2014) (see Chapter 12,

Urban Energy).

The magnitude of the urban climate effect is linked to both

the form and function of cities (Box 5.2). The former refers to

aspects of the physical character of cities, including the extent

of paving and the density of buildings. The latter describes the

nature of urban occupancy including the energy used in build-

ings, transport, and industry. Integrated mitigation and adap-

tation strategies focus on managing urban form and function

together to moderate and respond to climate changes at urban,

regional, and global scales.

5.3.1 Urban Climate Zones

The changes that accompany urbanization have profound

impacts on the local environment and are clearly seen in aspects

of climate and hydrology (Hough, 1989) (see Chapter 2 Urban

Climate Science). The magnitude of these urban effects depends

on both the form and functions of individual cities. However,

cities are highly heterogeneous landscapes, and impacts vary

across the urbanized area as well. Detailed mapping of urban

layout, including aspects of form (e.g., impervious land cover)

and of function (e.g., commercial land use), provides a basis for

examining climate at a local scale.

For example, Stewart and Oke (2012) have developed a simple

scheme that classies urban neighborhoods mainly by form into

local climate zones (LCZ) (see Figure 5.6). Each LCZ is char-

acterized by typical building heights, street widths, vegetative

cover, and paved area. Not surprisingly, the most intense local

climate impacts are found where building density is greatest,

streets are narrowest, and there is little vegetation (e.g., compact

high-rises or dense slums). In many of these areas, the population

is highly vulnerable due to poverty or age (see Chapter 6, Equity

and Environmental Justice). Cities comprise many LCZ types

that occupy varying proportions of the urbanized landscape. This

Figure 5.6 Local climate zone type. Admittance, or thermal admittance, is a

measure of a material’s ability to absorb heat from, and release it to, a space over

time. Albedo is the proportion of the incident light or radiation that is reﬂected by a

surface back into space.

Source: Stewart and Oke, 2012

ARC3.2 Climate Change and Cities

146

chapter describes win-win form/function strategies to mitigate

local climate impacts in compact districts.

5.3.2 Urbanization as Ampliﬁer of Global Climate

Change

Global climate change is modifying the background climate

within which cities are situated, altering the frequency and

intensity of extreme weather experienced (see Chapter 2, Urban

Climate Science). The most recent Intergovernmental Panel on

Climate Change (IPCC) assessment (IPCC, 2014a) concludes

that global climate change has already resulted in warming both

days and nights over most land areas and will cause more fre-

quent hot days and nights in the future.

One of the most widely recognized climate impacts of urban-

ization is the UHI effect (e.g., Arneld, 2003; Roth, 2007) (see

Chapter 2, Urban Climate Science). The magnitude of the UHI

is measured as the difference in air and surface temperatures

between the city and proximate rural areas; these differences

increase from the edge of the city to the center, where it is usu-

ally at a maximum. It is strongest during calm and clear weather

but exhibits different impacts on surface and air temperatures.

When measured as differences in air temperature between urban

and non-urban surfaces, the UHI is strongest at night (due to

heat retention), whereas differences in surface temperatures are

largest during daytime (due to solar absorption).

Both types of UHI show a clear correlation with the amount

of impervious surface cover and building density, whereas parks

and green areas appear as cooler spots. The maximum value of

the UHI as measured by air temperatures is likely to be between

2°C and 10°C, depending on the size and built density of the

city, with largest values occurring in densely built and impervi-

ous neighborhoods (Oke, 1981). The magnitude of the surface

temperature UHI depends greatly on the material characteristics

of the surface, especially its albedo (i.e., reectivity) and mois-

ture status (see, e.g., Doulos et al., 2004).

In urban areas, the UHI adds to current warming trends

due to global climate change contributes to poor air quality,

increases energy demand for cooling, and elevates the inci-

dence of heat stress (Akbari, et al., 2001; Grimmond, 2007;

Oleson et al., 2015).

Once built, many aspects of the urban form are difcult to

change (overall layout and morphology especially), so imme-

diate emphasis must focus on altering aspects of surface cover

and construction materials in the short term. At the same time,

the role of urban planning to shape the potential doubling of cit-

ies’ total physical footprint within the next 15 years must not

be ignored because it represents a signicant opportunity for

mitigating future climate change at the global scale. New urban

development – particularly since much future urban develop-

ment will occur in warmer climate zones – can lower its emis-

sions drastically by pursuing compact development that employs

mixed-use zoning and public transit (Zhao et al., 2017; Resch et

al., 2016).

Projections of climate change show that there will be distinct

urban impacts. The locations of cities tend to be at low elevation,

close to coasts and in river valleys/basins, which exposes urban

areas to hazards such as high winds and ooding (McGranahan et

al., 2007; Miller and Small, 2003). The concentration of popula-

tion and infrastructure in cities makes them especially vulnerable

to the impacts of natural hazards. Land-use and land-cover strate-

gies designed to regulate these urban effects (such as urban green-

ing to mitigate urban ooding and heating) can complement global

climate change adaptation strategies that emphasize resilience.

Urbanization also has a dramatic impact on local hydrological

processes and water quality (see, e.g., Brabec et al., 2002; Paul

and Meyer, 2001). Impervious surface cover reduces the rate of

inltration to the underlying soil, thus limiting storage. While

sewers and channelized rivers improve the hydraulic efciency

of drainage networks, the net effect is to increase the risk of ood-

ing by increasing the volume and intensity of runoff (Kravík et

al., 2007; Konrad, 2003). In addition, the water that washes off

impermeable urban surfaces during rain events adds warm and

polluted water to river courses, further degrading water quality.

Moderating the magnitude of these urban effects in cities

requires altering aspects of urban form, especially surface

cover and materials. Vegetation in particular has an important

role to play as a versatile tool that can cool surfaces through

shading and cool air via evaporation (Shashua-Bar et al., 2010).

Green areas can also play a key role in water management by

delaying urban runoff and using soils as a lter to improve

water quality. Where the landscape is densely built, green roofs

can both insulate buildings, moderate air temperature above the

urban surface, and slow urban runoff (Mentens et al., 2006).

Similarly, changing surface albedo by applying surface coat-

ings or replacing impervious surfaces with permeable materials

can moderate urban effects (Gafn et al., 2012; Santamouris,

2014). Altering urban morphology once in place is a more chal-

lenging prospect. However, where change is possible, design

goals are to ensure access to the sun and provide shade, pro-

tection from wind, or ventilation by breezes (Bottema, 1999;

Knowles, 2003; Emmanuel et al., 2007; Chen et al., 2010).

Urban areas not yet built, particularly those in the developing

world, have the advantage of being able to design along these

parameters in advance of construction.

The role of urban design is critical because the urban climate

impact is a product of both its physical character and the back-

ground climate. The best solution in a city where the climate is

cool and wet will not be the same for a city in an arid and warm

climate. Similarly, where cities are already substantially built,

the opportunities for change will differ for each neighborhood.

Nevertheless, managing the outdoor climate can have multiple

benets including reduced demand for indoor cooling/heating

and increased use of outdoor spaces for health and improved air

quality (Akbari et al., 2001) (see Case Study 5.4).

Chapter 5 Urban Planning and Urban Design

147

In cities, emissions of GHGs arise mainly from buildings

(residential and commercial), transportation, and industries,

but the proportions vary based on the character of the urban

economy and the source of energy (Kennedy et al., 2009) (see

Chapter 12, Urban Energy). The contributions of buildings

and transport have received the most attention because each is

amenable to management at the urban scale using a variety of

measures, including building energy codes, public transit sys-

tems, and land-use management (ARUP, 2014). Much of the

current evidence indicates that densely occupied cities are more

efcient in their use of energy (and generate less waste heat as

a consequence) (Resch et al., 2016). The evidence is especially

strong for transport energy, which is largely based on cities

where there are mass transit systems (Newman and Kenworthy,

1989). Increasing urban population density through policies that

co-manage land-use and transport networks is an important strat-

egy for reducing urban GHG emissions (Dulal et al., 2011).

Good urban planning and urban design are critical to achiev-

ing climate change objectives at city, regional, and global scales.

Compact and densely occupied cities do not have to feature imper-

meable, densely built, and high-rise neighborhoods associated

with unwanted urban effects. In a study of urban spatial structure

and the occurrence of heat wave days across more than 50 large

U.S. cities, for example, Stone et al. (2010) found the annual fre-

quency of extreme heat events to be rising more slowly in compact

cities than in sprawling cities. A wealth of studies nd the enhance-

ment of vegetation and surface reectivity in dense urban environ-

ments to measurably reduce urban temperatures at the urban and

regional scale (see Taha et al., 1999; USEPA, 2008; Gafn et al.

2012; Stone et al., 2014). Further, tall buildings in cities impede

direct sunlight from reaching the ground (see Figure 5.7).

Figure 5.7 The sky view from street level in Berlin, Germany. The hemispheric

image shows the extent to which the sky is obscured by the surrounding buildings.

The path of the sun at different times of the year is plotted to show the loss of direct

sunlight at street level.

Source: F. Meier, TU Berlin

5.4 Innovations

In this section of the chapter, we explore the implementation

of strategies that utilize the four urban climate factors – urban

function, form, construction materials, and surface cover – to

achieve integrated mitigation and adaptation (see Figure 5.1).

5.4.1 Transportation, Energy, and Density

Since the middle of the 20th century, built environments the

world over have tended to increase outward from central cities,

consuming great swaths of previously undeveloped land while

reinvestment in city centers falters. The infrastructure network

needed to maintain this sprawling development pattern, par-

ticularly roads, has resulted in development that is land and

infrastructure inefcient. It has also led to increased reliance

on motor vehicles to get from one place to another. This reli-

ance on motor vehicles has consequently led to a signicant

increase in vehicle miles (or kilometers) traveled (VMT), a

concomitant increase in GHG emissions, and an amplication

of the UHI effect through increased imperviousness, reduced

green cover, and enhanced waste heat emissions (Stone et al.,

2010). By developing in a denser, more compact form that

mixes land use and supports mass transit use, cities may begin

to reverse these trends (see Figure 5.8) (see Chapter 13, Urban

Transportation).

If cities are to reduce VMT, then they must change their

sprawling development pattern into one that relies on compact

development. This focuses on regional accessibility through

multiple transportation modes, including walking and bicycling,

and clustered land-use patterns incentivized with vehicle distance

traveled–based fees. At the core of this strategy is transit-oriented

development (TOD) (Zheng and Peeta, 2015). TOD is compact,

pedestrian-friendly development that incorporates housing,

retail, and commercial growth within walking distance of public

transportation, including commuter rail, light rail, ferry, and

bus terminals (see Figure 5.8). It has become an essential and

sustainable economic development strategy that responds to

changing demographics and the need to reduce GHG emissions

and health-related impacts.

Changing the built form from conventional suburban

sprawl to compact, walkable, mixed-use and transit-oriented

neighborhoods reduces travel distances (VMT). The meta-

study Effects of the Built Environment on Transportation:

Energy Use, Greenhouse Gas Emissions, and Other Factors,

prepared by the National Renewable Energy Laboratory

and Cambridge Systematics, Inc. (March 2013), notes that

residents of compact, walkable neighborhoods have about

20–40% fewer VMTs per capita, on average, than residents

of less-dense neighborhoods. Other studies have found a dou-

bling of residential densities in U.S. cities to be associated

with a 5–30% reduction in VMT (Gomez-Ibanez et al., 2009;

Stone et al., 2010).

ARC3.2 Climate Change and Cities

148

Not only does compact, walkable TOD lower VMT, but it also

requires less energy (see Chapter 12, Urban Energy). As Nolon

(2012) reports, residential and commercial buildings used an

extraordinary amount of electricity and energy in the past genera-

tion. In 2008, U.S. residential and commercial buildings consumed

29.29 quadrillion BTUs, which represented 73.2% of all electric-

ity produced in the United States (Nolon, 2012). By 2035, the U.S.

Department of Energy estimates that residential and commercial

buildings will use 76.5% of the total electricity in the United States

(Nolon, 2012). This energy consumption is also highly inefcient

due to the systems used to produce and transmit it.

Two-thirds of the energy used to produce electricity in the

United States is vented as waste heat that escapes into the atmo-

sphere during generation and contributes to UHI formation

(Nolon, 2012). Additionally, up to 15–20% of the net energy

produced at these plants is then lost during electricity trans-

mission (Nolon, 2012). By increasing the density of the built

environment and reducing the distances that both electricity

and people must travel, energy efciency is notably increased

in compact, transit-centered development (see Figure 5.8). As

discussed in Jonathan Rose Companies (2011), a single-family

home located in a compact, transit-oriented neighborhood uses

38% less energy than the same size home in a conventional sub-

urban development (149 million BTU/year versus 240 million

BTU/year).

Because compact development reduces VMTs and is more

energy efcient, it also lessens GHG and waste heat emis-

sions (see Figure 5.9). In a 2010 report to Congress, the U.S.

Department of Transportation concluded that land-use strategies

relying on compact, walkable, TOD could reduce U.S. GHG

emissions by 28–84 million metric tons carbon dioxide equiva-

lent (CO

-eq) by the year 2030. Benets would grow over time to

possibly double that amount annually in 2050 (U.S. DOE, 2010).

Integrated mitigation and adaptation in urban planning and

urban design can be successfully implemented through the con-

guration of low-carbon compact settlements congured for

local microclimates. The mitigation perspective focuses on com-

pact TOD prototypes recongured as low-carbon ecodistricts

(see Box 5.3). The integrated mitigation and adaptation para-

digm also addresses stormwater runoff and the UHI in high-den-

sity zones through material composition, urban morphology, and

ecosystem services. This paradigm effectively “locks-in” long-

term resilience.

The efcient use and recycling of energy and resources is

a cornerstone of a resilient city and should be integral to the

concept of integrated mitigation and adaptation, along with

other climate-management strategies. This suggests the need

for two levels of integrated mitigation and adaptation: pas-

sive and active. Passive Integrated Mitigation and Adaptation

Figure 5.8 Efﬁciency of urban systems.

Source: Jeffrey Raven, 2016

Chapter 5 Urban Planning and Urban Design

149

Figure 5.9 Metropolitan region containment index (1995–2005).

Source: Philipp Rode, 2012

Denver

Washington

Minneapolis

Dallas

Baltimore

Philadelphia

San Francisco

Houston

Chicago

Prague

Frankfurt

Portland

Hamburg

Berlin

Paris

Oslo

Stockholm

R square = 0.503

Helsinki

London

Brussels

Greenhouse Gas emissions per capita (Mt CO

eq)

–3% –2% –1% 0% 1%

Metropolitan region containment index (1995–

2005)

(difference in population growth rates between core and belt)

Box 5.3 Multisectoral Synergies for Transit-Oriented, Low-Carbon Districts

Multisectoral approaches that integrate land use, mass tran-

sit, green buildings, and green districts to promote healthy,

climate-resilient cities can be described as transit-synergized

development (TSD). TSD leverages the greater scale, density,

and economic value of transit-oriented development (TOD;

nominal 1 km

urban districts around transit nodes) to create

compact, vibrant, mixed-use communities that increase urban

efciency and reduce transport-related energy use, conges-

tion, pollution, and greenhouse gas (GHG) emissions. As a

co-benet, the more compact development at the heart of TSD

reduces pressures on interstitial spaces between transit corri-

dors that can provide critical green infrastructure for managing

climate impacts within dense urban zones. In China, promot-

ing mass transit could generate up to 4 QBTUs (4.2 Exajoules)

in energy savings per year (McKinsey Global Institute, March

2009). A number of cities in Canada and the United States

are beginning to retrot their urban fabric through TOD, and

others in Latin America – most notably Curitiba, Brazil – have

successfully used bus rapid transit (BRT) as a centerpiece of

wider urban revitalization (Lindau et al., 2010).

TSD is a “node and network” model of sustainable urbanism.

At each transit node, TSD combines passive and active green

building design (high-performance envelope and mechanical,

electrical, and plumbing [MEP] systems) with passive and

active green district design (integrated urban design and

advanced district infrastructure). District infrastructure pro-

vides a platform for the reuse and recycling of energy and

resources among the buildings within the district. It is also

a platform for innovation and “’forward integration’” of new

technologies, important attributes of a robust, resilient, and

adaptive community (Lee, 2012).

At the network level, the transit nodes collectively provide

diversity, redundancy, and synergy, effectively transforming

the transit network into a framework for a robust, resilient,

and adaptive city (Walker and Salt, 2006).

Box Figure 5.3 Figure 1 Transit-synergized development concept.

Source: iContinuum Group

ARC3.2 Climate Change and Cities

150

Figure 5.10 Urban form and layout.

Source: Jeffrey Raven, 2016

(PIMA) includes climate-responsive designs such as green

cover, reective ground surface, natural ventilation, and solar

orientation. PIMA represents good design practice and should

be the basic design strategy for all buildings and urban areas.

In high- density urban districts, however, Active Integrated

Mitigation and Adaptation (AIMA) may be required. AIMA

deploys advanced building systems and district infrastructure

such as integrated building energy management, renewable

energy, energy storage, district energy systems, water recy-

cling, and on-site wastewater treatment that actively reduce

energy and climate impacts.

District-scale AIMA infrastructure can be inherently more

cost-effective to “upgrade” than individual building systems

and can therefore better “climate-proof” the built environment

against changing conditions. An example of this is Singapore’s

Marina Bay District Cooling System, which is envisioned as an

“energy platform that enables forward integration of new energy

technologies” (Tey Peng Kee, Managing Director, Singapore

District Cooling Pte Ltd.; Interview, 2012).

5.4.2 Climate-Resilient Urban Form

Urban morphology is dened as the three-dimensional form

and layout of the built environment and settlement pattern. From

regional, urban, and district scales to ner-grained street grids

that promote walkability and social cohesion, climate-resilient

planning and design strategies include conguration of urban

morphology inuenced by solar design, urban ventilation, and

enhanced vegetation (see Figure 5.10). There are almost innite

combinations of different climate contexts, urban geometries,

climate variables, and design objectives. A starting point in any

project is to assess the micro- and macroclimatic characteristics

of the site, an exercise that will indicate appropriate bioclimatic

design strategies (Brophy et al., 2000). As the climate heats up,

compact communities offer attractive alternatives to suburban

sprawl by featuring comfortable, healthy microclimates with

comparable natural amenities.

Wind velocities in cities are generally lower than those in the

surrounding countryside due to the obstruction to air ow caused

by buildings. In dense, compact communities, natural ventilation

is challenging during warm months, often leading to increased

cooling demand. This is partly because natural ventilation sys-

tems require very little energy but may need more space to

accommodate low-resistance air paths (Thomas, 2003). Built-up

areas with tall buildings may lead to complex air movement

through a combination of wind channeling and resistance, often

resulting in wind turbulence in some areas and concentrated

pollution where there are wind shadows (Brophy et al., 2000).

In general, denser developments result in a greater reduction in

wind speeds but proportionally increased turbulence. Compact

developments have less heat loss because there is generally less

surface area for the volume enclosed due to shared wall space

(Thomas, 2003).

Chapter 5 Urban Planning and Urban Design

151

Street-level ventilation for warm and humid climates is key,

using approaches that do not necessarily require changing mor-

phology. A simulation exercise of the likely urban warming

effects of the planned urban growth trajectories in the warm,

humid city of Colombo, Sri Lanka, indicates that there are sig-

nicant differences in the likely warming rates between different

urban growth trajectories (Emmanuel et al., 2007). A moderate

increase in built cover (at an LCZ class of compact midrise)

appears to lead to the least amount of warming. At the neighbor-

hood scale, streets oriented to the prevailing wind directions with

staggered building arrangements together with street trees appear

to offer the best possibility to deal with urban warming in warm

humid cities. The combined approach could eliminate the warm-

ing effect due to the heat island phenomenon. The Hong Kong

example (see Case Study 5.3) illustrates how existing high-rise

districts can be retrotted to exploit passive urban ventilation.

Exploiting prevailing breezes is a key factor in implementing

district-wide passive cooling strategies (see Figure 5.10). Wind

affects temperature, rates of evaporative cooling, and plant tran-

spiration and is thus an important factor at a microclimatic level

(Brophy et al., 2000). Urban morphology is responsible for vary-

ing the “porosity” of the city and the extent of airow through

it, and it is a lynchpin for using passive cooling to reduce energy

loads in the built environment (Smith et al., 2008). Wind ow

across evapotranspiring surfaces and water bodies provide cool-

ing benets. The morphology and surface roughness of the built

environment has signicant impacts on the effectiveness of

urban ventilation.

Passive methods to increase comfort and reduce energy loads

through solar design include orienting street and public space

layout to reduce solar gain during hot months, shading through

the conguration of adjacent vegetation, orienting neighborhood

congurations to the sun’s path to maximize daylight in ground

oor living rooms, placing tall buildings to the north edges of a

neighborhood to preserve solar potential for photovoltaic arrays,

varying building heights and breaks in the building line to reduce

shadowing and increase solar access during cold months, and

maximizing use of cool surfaces and reective roofs in hot

climates. Figures 5.10, 5.11, and the Masdar example (Case

Study 5.4) illustrate these approaches.

5.4.3 Construction Materials

Increasing the surface reectivity or albedo of urban materials

is a well-established urban heat management strategy. Due to the

darkly hued paving and roong materials distributed throughout

cities, a larger quantity of solar energy is often absorbed in cities

than in adjacent rural areas with higher surface reectivity, thus

contributing to a lower albedo (see Chapter 2, Urban Climate

Science). Unable to compensate for an enhanced absorption of

solar energy through an increase in evapotranspiration, a larger

percentage of this absorbed energy is returned to the atmosphere

as sensible heat and longwave radiation, raising temperatures

(see Figure 5.11).

Recognition of the potential to measurably cool cities through

the application of highly reective coatings to roong surfaces

Figure 5.11 Surface reﬂectivity.

Source: Jeffrey Raven, 2016

ARC3.2 Climate Change and Cities

152

Case Study 5.1 Green Infrastructure as a Climate Change Adaptation Option for

Overheating in Glasgow, UK

Rohinton Emmanuel

Glasgow Caledonian University, Glasgow

From its medieval ecclesiastical origins, Glasgow (originally Glaschu

– ‘dear green place’) expanded into a major port in the 18th century,

and, with the advent of the Industrial Revolution, added a massive

industrial base to its already well- developed built fabric. However,

the success of its industrial base could not withstand the pressures

of globalization, and, by the early 20th century, the city had begun to

lose population. This decline appears to have been arrested in recent

years. The long history of growth, decline, and regrowth provides

Glasgow a historic opportunity to recreate its “green” past.

Emmanuel and Kruger (2012) showed that even when urban growth

had subsided, Glasgow’s local warming that results from urban

morphology (increased built cover, lack of vegetation, pollution,

anthropogenic heat generation) continues to generate local heat

islands. Such heat islands are of the same order of magnitude as

the predicted warming due to climate change by 2050. And the

microscale variations are strongly related to local land cover/land-

use patterns.

MITIGATING URBAN OVERHEATING

An option analysis exploring the role of green infrastructure (land-

scape strategies) in and around the Glasgow (Glasgow Clyde Valley,

GCV) Region revealed the following (Emmanuel and Loconsole,

2015):

1. Green infrastructure could play a signicant role in mitigating

the urban overheating expected under a warming climate in the

GCV Region.

2. A green cover increase of approximately 20% over the present

level could eliminate a third to a half of the expected extra urban

heat island (UHI) effect in 2050.

3. This level of increase in green cover could also lead to local

reductions in surface temperature by up to 2°C.

4. More than half of street users would consider a 20% increase in

green cover in the city center to be thermally acceptable, even

under a warm 2050 scenario.

ACHIEVING GREEN COVER

Not all green areas contribute equally to local cooling, nor are

they equal in their other environmental and sustainability benets.

Recognizing this, planners have begun to develop weighting systems

that capture the relative environmental performance of different types

of green cover. The most widely used among these is the Green Area

Ratio (GAR) method (Keeley, 2011). GAR is currently implemented

in Berlin and has been adapted in Malmo (Sweden), several cities in

South Korea, and Seattle (USA). Elements of GAR include:

Impermeable surfaces (i.e., surfaces that do not allow the inltration

of water)

Includes roof surfaces, concrete, asphalt and pavers set upon

impermeable surfaces or with sealed joints). = 0.0

Impermeable surfaces from which all storm water is inﬁltrated

on property

Includes surfaces that are disconnected from the sewer

system. Collected water is instead allowed to inltrate on site in

Keywords Urban overheating, green

infrastructure, green area ratio

method, planning and design

Population

(Metropolitan Region)

606,340 (National Records of

Scotland, 2016)

Area

(Metropolitan Region)

3,345.97 km² (Ofce for National

Statistics, 2012)

Income per capita US$42,390 (World Bank, 2017)

Climate zone Cfb – Temperate, without dry

season, warm summer

(Peel et al., 2007)

Counting the following Local Authority areas: East Dunbartonshire; East Renfrewshire;

Glasgow City; Inverclyde; North Lanarkshire; Renfrewshire; South Lanarkshire; West

Dunbartonshire

Counting the following Local Authority areas: East Dunbartonshire; East Renfrewshire;

Glasgow City; Inverclyde; North Lanarkshire; Renfrewshire; South Lanarkshire; West

Dunbartonshire

Case Study 5.1 Figure 1 Summer daytime temperature.

y=0.0007x

– 0.0295x – 0.0143

= 0.9212

–0.45

–0.40

–0.35

–0.30

–0.25

–0.20

–0.15

–0.10

–0.05

0.00

0.05

0.10

–5 0510 15 20

Change in Air Temperature (

Green cover (%)

Case Study 5.1 Figure 2 Extra green cover needed in reduction against

green cover in Glasgow City Center to mitigate overheating.

152

Chapter 5 Urban Planning and Urban Design

153

a swale or rain garden. Guidelines for preventing groundwater

and soil contamination must be followed. = 0.2

Nonvegetated, semi-permeable surfaces

Includes cover types that allow water inltration, but do not

support plant growth. Example include brick, pavers and

crushed stone. = 0.3

Vegetated, semi-permeable surfaces

Includes cover types that allow water inltration and integrate

vegetation such as grass. Examples include wide-set pavers

with grass joints, grass pavers, and gravel-reinforced grassy

areas. = 0.5

Green façades

Includes vines or climbing plants growing (often from ground)

on training structures such as trellises that are attached to a

building. The façade’s area is measured as the vertical area

the selected species could cover after 10 years of growth up

to a height of 10 meters; window areas are subtracted from the

calculation. = 0.5

Extensive green roofs

Includes green roofs with substrate/soil depths of less than 80

centimeters. However, Berlin excludes green roofs constructed

on high-rise buildings. = 0.5

Intensive green roofs and areas underlain by shallow subterranean

structures

Includes green roofs with substrate/soil depths of greater than

80 centimeters. This category includes subterranean garages.

= 0.7

Vegetated areas

Any area that allows unobstructed inltration of water without

evaluation of the quality or type of vegetation present. Examples

range from lawns to gardens and naturalistic wooded areas. =

1.0

A system of target setting is initially required that takes into

account the severity of the environmental risk faced by a partic-

ular urban neighborhood. Once the target green cover is deter-

mined, the above-indicated weighting is used to develop alternate

green infrastructure scenarios.

Case Study 5.1 Table 1 shows alternate approaches to a 20%

increase in green cover in Glasgow city center. These employ an

urban park, street trees, roof gardens, façade greening, or combi-

nations of these.

Case Study 5.1 Table 1 Alternative approaches to increasing green cover by 20% in Glasgow City Center.

Scenario

Permeable

vegetated

area (m

)

Street trees

(Nos.)

Intensive

roof gardens

)

Extensive

roof gardens

)

Green

façades

1. A single large park 1,056

2. Street trees only 528

3. 50% of additional greenery in street trees, balance

intensive roof gardens

264 755

4. 50% of additional greenery in street trees, balance

extensive roof gardens

264 1,056

5. Mix of intensive (50%) and extensive (50%) roof gardens 755 1,056

6. 50% of all “sun facing (i.e., South & West) façade covered

by green façades

1,268

and streets has led to the development of new product lines

known as “cool” roong and paving materials. For roong sur-

faces concealed from ground view, such as atop a at indus-

trial building, very high-albedo, cool material coatings can be

applied to reect away a substantial percentage of incoming

solar radiation. Industry analyses of these materials have found

that the surface temperature of roong materials can be reduced

by as much as 50°F/10°C during periods of intense solar gain

(Gafn et al., 2012).

To explore the extent to which cool materials could reduce

temperatures not only within the treated buildings themselves but

also throughout the ambient urban environment, scientists at the

Lawrence Berkeley Labs and the Columbia Center for Climate

Systems Research have modeled extensive albedo enhancement

strategies (Rosenzweig et al., 2014). Measured on a scale of

0 to 1, average surface albedos in U.S. cities tend to range from

0.10 to 0.20, much lower than the albedos of 0.6 to 0.8 associ-

ated with cool roong and paving materials. In densely settled

districts such as Manhattan, the potential to raise average albe-

dos is great, but all cities can enhance their reectivity through

the use of higher albedo materials in routine resurfacing over

time. Finding optimal values of reectivity adjustment, rather

than an all-out pursuit of maximum attainable values over large

swaths of surface areas, will limit potential hydroclimatic trade-

offs while still attaining temperature reduction goals (Georgescu

et al., 2014; Jacobson and Ten Hoeve, 2012).

An important advantage of albedo enhancement over other

urban climate management strategies is its relatively low cost.

Cool roong treatments can be applied to low-sloping roofs

for a cost premium of between US$0.05 to US$0.10 per square

ARC3.2 Climate Change and Cities

154

foot, raising the cost of a 1,000 square foot roong project by

as little as US$100. Balanced against this low initial cost are

annual energy savings estimated by the U.S. Environmental

Protection Agency (EPA) to be about U.S. $0.50 per square foot,

an estimate accounting for potentially greater winter heating

costs (U.S. EPA, 2008). Also advantageous is the immediacy

of benecial returns from cool materials strategies, especially

in semi-arid areas where the use of water for vegetation is not

sustainable. In contrast to tree planting and other vegetative pro-

grams through which maximum cooling benets are not realized

until plants reach maturity, high-albedo coatings yield maximum

benets upon installation, with benets diminishing somewhat

thereafter with weathering, and as roofs become soiled.

5.4.4 Green and Blue Infrastructure

The interaction of green and blue components in the urban

environment links together integrated mitigation and adaptation

strategies at different scales – from buildings and open spaces

design to landscape design and metropolitan region planning –

and can yield many co-benets (see Figure 5.12) (see Chapter 8,

Urban Ecosystems). A comprehensive climate-based design sup-

ports developing and maintaining a network of green and blue

infrastructure integrated with the built environment to conserve

ecosystem functions and provide associated benets to human

populations (STAR Communities, 2014). Urban planning and

urban design strategies focusing on green infrastructure and

Case Study 5.2 Adapting to Summer Overheating in Light Construction with

Phase-Change Materials in Melbourne, Australia

Jun Han

1,2

, Xiaoming Wang

, Dong Chen

Commonwealth Scientiﬁc and

Industrial Research Organization (CSIRO), Melbourne

Heriot-Watt University, Dubai Campus

Keywords Thermal comfort, residential

buildings, passive cooling, phase

change materials, mitigation and

adaptation, planning and design

Population

(Metropolitan Region)

4,258,000 (UN, 2016)

Area

(Metropolitan Region)

9,999.5 km² (Australian Bureau of

Statistics, 2013)

Income per capita US$54,420 (World Bank, 2017)

Climate zone Cfb – Warm temperate, fully humid,

warm summer (Peel et al., 2007)

Melbourne, ranked one of the most livable cities around the world

since 2011, is the capital city in the state of Victoria and the second

most populous city in Australia (2006 Census QuickStats). It has a

population of 3.99 million living in the greater metropolis (Australian

Bureau of Statistics, 2013).

As a result of recent rapid urbanization, the city has undergone

an outward expansion. The recent construction boom in both the

Central Business District and nearby suburbs has led to a signi-

cant change in land use. This may imply that more buildings will be

constructed in the near future and, consequently, more greenhouse

gas (GHG) emissions from building operations. Change in land use

such as replacement of green space by construction and increas-

ing concrete or paved roads can be anticipated if appropriate urban

planning for climate adaptation is lacking.

Existing studies have recognized the challenges facing current

urbanization posed by the urban heat island (UHI) effect and global

warming. Exacerbated thermal conditions in the urban built environ-

ment and increasing human health issues can be expected without

proper intervention. In this regard, we now face challenges not only

in designing low-energy buildings to reduce GHG emissions for mit-

igating global warming but also to meet thermal comfort require-

ments without sacricing indoor environment quality (IEQ) to actively

adapt to climate change.

However, modern construction methods introduce more lightweight

buildings. These methods employ offsite, prefabrication strategies to

reduce construction time. Consequently, there is a potential risk of

overheating and deteriorated thermal comfort conditions with light-

weight construction products, which are likely to be exacerbated in

a warming climate. Occupant thermal comfort in lightweight build-

ings therefore is receiving increasing attention among architects and

designers.

In this Case Study, phase-change materials (PCMs) are used as a

heat sink to absorb heat from the sun during the day and to reduce

rapid room temperature rise due to added thermal stability. To

examine the effectiveness of a lightweight building using PCMs, a

one-dimensional numerical model was developed and solved by

an enthalpy

method with an explicit scheme. The performance of

PCMs for cooling a lightweight building with a brick veneer residen-

tial wall during the hot summer of 2009 in Melbourne was predicted

numerically. The study reveals that application of PCMs in light-

weight buildings could achieve better thermal comfort and energy

savings in summer.

Bio-based PCM, applied instead of conventional wall insulation is

made with a mix of soy-based chemicals that change from liquid to

solid and vice versa at specic melting or solidication temperatures.

The advantage of using PCMs is increased thermal storage capacity.

It is estimated that about 30% of heating and cooling costs would

be reduced.

Case Study 5.2 Figure 1 depicts the geometric conguration of the

thermally enhanced brick veneer wall with PCMs and its original con-

guration without PCMs before modication. The thermally enhanced

PCM wall is composed of 110-millimeter brickwork, 40-millimeter air

gap, 20-millimeter PCMs, and 10-millimeter plasterboard.

1 Enthalpy is the thermodynamic quantity equivalent to the total heat content of a system. It is equal to the internal energy of the system plus the product of pressure

and volume.

Chapter 5 Urban Planning and Urban Design

155

To understand the occupancy comfort level, the peak wall tem-

peratures were considered when evaluating the performance of

the PCM wall. The interior surface temperatures for the west-fac-

ing walls are compared for the PCM brick veneer wall and for the

reference wall without PCM, as shown in Case Study 5.2 Figure

2. It was found that the interior surface temperature of the PCM

wall in the day is lower than the conventional wall due to the

presence of PCM heat storage during the daytime. The max-

imum peak temperature of the conventional brick veneer wall

reached almost 48°C, whereas the maximum of the PCM wall

was around 32°C. It is generally believed that lower surface tem-

peratures result in greater occupant thermal comfort and energy

savings in summer. A significant peak cooling load reduction

therefore would be expected.

The successful testing of PCMs in lightweight building materials in

the weather conditions of Melbourne demonstrated the effectiveness

and validity of both mitigation and adaptation strategies. Combined

with other sustainable energy technologies as an integrated approach

for climate change mitigation and adaptation, PCMs could be useful

for other cities with similar conditions.

Case Study 5.2 Figure 2 Surface temperature proﬁles of two west-facing

walls with and without phase-change materials.

36 40 44 48 52 56 60 64 68 72 76

liquidus temperature 26

phase change

West facing wall

Without PCM

With PCM

TEMPEARATURE (

TIME (HOUR)

without PCM

with PCM

Case Study 5.2 Figure 1 Schematic of lightweight brick veneer wall with integrated phase-change materials (left), and without (right).

Roof membrane

Cant strip

Brickwork 110 mm

Air gap 40 mm

wall without PCMswall with PCMs

Foundation

Brickwork 110 mm

Air gap 40 mm

Cant strip

Plasterboard 10 mm

PCMs 20 mm

Fascia

sustainable water management help restore interactions between

built and ecological environments. This is necessary to improve

the resilience of urban systems, reduce the vulnerability of socio-

economic systems, and preserve biodiversity (UNEP, 2010).

Integration of water management with urban planning and

urban design represents an effective opportunity for climate

change adaptation (UNEP, 2014) (see Figure 5.13). This has been

demonstrated by the emerging Water Sensitive Urban Design

(WSUD) approach (Ciria, 2013; ARUP, 2011; Flörke et al., 2011;

Hoyer et al., 2011; BMT WBM, 2009). All the elements of the

water cycle and their interconnections are considered to achieve

together an outcome that sustains a healthy natural environment

while addressing societal needs and reducing climate-related

risks (Ciria, 2013). The implementation of integrated water cycle

management as adaptive design strategy should be based on a

ARC3.2 Climate Change and Cities

156

Figure 5.12 Surface cover.

Source: Jeffrey Raven, 2016

Building greening

Vegetated soils

Draining surfaces

Raingardens Rainwater harvesting

and recycling

Grey water collection and

sedimentation systems

Phytoremediation systems

Figure 5.13 Green and blue infrastructure design: building/open space scale, Naples, Italy.

Source: Cristina Visconti and Mattia Leone

Chapter 5 Urban Planning and Urban Design

157

Case Study 5.3 Application of Urban Climatic Map to Urban Planning of High-Density

Cities: An Experience from Hong Kong

Edward Ng and Chao Ren

Chinese University of Hong Kong

Lutz Katzschner

University of Kassel

Hong Kong is located on China’s south coast and situated in a sub-

tropical climate region with hot and humid summers. As a high-den-

sity city with a population of 7.3 million living on 25 square kilometers

of land, Hong Kong has a hilly topography and 40% of the territory is

classied as country-park, where development is prohibited; hence

only about 25% is built-up. Due to limited land area and increas-

ing land prices, taller and bulkier buildings with higher building

plot ratios, very limited open space, large podium structures, and

high building-height-to-street ratios have been built. These tall and

wall-like buildings in the urban areas block the incoming wind and

sea breezes. This leads to a worsening of urban air ventilation and

exacerbates the city’s urban heat island (UHI) intensity. The num-

ber of very hot days (maximum air temperature greater than 33°C)

and very hot nights (maximum air temperature greater than 28°C)

has increased, whereas the mean wind speeds recorded in urban

areas over the past 10 years have decreased. This intensies uncom-

fortable urban living, heat stress, and related health problems and

increases energy consumption.

The Hong Kong Observatory has conducted studies that note

that Hong Kong’s urban temperature has been increasing over the

decades (Leung et al., 2004). Good urban air ventilation is an effective

adaptation measure for the UHI effect and rising temperatures under

climate change. However, Hong Kong’s urban wind environment is

deteriorating due to intensive urban development that increases the

surface roughness and blocks the free ow of air, leading to weaker

urban air ventilation and higher urban thermal heat stress. Higher air

temperatures and a higher occurrence and longer duration of heat

waves will have a severe impact on urban living; therefore, there is

a need to plan and design the city to optimize urban climatic con-

ditions and urban air ventilation based on a better understanding of

the UHI phenomenon and the urban climate to reduce the impact of

urban climate and climate change.

The Planning Department of the Hong Kong SAR Government pro-

duces the Hong Kong Urban Climatic Map System (PlanD, 2012) to

provide an evidence-based tool for planning and decision making.

Keywords Heat island effect, high density,

urban climatic map, ventilation

corridors, planning and design

Population

(Metropolitan Region)

7,310,000 (GovHK, 2016)

Area

(Metropolitan Region)

1,105.7 km

(GovHK, 2016)

Income per capita US$60,530 (World Bank, 2017)

Climate zone Cwa – Monsoon-inuenced humid

subtropical, hot summer

(Peel et al., 2007)

Case Study 5.3 Figure 1 The Urban Climatic (Planning Recommendation) Map of Hong Kong.

Source: Hong Kong Planning Department, HKSAR Government

ARC3.2 Climate Change and Cities

158

The Urban Climatic (Planning Recommendation) Map classies

Hong Kong’s urban and rural areas into ve planning recommenda-

tion zones. General planning advice is given for each zone. Detailed

advice is contained in the map’s accompanying notes.

Based on a scientic understanding of the Hong Kong Urban

Climatic Maps, future planning scenarios may be tested and effec-

tive adaptation measures (including advice on building density, site

coverage, building height, building permeability, and greening) may

be developed (PlanD, 2012). Prescriptive guidelines and perfor-

mance-based methodologies in the Hong Kong Urban Climatic Map

System provide further quantication. With a better understanding

of urban climate, planners can balance various planning needs and

requirements when making their nal decisions.

Based on an understanding of the Urban Climatic Maps, the follow-

ing planning and design measures should thus be taken into account

in project planning and in the formulation of development param-

eters. They could help improve the urban climate and reduce the

impact of climate change:

The UC-ReMap provides a strategic and comprehensive urban cli-

matic planning framework and information platform for Hong Kong

that can be also applied to other high-density cities. It helps to

clarify and identify appropriate planning and design measures for

the formulation of planning guidelines on matters related to urban

climate and climate change, and it provides a strategic urban plan-

ning and development process for future development (e.g., max-

imizing the adaptation opportunities within urban climate planning

zones (UCPZs) 3, 4, and 5) and accommodating comprehensive

new development areas in UCPZ 2 with prudent planning and

building design measures (PlanD, 2012). It also provides an urban

climatic planning framework for reviewing outline zoning plans and

formulating suitable planning parameters.

Case Study 5.3 Table 1 Planning and design measures to be taken into

account in project planning.

Planning

parameters Recommendations

Building volume Site plot ratio of 5 or less. Higher plot area

must be adapted using other planning

parameters.

Building

permeability

25–33% of the project site’s frontal

elevation. Lower permeability must be

adapted using other planning parameters.

Building site

coverage

70% of the site area. Higher site coverage

must be adapted using other planning

parameters.

Air paths and

breezeways

Open spaces must be linked with

landscaped pedestrianized streets from

one end of the city to the other end in the

direction of the prevailing wind.

Building heights Vary building heights so that there is a

mixture of building heights in the area with

an average aggregated differential of 50%.

Greenery 20–30% of tree planting preferably at

grade, or essentially in a position less than

20m from the ground level. Trees with large

canopy and a leaf area index of more than 6

are preferred.

(a) (b)

Case Study 5.3 Figure 2 Building volume density study of the area (left); open spaces (blue) and air paths (red lines) suggested for the area (right),

Hong Kong.

Chapter 5 Urban Planning and Urban Design

159

Case Study 5.4 An Emerging Clean-Technology City: Masdar, Abu Dhabi,

United Arab Emirates

Gerard Evenden, David Nelson,

Irene Gallou

Foster + Partners, London

Keywords Carbon-free technologies, nearly-

zero energy buildings, microclimate

comfort, planning and design

Population

(Metropolitan Region)

1,179,000 (UN, 2016)

Area

(Metropolitan Region)

803 km

(Demographia, 2016)

Income per capita US$72,850 (World Bank, 2017)

Climate zone Bwh – Arid, desert, hot

(Peel et al., 2007)

Masdar City is an emerging clean-technology cluster located in what

aims to be one of the world’s most sustainable urban developments

progress. Located about 17 kilometers from downtown Abu Dhabi, the

area is intended to host companies, researchers, and academics from

across the globe, creating an international hub focused on renewable

energy and clean technologies. The master plan is designed to be

highly exible, to benet from emergent technologies, and to respond

to lessons learned during the implementation of the initial phases.

Expansion has been anticipated from the outset, allowing for growth

while avoiding the sprawl that besets so many cities (Bullis, 2009;

Manghnani and Bajaj, 2014).

The aim of a new development settlement characterized by

a comfortable living environment in such an extreme desert

climate required the implementation of adaptive design strategies to

effectively respond to issues related to scarcity of precipitation, sea-

sonal drought, high temperatures, and wide daily temperature range.

The carbon-free new development sets new standards for climate

change mitigation in arid countries through the adoption of nearly

zero energy standards and building-integrated energy production

from renewable sources.

The design concept explores the adoption of sustainable technolo-

gies and planning principles of traditional Arab settlements combined

with contemporary city spatial-functional needs and state-of-the-art

technological solutions to develop a carbon-neutral and zero-waste

community despite the extreme climatic conditions. The quest for

a mixed-use, low-rise, and high-density development, entirely car-

free, with a combination of personal and public transit systems and

pedestrian areas, is achieved through an extensive use of traditional

solutions such as narrow streets and optimal orientation; shaded

windows; exterior walls and walkways to control solar radiation;

thick-walled buildings to maximize thermal mass and reduce energy

consumption; courtyards and wind towers for natural ventilation; and

Case Study 5.4 Figure 1 Masdar, Carbon-Neutral Development Case Study: Abu Dhabi, UAE.

Source: Foster + Partners

ARC3.2 Climate Change and Cities

160

vegetation design with optimized water management to improve the

local micro-climatic conditions of open spaces.

The northeast-southwest orientation of the city makes best use

of the cooling night breezes and lessens the effect of hot daytime

winds. Green parks separate built-up areas, not only to capture and

direct cool breezes into the heart of the city, but also to reduce solar

gain and provide cool pleasant oases throughout the city. The intelli-

gent design of residential and commercial spaces, based on building

standards currently set by internationally recognized organizations,

reduces demand for articial lighting and air conditioning. Such

standards, adapted to the local climatic context, contributed to the

development of Abu Dhabi’s “Estidama” rating system for sustain-

able building (Abu Dhabi Estidama Program, 2008).

Carefully planned landscape and water features lower ambient tem-

peratures while enhancing the quality of the street. The elimination

of cars and trucks at street level not only makes the air cleaner for

pedestrians, but also allows buildings to be closer together, provid-

ing more shade but allowing maximum natural light. The placement

of residential, recreational, civic, leisure, retail, commercial, and light

industrial areas across the master plan, along with the public trans-

portation networks, ensures that the city is pedestrian friendly and a

pleasant and convenient place in which to live and work.

Case Study 5.4 Figure 2 Masdar wind tower.

Source: Foster + Partners

(a) (b)

Case Study 5.4 Figure 3 Thermal imaging comparing streetscapes in Abu Dhabi and Masdar City.

Source: Foster + Partners

Chapter 5 Urban Planning and Urban Design

161

dual denition of water as both resource and hazard (see Chapter

9, Coastal Zones). In the framework of urban design and plan-

ning, managing water as a resource addresses environmental

quality and microclimate conditions of urban spaces, availability

of water, rebalancing of ecosystem exchange, and the hydrolog-

ical cycle in buildings and open spaces (ARUP, 2011). When

considering water as a hazard, design should focus on the control

of water discharge through runoff management and inltration

measures able to achieve wastewater retention and employing a

decentralized sewage system.

Best practices of adaptation-driven urban policies worldwide

provide signicant examples of how the paradigm shift toward

water-sensitive and water-resilient cities allows for the implemen-

tation of an integrated approach that combines risk prevention with

a regeneration of urban fabric driven by adaptive design solutions

(Kazmierczak and Carter, 2010). The Sydney Water Sensitive

Urban Design (WSUD) Program and the post-Sandy “Rebuild by

Design” initiatives in New York demonstrate such practices.

Recirculation of water on site is among the main concepts

of a water-sensitive approach to urban design and planning.

It represents a key priority for enhancing water resilience and

requires an integrated set of complementary measures, including

decentralization of water discharge, harvesting and recycling,

draining, and vegetated surfaces, thus improving urban micro-

climate and ood prevention.

Evaporative cooling processes, fostered by the development

of green spaces in cities, allow for sustainable management

of the water cycle and a reduction of the UHI effect. Building

greening measures (sustainable roofs and vegetative facades)

reduce the amount of water owing into sewage systems, mit-

igate temperature extremes, provide thermal insulation, and

increase biodiversity in urban areas (Ciria, 2007b; Schimdt et

al., 2009; Nolde et al., 2007, Steffan et al., 2010; UNEP, 2012).

Green street scapes, including the use of permeable paving, pro-

vide shade and reduce thermal radiation.

Greening and permeable paving, as elements of storm- water

management, have the potential to retain water that is then

evaporated while delaying and reducing runoff (Scholz and

Grabowiecki, 2007). Such a design approach for urban open

spaces is strengthened by the integration of sustainable drainage

Wind towers, which can be found on both sides of the Arabic Gulf,

are a traditional form of enhancing thermal comfort within the court-

yard houses of the region. Masdar is exploring the possibility of using

the principle to passively ventilate undercroft spaces and the pub-

lic realm, thereby reducing the demand for mechanical ventilation

systems.

Urban devices from local vernacular architecture – such as colon-

nades, wind towers, green canopies, and fountains – can bring the

felt temperature down by 20 degrees compared to open desert.

Cumulatively, all of these design principles have the effect of pro-

longing the moderate season in the city.

The land surrounding the city will contain wind and photovol-

taic farms, as well as research elds and plantations, allowing the

community to be entirely energy self-sufcient (Foster+Partners,

2009).

The design process has been based on studies and simulations

of energy and thermal comfort, solar and wind analysis, material

heat gain, and thermal imaging. Field measurement studies (Case

Study 5.4 Figures 3 and 4) have been conducted to assess the

microclimatic performance of spaces in Masdar City. Infrared ther-

mal imaging was used in addition to hand-held equipment to track

variations in temperature in urban spaces and then compared

them to similar urban spaces in central Abu Dhabi and the des-

ert. The comparisons of images show the superior performance of

Masdar City due to the shade provided by built form, correct use of

materials, natural ventilation, and evaporative cooling strategies.

(a) (b)

Case Study 5.4 Figure 4 Masdar ﬁeld studies in the desert.

Source: Foster + Partners

ARC3.2 Climate Change and Cities

162

systems (SuDS). This is a set of measures aimed at retaining

and inltrating storm water (bio-swales, rain gardens, retention

basins, bio-lakes, wetlands, rainwater harvesting systems). This

allows for the control of water discharge and reduces ood risk

(Ciria, 2007a, 2010; Charlesworth, 2010; Poleto, 2012) (see

Chapter 14, Urban Ecosystems).

The location and form of green infrastructure should be deter-

mined in relation to the built environment and aligned in relation

to natural systems, including water bodies, solar impacts, and

prevailing winds. A network of local microclimates can com-

prise small green spaces, planted courtyards, shaded areas, and

“urban forests” to moderate temperature, as demonstrated in the

Manchester, United Kingdom, Case Study. Vegetation should be

sited to maximize the absorption rate of solar radiation. Localized

water bodies can moderate temperature extremes through their

high thermal storage capacity and through evaporative cooling.

5.5 Steps to Implementation

A planning and design approach to urban climate intervention

should follow a four-phase approach: climate analysis mapping,

public space evaluation, planning and design intervention, and

post-intervention evaluation (see Figure 5.14).

5.5.1 Climate Analysis and Mapping

Considering climate in urban planning and urban design, the

rst step is to understand large-scale climatic conditions and

individual inner-city local climates, including their reciprocal

interactions (see Figure 5.14). Considerations include:

• Regional occurrence and frequency of air masses exchange

(ventilation) and their frequencies;

• Seasonal occurrence of the thermal and air quality effects of

urban climate (stress areas, insolation rates, shading conditions);

• Regional presentation and evaluation of the impact area and

stress areas; and

• Energy optimization of location based on urban climate anal-

ysis with regard to areas with heat load, cooler air areas, and

building density.

One also has to address sectoral planning (see Table 5.1).

Climate analyses and maps provide a critical rst step in iden-

tifying urban zones subject to the greatest impacts associated

with rising temperatures, increasing precipitation, and extreme

weather events (see Figure 5.14). A climate analysis map may

be developed in consecutive steps on the basis of spatial ref-

erence data. The spatial resolution is tailored to the planning

level (see Table 5.1). Commonly employed climate analysis

maps include urban heat hotspot and ood zone maps rou-

tinely employed in urban planning applications. Geographical

Information System (GIS) layers include topographical infor-

mation, buildings, roughness and greenery needed to create an

urban climate map (see Figure 5.14).

5.5.2 Evaluation of Public Space

Urban climate is an essential part of urban planning eval-

uation. Urban climate maps are increasingly used in the plan-

ning process for urban development as well as for open space

design. The public should be involved at all stages through the

Table 5.1 Meteorological scales for planning. Source: Lutz Katzschner

Instruments and Plans

Scale, Spatial

Resolution of Maps

Climate Analysis Components

(Air Quality and Human Biometeorology)

Regional

Planning

Regional Land-Use Plan 1:50,000 to 1:

100,000 ≥100m

Meso-scale climate

Comprehensive pollution control maps

Thermal stress areas (overhead areas)

Ventilation lanes

Cool air production areas

Planning recommendation map

Urban

Planning

Land-Use

Preliminary Urban Land

Planning:

Land-use plan

1:5000 to 1:25,000,

25m to 100m

Meso-scale climate

Area-related ambient air quality maps

Air exchange

Thermal stress areas (overheated areas)

Planning recommendation map

Mandatory Urban Land

Planning:

Local development plan

Planning permission and

procedure

≤ (1:1000), 2m to

10m

Micro-scale climate

Local ambient quality calculations for “most severely affected areas”

Neighborhood considerations

Air exchange

Human bio-meteorological suitability tests for “highly relevant areas”

Planning recommendation map

Chapter 5 Urban Planning and Urban Design

163

use of interactive geographical information systems and/or sur-

veys that help citizens foresee potential land-use changes (see

Figure 5.14). This is enabled by climatic evaluation through

spatial and temporal quantitative descriptions and specications.

At the regional level, areas worth protecting by virtue of their

climatic functions, e.g., areas of heat load, fresh air supply, and

ventilation pathways, are identied as key targets for planning

measures.

5.5.3 Planning and Design Interventions

The task of planning and designing interventions relevant to

urban climatology is to improve thermal conditions and air qual-

ity (see Figure 5.14):

• Reduction of UHIs (heat islands being an indication of ther-

mal comfort/discomfort) through open space planning

• Optimization of urban ventilation via air exchange and wind

corridors

• Prevention of stagnating air in stationary temperature inver-

sion conditions by eliminating barriers to air exchange

• Maintenance and promotion of fresh air or cool air genera-

tion areas to further air exchange and improve air quality

Regional specications may include sustaining cool air or

fresh air generation areas (slopes) or ventilation lanes and tak-

ing into consideration building orientation, building height,

and density of development. Such specications may be imple-

mented according to building codes in urban land-use planning.

In addition, mandatory regulations for areas designated as open

spaces due to urban climate analyses are possible in the zoning

plan. Regulations at the regional level should also be reviewed.

Climatic concerns are thus considered in regional as well as city

planning.

5.5.4 Post-Intervention Evaluation

Field measurement studies (see Case Study 5.4) should be

conducted to assess the microclimatic performance of the urban

design and planning intervention (see Figure 5.14). Infrared

thermal imaging and/or population surveys can be undertaken

to assess temperature variations compared to conditions prior to

intervention. Climate-resilient strategies can have the effect of

prolonging moderate temperatures with associated benets to

public health and energy savings.

5.6 Stakeholders and Public Engagement

Building resilient urban environments through integrated mit-

igation and adaptation approaches requires a strong framework

for ongoing engagement with a broad range of stakeholders –

households, regional communities, and local and national tiers

of government, as well as academia, private businesses, health

care providers, and civil society organizations – that make up the

urban landscape.

Figure 5.14 Urban climate planning and design process.

Source: Jeffrey Raven, 2016

ARC3.2 Climate Change and Cities

164

Figure 5.15 Urban design intervention – future climate scenario.

Source: Urban Climate Lab, Graduate Program in Urban & Regional Design, New York Institute of Technology with Klimaat Consulting, 2014

Public engagement is as much about discourse as it is about

design. From an urban planning and urban design perspective,

community engagement and public participation are essential

for operationalizing any policy, program, or intervention and

offer many tangible and intangible benets. Despite the poten-

tial obstacles for developing and carrying out a successful

public outreach process, the absence of a robust stakeholder

engagement process has many higher costs and ramica-

tions. For instance, it can result in the development of locally

inappropriate solutions, increased conict and tension between

community groups, absence of a shared vision for the future,

“rebound effect” (whereby appropriate solutions are not appro-

priately used due to lack of community awareness), and, ulti-

mately, lack of preparedness and resiliency. Alternatively,

structured conversations can facilitate participation, knowledge

exchanges, shared decision-making, and ultimately, resiliency

actions. While the process can often be messy and contentious

because each group is pursuing different goals and interests,

Chapter 5 Urban Planning and Urban Design

165

a robust public engagement process with genuine stakeholder

participation and partnerships can ensure the sustained, inclu-

sive, and meaningful transformation of regulations, built envi-

ronments, and society (Kloprogge and Van Der Sluijs, 2006).

Community-led and place-based initiatives recognize and

leverage local knowledge and expertise. Top-down or expert-

driven outreach processes that lack genuine grassroots organiz-

ing and leave little opportunity for community-led initiatives can

act as a barrier to an effective public outreach campaign. Civic

engagement is often driven in an expert-dominated and exclu-

sive manner (Velazquez et al., 2005). Participatory actions on

the ground can be undermined or even neutralized by govern-

ing institutions’ lack of willingness to change (Warburton and

Yoshimura, 2005). These attitudes may lead to local resistance

to implementing identied solutions. More functionally, simple,

clear, and comprehensive resources must be readily available to

the public in order to increase knowledge and awareness.

Even if decision-makers are actively seeking to develop gen-

uine engagement and partnerships with stakeholders, an abun-

dance of confusing and contradictory resources can serve as

a barrier to robust engagement. Stakeholders and inhabitants

must be provided tailored resources with clear and easy steps on

how best to contribute to developing integrated mitigation and

adaptation solutions for their communities. This not only helps

ensure that integrated mitigation and adaptation solutions are

appropriate for the local context (i.e., a good “t” for the com-

munity and/or city), but also serves to empower communities

and strengthen the relationships among government, the private

sector, and citizens.

Public engagement is a means of ensuring the diverse needs

of communities, particularly those of the most vulnerable

groups, including populations with disabilities or chronic health

conditions; seniors and children; those socially isolated, histor-

ically underrepresented, or otherwise marginalized; and people

living below the poverty line. It is vital that these populations are

integrated into the decision-making process and solutions (see

Chapter 6, Equity and Environmental Justice).

Genuine and sustained stakeholder participation (as opposed

to simply assessing opinions or asking for rubber-stamp approval

on already-made plans) can draw out disagreements early, pro-

vide opportunities to work through different scenarios, and move

plans toward a shared vision, thereby actually saving time, money,

and political will. In order for stakeholders to be more commit-

ted, decision-makers and experts need to identify joint solutions

that break down institutional and disciplinary silos. Urban gover-

nance can facilitate a robust civic participation process that cre-

ates mechanisms for systematic learning and capacity-building in

communities as well as a transparent and open system in which

responsibilities and accountabilities are clearly dened at the local

level (see Chapter 6, Urban Governance). The dynamic and vari-

able conditions that climate change introduces call for a robust

stakeholder engagement process to help ensure integrated miti-

gation and adaptation responses are not simply implemented as

one-off, discrete protection measures, but rather are incrementally

adjusted and become part of the mechanisms for systematic learn-

ing, engagement, and transformation in a community. Community

engagement offers decision-makers an opportunity to prototype

a wider range of innovative solutions by creatively brainstorm-

ing, testing, and iterating. Despite focus by decision-makers on

formal planned responses, most adaptation responses are actually

carried out informally by individuals, households, and organiza-

tions. Therefore, communities that have been provided with infor-

mation and resources and that possess increased knowledge about

complex climate challenges and the integrated mitigation and

adaptation solutions needed to adequately address them will more

likely be willing to adopt resilient practices and policies (Yohe and

Leichenko, 2010).

Although physical interventions often provide protection from

only a single hazard or risk, communities that are integrated into the

mitigation and adaptation planning process increase their capacity

to prepare for, withstand, and recover from a wider range of cli-

mate-related disasters (not just a single hazard) as well as every-

day challenges that span health, income, and equity considerations.

Given that most cities have pre-existing vulnerabilities and that the

potential for institutional and/or systems failures is ever-present,

iterative, exible, and redundant responses are needed to build

ongoing capacity for adaptation. In other words, a robust stake-

holder outreach process can yield benets beyond simply helping

to implement policies and instead offer opportunities for improved

quality of life, public health, and equity.

The role of local authorities in the public engagement pro-

cess is evolving as integrated mitigation and adaptation and

sustainable urban development goals become a more signi-

cant priority for urban residents (Kloprogge and Van Der Sluijs,

2006). Local authorities must help facilitate and negotiate com-

peting interests between urban challenges (sprawl, fragmenta-

tion of spaces, complexity of scales), social necessities (health,

education, employment, culture, access to basic services), and

environmental concerns (GHG emissions, ecosystems protec-

tion, resource management, and conservation) (Broto, 2017).

Local decision-makers can use a range of urban planning and

urban design tools to overcome the obstacles to engaging the

public. There are different levels of local participation (Donzelot,

2009). The lowest level is the simple distribution of information

to inhabitants, whereas the highest level is direct engagement of

communities to share decision-making and prioritize the results

of consultations (Donzelot, 2009). For example, charrettes, an

intense, multiday design exercise with the community, are com-

monly used in urban planning and design projects to engage the

community to help create a plan for a particular site, area, or

neighborhood.

The private sector is also at the forefront of eco-innova-

tion systems to develop more sustainable cities (see Chapter 7,

Economics, Finance, and the Private Sector). Examples include

smarter solutions for energy efciency and energy provision,

development of renewable energy like geothermal systems,

ARC3.2 Climate Change and Cities

166

braking energy recovery from light rail systems, energy smart

grids, and solutions to improve intermodal transport.

Although public engagement is a critical and necessary step

for scaling integrated mitigation and adaptation solutions, there

are real challenges that can inhibit ongoing engagement and, ulti-

mately, action. As Bai et al. (2010) suggest, there is frequently an

inherent temporal (“not in my term”), spatial (“not in my patch”),

and institutional (“not my business”)-scale mismatch between

urban decision-making and global environmental concerns. Also,

the involvement of stakeholders requires a general level of trust and

cooperation (Tilly, 2005). A complication lies in the fact that deci-

sion-makers must often act as referees to solve potential conicts

and facilitate negotiations. However, to create consensus, promote

cooperation, and move toward an equitable environmental man-

agement process, an intimate understanding of the motivations and

drivers of the different stakeholder groups is needed (Schaltegger,

2003). Lack of transparency between the public and the private

sectors can be a key obstacle to reaching consensus among differ-

ent stakeholders. Stakeholders need to know who is accountable

for the local decisions on sustainability and climate solutions and

how they can contribute to the decision-making process.

5.7 Sector Linkages

There is a growing consensus around integrating urban planning

and urban design, climate science, and policy to bring about

desirable microclimates within compact, pedestrian-friendly built

environments. However, there remains much work to do to bridge

the gaps in tools, methods, and language between the scientic,

design, and policy-making communities. Conveying a compelling

investment/payback narrative also remains a challenge for setting

priorities with stakeholder groups. Ad hoc, disconnected approaches

fail to exploit synergies between professional practitioners,

and departments within government administrations are often

insufciently coordinated to capitalize on cross-disciplinary

actions. Silos of expertise are difcult to harness over the long-term

due to different departmental missions. A central challenge remains

the poor interdisciplinary connections between the various policy

experts, technical specialists, and urban planners/urban designers.

The absence of objective evaluation methodologies in the practice

of climate-resilient urban design illustrates this divergence, as does

the lack of a common interdisciplinary methodology for addressing

various spatial scales (Odeleye et al., 2008). For example, urban

climatology research produces sophisticated but theoretical results

that resist easy integration with empirical, design-oriented ndings

of urban design (Ali-Toudert et al., 2005).

Although experts in sustainable buildings and ecological foot-

prints are familiar with sustainability metrics to measure prog-

ress, the absence of objective evaluation of urban morphology

across spatial scales is a challenge in the urban design profes-

sion. In a recent survey on sustainability methods and indicators

in three built-environment professions in the United Kingdom

(planning, urban design, and architecture), sustainability guid-

ance documents had not led to a range of formal, systemic, or

morphological sustainability indicators in the urban design sec-

tor – instead continuing to emphasize “place-making” and the

quality/vitality of the public realm (Odeleye et al., 2008).

Although there has been extensive research on the UHI effect,

the relationship between urban geometry and thermal comfort is

by far less well understood and the numbers of studies are very

few (Ali-Toudert et al., 2005). Traditional urban design tools

must be rened and expanded to serve climate-resilient urban

design.

From parcel and neighborhood scale to municipal and regional

scale, a discontinuity of policy between scales challenges the pub-

lic’s understanding of holistic urban form. Consideration needs to

be given to how regional decisions may affect neighborhoods or

individual parcels and vice versa, and few tools have been devel-

oped to assess conditions in the urban environment at city block

or neighborhood scale (Brophy et al., 2000; Miller et al., 2008).

For urban areas, the key is a coordinated response that

addresses issues simultaneously rather than individually. For

example, an important concern underlying natural ventilation is

air quality, which means that transport management and building

microclimate need to be linked. Whereas one of the most effec-

tive passive ventilation strategies is to introduce cooler night air

to the perimeters of buildings, excessive pollution from nearby

vehicles and industry often undermines this strategy in compact

communities. This anthropogenic pollution is exacerbated by

lack of space for air movement, resulting in insufcient ground-

level air movement to disperse pollutants (Odeleye, 2008). The

totality of the environment – including noise, activity, climate,

and pollution – affects human health and well-being.

For compact development, proximity is the principal goal.

Proximity requires integrating infrastructure, housing, and sus-

tainable development into land-use planning to reduce the car-

bon footprint through compact development patterns. At the

urban scale, a comprehensive approach to transportation from

the perspective of sustainable development requires a holistic

view of planning (see Chapter 13, Urban Transportation). The

challenge remains to establish national frameworks and policies

for integrated mitigation and adaptation to address sustainable

development that encourages all sectors to coordinate and inte-

grate their activities (Hall, 2006) (see Chapter 16, Governance

and Policy).

5.8 Knowledge Gaps and Future Research

Urban areas alter their regional climates by adjusting the

overlying airshed. A substantial number of observational stud-

ies across the world have illustrated the prevalence of warmer

and drier conditions within cities, degraded air quality regimes,

and altered hydrological patterns resulting from impacts on pre-

cipitation and changes in drainage associated with increased

impervious cover. Advances in the physical understanding of

the urban climate system together with progress in computing

Chapter 5 Urban Planning and Urban Design

167

technologies has enabled the development and renement of

complex process-based models that characterize urban areas and

their interaction with the overlying atmosphere in a mathemat-

ical framework (Chen et al., 2011). Such process-based models

have considerable planning and design utility and are increas-

ingly applied to examine the impact of urban expansion and of

commonly proposed urban adaptation strategies to a long-term

globally changing climate (Georgescu et al., 2014).

To support utility for the planning and design process of cities,

such process-based models require two important improvements.

The spatial extent and morphology of urban areas remain sim-

plistic in contemporary modeling approaches (Chen et al., 2011).

The nature of this representation is assumed to vary by urban land

use and land cover, which is conditional on the density of urban

structures. However, implied in this assumption is that a diver-

sity of key morphological characteristics (e.g., sky view factor)

within a particular urban cover (e.g., high-density residential)

is nonexistent, an important condition that presents limitations

for place-based planning and design decisions. Therefore, the

realistically heterogeneous representation of cities within cur-

rent modeling frameworks remains an important but as-yet unre-

alized objective. How effective landscape conguration can be

as an adaptive strategy has only recently become a ripe area of

research in climate modeling (Connors et al., 2013; Rosenzweig

et al., 2014).

Waste heat resulting from energy use within cities (primarily

from building heating, ventilation, and air conditioning [HVAC]

systems) is also only crudely accounted for in current representa-

tions (Sailor, 2011). There does not yet exist a database of waste

heat proles for modeling applications for a diverse set of cities,

and although efforts are under way to develop spatially explicit

and time-varying heating proles, such datasets remain absent

for most urban areas (Chow et al., 2014). In regard to energy use,

suburbs in the United States account for roughly 50% of the total

domestic household carbon footprint due to longer commutes

(Jones and Kammen 2014).

Such concerns highlight the importance of future cooperation

between urban climatologists, planners, urban designers and

architects. A key asset of process-based urban climate model-

ing frameworks is their ability to offer insights by examining

the adaptive capacity of “what-if” growth scenarios and growth

management strategies to inform the planning and design pro-

cess prior to incipient stages of development.

Other major knowledge gaps concern the GHG emissions of

different cities and the association between GHG emissions and

different urban forms. The IPCC AR5 highlights the importance

of the next several decades for inuencing low-carbon urbaniza-

tion. It is essential to develop urban GHG emission inventories

and experiment with alternative urbanization patterns that facil-

itate low-carbon urban development. This is crucially related

to medium-sized cities in developing counties such as China

and India, which are expected to accommodate the majority of

expected urban population growth.

The impacts of medium-sized cities on the climate at urban,

regional, and global scales is a topic of considerable debate, but

their comparatively small size poses a conundrum for research-

ers: how do we acquire and incorporate the relevant information

into global understanding? Much research has focused on map-

ping these urban centers using demographic and administrative

information often supplemented by remote sensing. However,

these data provide little information on the internal makeup of

cities, which is crucially important for understanding their GHG

emissions and vulnerabilities. The absence of such information

inhibits international comparisons, knowledge transfer, and

effective integrated mitigation and adaptation.

5.9 Conclusions

This chapter has endorsed the concept of integrated mitiga-

tion and adaptation: climate management activities designed to

reduce global GHG emissions while producing regional benets

related to urban heat, ooding, and other extremes.

Cities shaped by integrated mitigation and adaptation

principles can reduce energy consumption in the built

environment, strengthen community adaptability to climate

change, and enhance the quality of the public realm.

Through energy-efcient planning and urban design,

compact morphology can work synergistically with high-

performance construction and landscape conguration to create

interconnected, protective, and attractive microclimates. The

long-term benets are also signicant, ranging from economic

savings through lowered energy consumption to the improved

ability of communities to thrive despite climate-related impacts

(Raven, 2011). A community’s capacity to cope with adversity,

adapt to future challenges, and transform in anticipation of

future crises yields greater social resilience with particularly

positive benets for poor and marginalized populations (Keck

and Sakdapolrak, 2013).

Annex 5.1 Stakeholder Engagement

The contributors to the ARC3.2 chapter on Urban Planning

and Urban Design engaged stakeholder groups and experts

throughout the chapter production process, with specic forums

in Asia, Europe, and the United States. The International

Conference on Urban Climate (ICUC9), held in Toulouse,

France, in July 2015, is an international forum for global urban

climatologists. Chapter Coordinating Lead Authors (CLAs),

Lead Authors, Contributing Authors, and Case Study Authors

participated in the conference, including Gerald Mills, Lutz

Katzschner, Matei Georgescu, and Jeffrey Raven. The Chapter

Key Findings and Major Messages were presented by the chap-

ter CLA at the launch of the Urban Climate Change Research

Network (UCCRN) European Hub, in partnership with the

Centre National de la Recherche Scientique, the Pierre and

Marie Curie University, and l’Atelier International du Grand

Paris launched in Paris, July 2015.

ARC3.2 Climate Change and Cities

168

At the ARC3.2 Midterm Authors Workshop in London, in

September 2014, which was attended by key chapter stakehold-

ers, the Coordinating Lead Author and Lead Authors cong-

ured the scientic basis for the chapter’s Major Messages and

Key Findings. The chapter CLA presented Major Messages and

Key Findings at Beijing University for Civil Engineering and

Architecture (BUCEA) and Tongji University in Shanghai, in

October 2014.

The 4th China–Europa Forum in Paris was held in

December 2014, focusing on the theme “Facing Climate

Change: Rethinking Our Global Development Model,” in

preparation for the UN FCCC Conference of the Parties

(COP21) in Paris 2015. It brought together more than 300

participants through two plenary sessions and three round

tables as well as twelve thematic workshops. As part of the

conference, at the Project EAST workshop with lead author

Pascaline Gaborit in Brussels, the Chapter CLA presented

ARC3.2 key scientic ndings and other research ndings.

At the closing plenary held on December 5 at the Town Hall

of the 4th Arrondissement of Paris, ARC3.2 CLA Raven pre-

sented the ARC3.2 draft Major Messages. This included the

most relevant points in the ARC3.2 chapter that will guide

urban decision-makers.

At the New York City Department of City Planning, the

ARC3 draft chapter Key Findings and Major Messages were

presented to experts in the city government. Co-presenters

included ARC3.2 lead author Gerald Mills, CLA Jeffrey

Raven, and the President of the American Institute of Architects

(AIANY). The ARC3.2-based presentation provided an oper-

ational framework, Case Studies, and a policy framework for

NYC municipal government. The chapter CLA and editor

introduced draft chapter Key Findings in discussions during the

National Science Foundation Research Coordination Network

project. The chapter CLA presented chapter Key Findings to

climate and health experts at the Center for Disease Control

in Atlanta, July 2014. The chapter CLA presented chapter Key

Findings at the American Institute of Architects Dialogues on

the Edge of Practice, February 2015, and presented ARC3.2

chapter Key Findings and Major Messages at the Center for

Architecture in NYC, April 2015. Lead author Brian Stone and

CLA Raven presented climate- resilient urban planning and

urban design research related to the ARC3.2 chapter at the New

York conference Extreme Heat: Hot Cities, November 2015.

The chapter’s Key Findings and Major Messages was pre-

sented by the CLA at the New York Institute of Technology-

Peking University Sustainable Megacities conference in Beijing,

China in October 2015. A Critical Climate Change Debrief:

COP21 Paris Conference was held at the Center for Architecture

in New York, January 2016, where chapter CLA Jeffrey Raven

presented how ARC3.2 strategies were tested in a Paris district

during COP21, in collaboration with lead authors Gerald Mills

and Mattia Leone.

The ARC3.2 Urban Planning and Urban Design chapter

abstract was presented at the Design Solutions for Climate Change

in Urban Areas conference in Naples, Italy, in July 2016. Jeffrey

Raven (CLA), and Lead Author Mattia Leone each led sessions

during the conference. Joining them in presenting ARC3.2’s

integrated cross-disciplinary framework was Chantal Pacteau

who is Coordinating Lead Author of the ARC3.2 Mitigation and

Adaptation chapter and Co-Director of the UCCRN European

Hub. Jeffrey Raven (CLA) presented ARC3.2 urban plan-

ning and urban design research-action at the National Science

Foundation Workshop, International Conference on Sustainable

Infrastructure (ICSI), Shenzhen, China, in October 2016.

5 Urban Planning and Urban Design

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