Issue 10, 2013 Journal of Civil Engineering and Architecture

Journal of Civil Engineering
and Architecture
Volume 7, Number 10, October 2013 (Serial Number 71)
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Jour nal of Ci vi l Engi neeri ng
and Archi t ect ure

Volume 7, Number 10, October 2013 (Serial Number 71)

Contents
Housing and Urban Design
1189 Prices of Apartments in Relation to Noise Level in Poland
Kinga Szopiska and Magorzata Krajewska
1196 Historicity: Preservation or Revitalization Planning Tools?
Mariana Seara Paixo, Antnio Ricardo da Costa and Jorge Gonalves
1203 Study on Emphases and Trend of Tianjin Urban Public Safety Planning from the View of Bohai
Rim Megalopolis
Gong Yuan, Xiao Yu and Lu Li
1209 Improving Conviviality in Public Places: The Case of Naples, Italy
Gabriella Esposito de Vita, Carmelina Bevilacqua and Claudia Trillo
1220 Design Drivers for Affordable and Sustainable Housing in Developing Countries
John Bruen, Karim Hadjri and Jason von Meding
1229 Investigation of Bed Joint Reinforcement Influence on Mechanical Properties of Masonry under
Compression
Lukasz Drobiec
1240 Evaluating the Effectiveness of Best Management Practices in Gilgel Gibe Basin
WatershedEthiopia
Tamene Adugna Demissie, Fokke Saathoff, Yilma Seleshi and Alemayehu Gebissa
Geotechnical Engineering
1253 Performance of a Nonwoven Geotextile Reinforced Wall with Unsaturated Fine Backfill Soil
Fernando Henrique Martins Portelinha, Benedito de Souza Bueno and Jorge Gabriel Zornberg
1260 Models and Optimization of Rice Husk Ash-Clay Soil Stabilization
Iloeje Amechi Francis and Aniago Venantus

Geodesy Applications
1267 Gully Erosion Study and Control: A Case Study of Queen Ede Gully in Benin City
Jacob O. Ehiorobo and Roland O. Ogirigbo
1279 Analysis of the Antennas Setup Errors at the Global Navigation Satellite System Measurements
Evangelia Lambrou
1287 Evaluating Land Surface Changes of Makassar City Using DInSAR and Landsat Thematic
Mapper Images
Ilham Alimuddin, Luhur Bayuaji, Rohaya Langkoke, Josaphat Tetuko Sri Sumantyo and Hiroaki Kuze
Architectural Design and Related Analysis
1295 The Industrial Heritage and the New Architecture: Teaching, Researching, Designing the Place
Identity
Monica Bruzzone and Roberta Borghi
1301 Surface Soil Effects Studies Based on H/V Ratios of Microtremors at Kingston Metropolitan Area,
Jamaica
Walter Salazar, Lyndon Brown and Garth Mannette
1323 The Idea of Architecture Stage: A Non-material Architecture Theory
Yuke Ardhiati

Oct. 2013, Volume 7, No. 10 (Serial No. 71), pp. 1189-1195
Journal of Civil Engineering and Architecture, ISSN 1934-7359, USA
Prices of Apartments in Relation to Noise Level in
Poland
Kinga Szopiska and Magorzata Krajewska
Department of Geomatics, Geodesy and Spatial Economy, University of Technology and Life Sciences, Bydgoszcz 85-225, Poland

Abstract: Acoustic climate of a given area ought to be a factor of considerable significance in investment processes in an urbanized
area, especially in a residential real estate market, due to its extensive influence on the living standards of its inhabitants. In the
following article, the authors have given an analysis of the residential market of housing units located in areas of acceptable and
excessive noise levels in preselected regions of Poland. With this end in view, an entirely new source of information has been used in
the researchan acoustic map which has been defined and applied to produce the outcome of the analysis. It allowed for the
recognition of whether or not the noise level influences decisions made by investors existing in a local residential real estate market.

Key words: Acoustic climate, noise strategic map, residential real estate.

1. Introduction

Noise is defined as any undesirable, disturbing and
harmful sounds causing environmental discomfort.
Produced by sources of various kinds, it contributes to
the creation of acoustic climate of the environment, in
other words an assembly of acoustic phenomena in a
given area [1]. Noise sensitivity is a subjective term
depends upon predispositions of a person as well as
sound characteristics. Thus, certain sounds may in the
same time cause pleasant sensations or be disturbing
depending on a recipient. Acoustic climate existing in
a given area should be a major factor taken into
consideration in an investment process of an
urbanized area due to its significant contribution to
inhabitants quality of life, especially regarding
residential real estate [2].
Residential properties, as goods satisfying basic
needs of a man (such as sleeping, eating, relaxation,
family life, studying, housework etc.), have been
categorized in Poland into: detached houses,
semi-detached and terraced houses, tenement houses,

Corresponding author: Kinga Szopiska, Ph.D. student,
research fields: environment engineering, real estate
management and protection of urban areas from noise. E-mail:
k.szopinska@utp.edu.pl.
apartments in residential buildings (including
commercial and residential premises as well as
cooperative members ownership right for residential
premises) [3]. Residential real estate in Poland is a
consumer market (consumers buy for themselves) to
the greater extend and only relatively small part of it
is an investment market (apartments for rent) [4-6],
which would particularly indicate a significant role of
environmental factors while making investment
decisions. Due to the fact that housing resources
mainly consist of multi-family residential
buildingsapproximately 67% [7] apartment market
which is regarded the most developed one, was the
subject of the analysis.
Assuming that transaction prices of properties
reflect their characteristics, an attempt to answer the
question whether the acoustic climate of the
surroundings of a selected research area of Poland
influences the residential real estate market has been
made. The second objective of this paper is to present
the extensive use of acoustic maps not only to
evaluate the noise level but also as a base for
comparative analysis. Therefore the spatial analyses
were performed with the use of NSM (noise strategic
map), the latest (the first acoustic maps in Poland
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Prices of Apartments in Relation to Noise Level in Poland

1190
were created in the years 2005-2006), professional
source of information concerning the surrounding
space.
2. Acoustic Map
Directive 2002/49/EC of the European Parliament
and of the Council of 25 J une 2002 relating to the
assessment and management of environmental is the
major legal act regulating the problem of noise
protection which aims at unifying procedures related
to estimating the level of environments exposure to
noise within the member states. According to the
directive, NSM is an averaged map of noise generated
into environment by various groups of sources, which
enables holistic evaluation of a level of noise exposure
within an urban area, provides the possibility to
determine the origins of such phenomena as well as
the opportunity to prepare general prognoses of
alterations of its levels. It is the responsibility of state
members of European Community to restrict the level
of noise in the areas where its harmful influence might
affect inhabitants and to protect areas of appropriate
acoustic climate. Poland, as a member of European
Community is obliged to comply with its law
regulations, including the above-cited directive.
The primary legal act that regulates the noise
exposure safety issues in Poland is the Environmental
Protection Act. According to Article 112, noise
exposure protection means providing the most proper
condition of acoustic climate by maintaining the level
of noise which does not exceed admissible values
defined by L
DWN
and L
N
indicators [8]. The
permissible environmental noise level depends on the
nature of its source as well as a purpose of the affected
area. The values oscillate in the range between 40-60
dB (decibel (dB) is a measure of sound pressure level
[9]).
NSM consists of a descriptive and graphical part.
The first one includes characteristics of an area,
acoustic predispositions on the basis of planning
documentation of a commune, identification and
specification of noise sources as well as diagnosis of
endangered areas. The graphical part consists of maps
presenting acoustic climate of a study area. They
include immission maps, acoustic conflict maps as
well as level indicators of inhabitants over normative
noise exposure.
According to Art. 7 of Directive 2002/49/EC
member states were obliged to compile strategic maps
reflecting the situation in the preceding year for all
their agglomerations including statements of the
period of completion: until J une 30, 2007for
agglomerations exceeding 250 thousand inhabitants,
until June 30, 2012for all the agglomeration within
their territory.
In the view of the directive agglomeration is
defined as a territory with the number of inhabitants
over 100 thousand and population density allowing
for being recognized as an urban area by a Member
State.
In Polish Legal System, this notation is supported
by Art. 117 of Environmental Protection Law.
According to the article, the diagnosis of the condition
of acoustic environment is performed within the
national environment monitoring program, on the
basis of the results of noise measurement tests for
agglomerations of above 100 thousand inhabitants.
NSMs have been developed for all the major cities of
Poland which exceed 250 thousand inhabitants
including: Warsaw, Krakow, Szczecin, Wroclaw,
Poznan, Olsztyn or Bydgoszcz. Currently SMAs are
being developed for local governments of
agglomeration of 100 thousand inhabitants [10].
3. Apartment Market Analysis Considering
Noise Level
In the present article, it has been stated that
participants of local real estate market take into
account noise level affecting the neighborhood while
making investment decisions such as purchasing an
apartment. Verification of this notion will be carried
out considering a preselected region of Poland, based

1191
on a spatial analysis of transaction prices of housing
units in relation to an existing noise level defined by
NSM.
3.1 Research Area Characteristics
The researched market is residential real estate
segment of housing units being a subject to real
property ownership rights. The research area is
located in the city of Bydgoszcz, one of the vastest
settlement centers of Poland, located in the northern
part of the country. The city is situated on the banks of
the Brda River and Bydgoszcz Canal, whose eastern
part borders the Vistula River. The research involves
several districts: Akademickie-Wschod, Przylesie,
Bohaterow and Bajka covering the area of 458 ha
(hektar is a unit of measurement of land area) in
Fordon, an administrative unit of Bydgoszcz (Fig. 1).
The multi-family residential function is
predominant in this area which dates back to one
period of historythe 80-ies of 20th century.
Service-oriented structures of basic functionality
provides complimentary function of the area. Road
access is provided by the streets listed in Table 1.
Noise generated by engine vehicle traffic in the
streets creates higher noise zones which significantly
affect the surrounding area [11]. The size of the
emission, as well as the transgressions, depend on
traffic level and in the same time, the following road
parameters: type and condition of the surface, number
of lanes and their direction, existing traffic lights as
well as speed limits for cars and trucks [2].
The period of prices examination included the
period of 2009-2010 that is the time following the
price correction on the apartment market in Poland,
the post-crisis times after which market prices
stabilization emerged [4, 12, 13]. It allowed for
restraining from making corrections on the basis of
price level changes caused by time lapse (time trend
equal to 1.0).

Fig. 1 Polish map of selected cities from the developed
SNM.
Table 1 Main streets characteristics in a given area.
No. Street name Road category Road type Surface type Surface condition
*
Speed limit (km/h)
1 Fordonska National Main
Asphalt of good
condition
a 80, 50
2 al. Prof. S. Kaliskiego Local Service a 50
3 Akademicka District Main b 50
4 Jana Brzechwy Local Service m 50
5 gen. Wadysawa Andersa District Main b 50
6 Igrzyskowa Local Other o 30
7 Christiana Andersena Local Other m 50
8 Wojciecha Korfantego Prejsa Local Service m 50
9 Jozefa Twardzickiego Local Service m 50
*
mmedium, aalerting, bbad, oother.

1192

3.2 Market Analysis in Spatial Context
For the previously defined nature and area of the
market as well as the period of prices researching,
information of 146 residential unit transactions were
gathered. Defined average prices of apartments in the
buildings in which the transaction occurred. The study
included 45 of the buildings, which accounted for
36.6% of all residential buildings in the analyzed area.
Average prices were placed between 2,541.30 z/m
2

4,110.68 z/m
2
of useable floor area (zoty is the basic
unit of currency in Poland). In the subsequent stage,
average prices of apartments in the buildings have
been grouped according to the following price ranges:
(1) those of average prices placed in the range up to
3,000 z/m
2
of useable floor area;
(2) those of average prices placed in the range from
3,000 z/m
2
to 3,500 z/m
2
of useable floor area;
(3) those of average prices placed in the range
exceeding 3,500 z/m
2
of useable floor area.
The price ranges included apartment transactions of
the same general location, same utilities similar
transport accessibility, similar technical condition of
buildings and the same management system. They
varied in size (total floor area ranged from 30.73 m
2
to
78.86 m
2
) finishing standards, floor level as well as
detailed location, which as a property feature, includes
noise level generated by engine vehicles.
While attempting to find the answer to the question
whether noise influences apartment prices, data
concerning very similar properties was gathered with
the use of ceteris paribus principle (which means
unchanged remaining circumstances), and varying
only in terms of one feature which is their detailed
location, including noise level factor. The technique
allows for researching highly complex problems with
the sacrifice of some realism [14]. Unfortunately, it
was apparently impossible to eliminate every
distinguishing feature of the apartments in the course
of the study, especially those individual ones
concerning the finishing standards, total floor area or
floor level. Therefore, it has been assumed that
introducing three price ranges including similar
properties, only varying in some individual qualities,
into the analysis will greatly decrease the influence of
these attributes on the value, thus detailed location
will remain the only distinguishing feature. Such an
analysis policy has been acknowledged right, since the
purpose of the research was not the pursuit of the

Fig. 2 Prices of single transactions in relation to noise factor of the neighborhood [15].
4,000

3,500

3,000

2,500
P
r
i
c
e

o
f

r
a
n
g
e

(
z
/
m
2
p
u
z
)


1193
Table 2 Number of transactions in price ranges depending on meeting acoustic standards by resident areas [15].
No. Kind of area
Number of transactions in price ranges
Below 3,000 z/m
2

useable floor area
3,000 3,500 z/m
2

useable floor area
Above 3,500 z/m
2
useable floor area
1 For the analyzed area 6 68 72
2
Residential areas meeting acoustic standards (level
of noise does not exceed 55 dB)
1 47 70
3
Residential areas which do not meet acoustic
standards (exceeded levels of noise over 55 dB)
5 21 2

Fig. 3 Spatial location of appartment transactions in relation to a map of excess road traffic noise L
DWN
(Przylesie,
Bohaterow, Akademickie-Wschod districts).

Fig. 4 Spatial location of appartment transactions in relation to a map of excess road traffic noise L
DWN
(Bajka district).

< 3,000 z/m
2
p
uz 3,000 3,500 z/m
2
p
uz
>3,500 z/m
2
p
uz

< 3,000 z/m
2
p
uz 3,000 3,500 z/m
2
p
uz
> 3,500 z/m
2
p
uz


1194

importance of noise level as a feature but the question
whether, being an environmental condition, it
influences the decision making process of market
participants.
The number of transactions in single price range
has been presented in Fig. 2 and Table 2 and their
spatial orientation, with the division into districts in
Figs. 3 and 4. The information originating from the
real estate marked was presented in relation to an
extract of a strategic acoustic map of the city of
Bydgoszcz. In Poland for the multi-family housing
properties accepted road traffic noise level must not
excess 55 dB [9].
4. Conclusions
The analysis allows for drawing the following
conclusions:
(1) Acoustic map is certainly a helpful in the
analysis and credible source of information
concerning noise levels. According to European
Union Directive 2002/49/EC, it is available in
numerous Polish agglomeration or it will appear in a
near future;
(2) Most of multi-family residential buildings in the
area of the study in Polandthe districts of Fordon in
the city of Bydgoszcz is located outside the zone of
excessive traffic noise levels;
(3) Out of 118 market transactions concerning sales
of apartments located in buildings of acceptable noise
level areas, most of them (60%) originated from the
range of the highest price values: > 3,500 z/m
2
of
useable floor area and only 1 transaction from the
lowest value range below 3,000 z/m
2
of useable floor
area. The remaining, approximately 30%, came from
the range of 3,000 3,500 z/m
2
of total floor area;
(4) Out of 28 transactions of apartments situated in
buildings of excessive noise level, a majority of them
(75%) obtained lower price level of 3,000 3,500
z/m
2
of total floor area and 18% of thosethe
lowestbelow 3,000 z/m
2
of total floor area. Only
two of them obtained the highest level;
(5) Preliminary research results have shown that
real estate market participants take unfavorable
acoustic climate of the surrounding area into
consideration while purchasing residential properties,
which results in lower price of a given apartment;
(6) Unfavorable environment interaction such as
noise is reflected in lower market prices paid for
residential properties located in areas of excessive
noise level.
The preliminary results can be further validated
using statistical methods such as multiple regression
analysis [16].
References
[1] J. Kwiecie, K. Szopiska, Implementation of the EU
noise directive in process of urban planning in Poland,
international archives of the photogrammetry, remote
sensing and spatial information sciences, in: 29th Urban
Data Management Symposium, London, United Kingdom,
May 29-31, 2013.
[2] J. Kwiecie, K. Szopiska, M. Sztubecka, Problem of
noise protection in urban areas on the example of
Bydgoszcz, Ecology and Technology 18 (4) (2010)
205-212.
[3] M. Krajewska, Planning conditions and the market value
of real estate, in: E. Siemiska (Ed.), Investment on the
Real Estate Market, Scientific Publisher of Nicolaus
Copernicus University, Toru, 2011, pp. 63-99.
[4] Analysis of the Housing Market, 2011,
http://www.rp.pl/temat/230927.html (assessed Sep. 1,
2012).
[5] Appraisal Institute, The Appraisal of Real Estate, 11th

ed.,
Chicago, Illinois, 1996.
[6] L. Nykiel, The functions and role of the state in the
housing market, Journal of the Polish Real Estate
Scientific Society 18 (3) (2010) 7-21.
[7] M. Rymarzak, Housing Market in Selected EU Countries,
Real EstateValuation, Profitability and Risk, Papers
and Reports of the Faculty of Management of Gdansk
University, Sopot, 2000, pp. 167-174.
[8] M. Krajewska, K. Szopiska, The acoustic map as a
source of information about the real estates, World of
Real Estate 76 (2011) 29-33.
[9] Z. Engel, Environmental Protection against Vibration and
Noise, Polish Scientific Publishers PWN, Poland, 2001.
[10] Noise Map of City of Bydgoszcz, Bydgoszcz, 2008,
http://mapy.bydgoszcz.pl/bydgoszcz/index.php/en/
(assessed Sep. 1, 2012).

1195
[11] C. Asensio, J. Lpez, R. Pagn, I. Pavn, M. Ausejo,
GPS-based speed collection method for road traffic noise
mapping, Transportation Res. Part D: Transport and
Environment 14 (5) (2009) 360-366.
[12] E. Siemiska, Residential buildings developers
functioning in Poland after the crisis, Journal of the
Polish Real Estate Scientific Society 18 (3) (2010) 29.
[13] E. Siemiska, Banks practical experience in shaping
credit policies for financing the real estate market, in: E.
Siemiska (Ed.), Investment on the Real Estate Market,
Scientific Publisher of Nicolaus Copernicus University,
Toru, 2011, pp. 32-42.
[14] E. Kucharska-Stasiak, Back to the sourcesDiscussion
about the market value, Valuer 67 (2010) 16-22.
[15] M. Krajewska, K. Szopiska, The acoustic climate as a
factor affecting the market value of real estate of housing,
in: 3rd International Seminar on Urban Investments,
Cracow, 2011, pp. 447-455.
[16] R. Cellmer, Spatial analysis of the effect of noise on the
prices and value of residential real estates, Geomatics and
Environmental Engineering Selected Full Texts 5 (4)
(2011) 13-28.


Historicity: Preservation or Revitalization Planning
Tools?
Mariana Seara Paixo, Antnio Ricardo da Costa and Jorge Gonalves
Instituto Superior Tcnico, Universidade Tcnica de Lisboa, Lisboa 1049-001, Portugal

Abstract: The historic centres revitalization addresses the challenges related to the preservation of fundamental heritage values. At a
time, when everyone looks with concern to our cities future, it is important to reflect on the received heritage, seeking the most
appropriate answers to the planning of the historic centres. These fabrics are reference places in the urban space, due to their role of
memorial testimony and of generators of cultural and economic dynamics. However, often times, inherited urban fabrics are affected
by the limitations of the heritage policies which, for being too general and based on theoretical and abstract frameworks, have
difficulty incorporating the characteristics of each area and neglect the formulation of specific criteria and intervention methods. The
purpose of this paper is to provide a comparative reading of the levels of urban renewal allowed by the planning tools. This study
chooses two historic centers in Portugal: Oporto and Guimares historic centres (World Heritage Sites since 1996 and 2001,
respectively, and were the last to get this classification in Portugal). This reflection is a contribution to peer trends and raise the
discussion on the role that the different heritage policies have to the revitalization of the historic centres.

Key words: Historical centre, planning tool, urban renewal, heritage, urban planning.

1. Introduction

Cities are concentrating their worries on territory
qualifications and the central territories have seen
their role reinforced on the social and economical
development promotion of themselves. It is urgent to
tackle the challenges related to the safeguard of
heritage fundamental values along with the need for
revitalization of historic centres, giving them new
functionalities and residential attractions.
Consequently, it is important that pre-existence
management policies are capable of their preservation
and at the same time adequate for present and future
challenges. Heritage policies dictated by current
planning tools represent the conservation strategy
adopted by each historic centre. We will be looking to
evaluate the different policies adopted for this heritage
preservation, especially concerning its adaptability
capacity for a sustainable future.

Corresponding author: Mariana Seara Paixo, master,
research field: urban morphology. E-mail:
m.seara.paixao@gmail.com.
2. Historic Centres: Conceptual Evolution
and Heritage Policies
2.1 Concept Developed up to 1st World War
The urban heritage concept has changed with time
in its articulation with the historic centres, in
accordance with the social perception of the value of
this resource. Urban renovation policies adjusted to its
own heritage evolution in accordance with its
respective era, social characteristics, culture,
economics and policies. In this evolution, we can
emphasize three distinctive phases of urban
renovation policies: preservation, conservation and
heritage [1]. Preservation was the first phase for these
policies and focuses on buildings looked upon as
monuments, selected by beauty or age criteria. The
constructions were preserved by legal protection rules
imposed by specialists, whom identified its relevance
as cultural goods [2].
2.2 Concept Developed between World Wars
The 20th century modern movement upholds a
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1197
radical approach for the intervention and resolution of
historic centres problems. The modern movement
supported the destruction and reconstruction
according to modern principles, not giving especial
importance to the pre-existences, as exemplified by
the Voisin Plan (1925) conceived for Paris by Le
Corbusier.
However, at the same time, radically opposed
concepts started to emerge to this approach of looking
at the inherited city. We underline the works of
Gustavo Giovannonifor whom the historic city was
a monument, because of its topography, landscape
character and the set of built typologies.
It is after the 1st world war that the intervention in
historic centres considerations intensify, because a fast
answer became imperative for the rebuilding of the
destroyed cities. The Italian Giovannoni gave an
important contribution, for this reflection, in
formulating the urban heritage concept, considering
the historical city as a density of relevant values. We
underline the works of Gustavo Guiovanni who
developed the minor architecture concept meaning a
monument conception viewed not anymore as an
isolated spatial piece, but with an essential
surrounding for its understanding [3]: one asset that
should be preserved through protection laws as it
already existed for isolated monuments [4].
2.3 Concept Developed after the 2nd World War
It is only in the sixties, a strong economical
recuperation period after the 2nd world war, that
renovation methodologies in historical centres were
implemented for the first time in Europe, such as the
Plan de Sauvegarde et Mise en Valeur do Marais
(1969) in Paris, and Bolonhas Historical Centre
Regulating Plan [5]. These places were degraded
physically and at a social, cultural and economic level,
enabling the change for a second phase of urban
conservation policies, the conservation, magnifying
the attention aimed at urban sets [2]. At this stage, the
goal was to better the physical environment, such as
housing, and at the same time, solve the social
problems of the resident population.
Nowadays when everybody anxiously looks with
concern to the citys future, it is important to reflect
over the received heritage of the past, in order to
search for the most adequate answers for planning and
managing of the historic centres in the set of the
contemporary city.
The international orientations mirror the worries
and distinctive attitudes towards the preservation and
conservation of historic centres as a resource and
legacy for future generations. General heritage
safeguard international documents show us a diversity
of conceptual evolution that justified the intervention
in these places, like as the role of contemporary
architecture and urban planning.
Five relevant international documents can be
identified:
(1) Nairobis Recommendation (UNESCO, 1976)
determines that the historical set and its surrounding
are a coherent whole, but identifies new constructions
as a threat that could destroy the sets character
(consulted in Ref. [6]);
(2) Resolution 813 (Council of Europe, 1983)
assumes as a guide rule the need to integrate
contemporary constructions in historic sets, in order to
give continuity to the architectural tradition and
building a future European heritage (consulted in Ref.
[5]);
(3) Washingtons Charter (ICOMOS, 1987)
identifies as a guide rule that the historical sets
safeguard should be carried out through social and
economical coherent development policies. It supports
the preservation of urban forms, of the built and
empty spaces relationship, buildings form and
function (consulted in Ref. [6]);
(4) Burras Charter (ICOMOS [7]) for the first time
identifies a larger conservation concept,
Conservation means all the processes of looking after
a place so as to retain its cultural significance (Art.
1.4) which means aesthetic, historic, scientific, social
or spiritual value for past, present or future
generations. (Art. 1.2);

1198
(5) Viennas Memorandum (UNESCO [8])
identifies as guideline the acceptance of the citys
building process, in which change plays an integrated
part. It defends heritage conservation and
simultaneously its modernization strengthening its
own identity and social cohesion. Hence,
contemporary architecture should complement the
existing urban historical landscape as a fundamental
strategy.
Historical centres today are treated by the third
phase of urban renovation policies, the heritage, which
occurred when they came under a market orientation
[1]. The architectural legacy began to be seen as a
consumer selected product, and managed by current
market demands. The past is molded to answer
contemporary needs [9]. It has become an urgent
necessity that conservation and urban planning have a
symbiotic relationship that leads to harmonious cities
development [10].
Historic centres carry a double achievement of
being a memorial witness, as well as a generator of
cultural, economic and social dynamics, crucial for the
cohesion and qualification of the contemporary city.
Therefore, historic centres are reference places in the
urban space.
However, the urban net legacy is many times
penalized by the heritage policies limitations that, by
being too general and established by theoretical tables,
have difficulty in incorporating each intervention
areas singularities. Usually heritage policies do not
care for the formulation of criteria and methodologies
adjusted and adapted for each case.
Planning in historical sites resides nowadays in the
dictum between preserving the past, by its intrinsic
value, and the transformation necessity, answering to
the values of a restless for innovation, inclusion and
culture seeking society. As such, if urban areas do not
have the ability to change, they will end up stagnating
in the set of the urban fabric [11].
Conservation is a complex process of managing
the tensions between continuity and change in the city,
and its main aim is to manage the cultural character
and identity of the city [12].
3. Evaluation of Clearness and Renovation
Capacity of Planning Instruments in
Emblematic Portuguese Historical Centres
When the planning instruments have explicit rules,
it minimizes the bureaucracy and maximizes the
margin of interest in the projects, thus boosting
economies, population flows, services and cultural
programs to these historic centers through a clear and
objective management of urban renewal. This can
result in a gradual and rigorous transformation of the
built fabric that leads to the preservation,
revitalization and sustainable development of this
urban heritage.
The following analysis focus on two historic
centres in Portugal: Oporto and Guimares historic
centres, which are World Heritage Site since 1996 and
2001, respectively. These two historic centers were
the last to get this classification, of the four existing
World Heritage historic centers in Portugal.
The current planning and management instruments
for these historic centres reflect different ways of
thinking and intervention on built heritage enabling us
to understand the different policies adopted for the
conservation and renewal of these world heritage
urban places.
3.1 Guimares Historic Centre
3.1.1 Plan Type and Management Entity
In the historic centre of Guimares the Local
Technical Office (GTL (Gabinete Tcnico Local)) is
the responsible entity for managing the interventions
in buildings (Fig. 1). This entity has a threefold
objective of maintaining the population, provide better
living conditions and preserve/restore the heritage
values of authenticity. The GTL advocates a logical
maintenance and minimal impact through the use of
skilled local labor, materials and traditional
techniques.

1199

Fig. 1 Plan with the delimitation of Guimares historic
centre classified as World Heritage (in blue) and its
protection zone (in red) [14].
3.1.2 Criteria and Levels of Intervention
The Local Technical Office classifies interventions
according to two categories: light works and deep
works. Light works focus on repairing facades, eaves,
window frames, painting elevations or introduction of
sanitary facilities. Deep works include interventions in
the structure and interior organization.
This entity elaborated the Regulation for
Intervention in the Urban Center and History of
Guimares (RICUH, 1994), which requires multiple
constraints for urban renewal. It constrains exterior
characteristics, as facades design, colors and materials,
these should be maintained as the originals. In
buildings interior the same method is applied, original
typology and materials should be also preserved.
3.2 Oporto Historic Centre
3.2.1 Plan Type and Management Entity
In Oportos historic centre, the built heritage
intervention management is run by Porto VivoSRU
(Urban Rehabilitation Society) [13], whom since 2004
produced Strategic Documents for each block,
assuming each of these as an intervention unit (Fig. 2).
These strategic documents establish the foreseen and
authorized works in each building, safeguarding the
minimum sanitarian and habitability conditions.
The strategic documents have law enforcement
power over the building and has to be followed both
by public and private dwellers. The foreseen
interventions were produced by the joint work of
Porto VivoSRU with the Portuguese Institute for
Management of Architectural and Archaeological
Heritage (IGESPARInstituto de Gesto do
Patrimnio Arquitectnico e Arqueolgico).
3.2.2 Criteria and Levels of Intervention
Porto VivoSRUs strategy covers an extended
range of concerns placed both on the survey and
diagnosis of the existing conditions and in the
procedures for the intervention management (Table 1).
The Porto VivoSRU, with a deep knowledge of
its intervention area and in order to clarify its
intervention criteria in the historic centre buildings,
has also established three building intervention
categories: light, medium and deep. A light intervention
is applied in buildings in a reasonable conservation
state and the intervention can not interfere with the daily

Fig. 2 Plan with the delimitation of Porto historic centre classified as World Heritage (in pink) and its protection zone (in
yellow) [15].


1200
Table 1 Intervention criteria in Oportos historic centre.
1. Intervention technological
aspects
-Understanding and respecting the existing building, the primitive technologies, and if not possible
assuring that new technologies are compatible with the old ones.
2. Urban Elevations
-Maintaining and qualifying elevations, through consolidating operations;
-Repairing and cleaning (reposition of original elements by withdrawing unfitting elements).
3. General typological
resolution
-In profound or deep interventions, to maintain the elevations, and main building side walls, in order
to maintain relationship between external openings and internal spaces;
-In deep interventions there are typological reformulation operations, in the scope of plot definition,
internal spatial room alteration, horizontal and vertical distribution common areas alteration, with
the introduction of lifts, equipments and services demanded by current legislation.
4. General criteria for technical
interventions
Aims to any level of intervention:
-Respect as much as possible for buildings insertion environment;
-General rehabilitation and anomalies correction, focus on structural safety and fire risk;
-To abide current demands for new construction whenever possible;
-Primitive elements upgrading, with authenticity, safeguarding their compatibility with new
intervention elements.
5. Securing of main demands
(a) Structural safety:
-Introducing new structures (concrete, metal or steel) to reinforce the building main structure and
creation of new vertical communications;
-Traditional timber structures ( ensure fire safety, acoustic insulation and waterproofing in water
areas);
-To reinforce foundations and seismic resistance.
(b) Safety against fire risk:
-Risk reduction measures of fire starters and fire spreading.
(c) Hygrometric thermal comfort:
-(New construction or deep intervention) uphold thermal comfort passive systems , to reduce heating
thermal charge, through good insulation and minimize cooling active systems (air conditioning);
-(Existing construction rehabilitation or light interventions) reinforce roof thermal insulation,
renewal of degraded openings frames (thermal bridges);
-Insulation reinforcement (roof, opening frames, double glazing, lowering thermal bridges, bettering
night ventilation systems).
(d) Acoustical comfort:
-(New or deep constructions) fulfillment of current demands;
-(Existing constructions), sound insulation between storeys (ceilings and/or roofs) and between
plots, reinforcement and insulation of opening frames.
(e) Healthcare of conveniences and kitchens:
-Employment of ventilation, water supply and drainage, necessary equipment and washable,
waterproof and resistant finishes.
(f) Services and infra-structures:
-Application of rainwater drainage, telecommunications, active security and gas systems.
(g) Durability and economics:
-Pragmatic attitude in solutions choices, as to cost and acceptable durability, through control and
critical continuous assistance in all project phases.
Source: Ponte Nova, PBDE, Annexe II.

life of the residents. The medium intervention
concerns the repair of timber works and opening
frames, reinforcement of some structural elements, as
floors, roofs and walls. It also includes the
improvement of the commons parts of the buildings
and upgrading functional conditions in accordance to
current legislation. The deep intervention mainly
includes light and medium interventions and it is also
about changing the typological organization (number
of plots, functions). It implies demolition and
reconstruction, it also allows changing materials and
finishes and can imply temporary relocation of the
building residents.
4. Conclusions
This reflection is a contribution not only to interpret
the effects of the different planning tools in the
architectural interventions in historic centers, but also
to peer results and trends. Thus it raises the discussion
about the role that these different policies assume
through the planning tools to the urban conservation
and renewal, i.e., in the revitalization of the historic

1201
centres, which possess strong identity valences.
Comparatively, we can see that the planning tools
that allow greater urban renewal are the Strategic
Documents in Oporto. In this historic centre, the
strategy developed by Porto VivoSRU is based on
the deep knowledge of the buildings, preserving its
original design and aesthetic from the exterior, but
allowing contemporary interventions that benefit the
whole. The strategy followed by Porto VivoSRU
allows a deeper intervention inside the buildings, with
the aim to provide the standard conditions of
habitability for contemporary people that want to live
in these places without losing comfort.
In Guimares the RICUH, designed by the Local
Technical Office, reflects a reduced possibility of
intervention with contemporary values in this historic
centre. Almost all characteristics must remain as the
original features of the buildings, either exterior or
interior. In our interpretation, this shows a strategy of
perpetuating the past values, believing that
contemporary architectural values would reduce the
artistic, social, cultural values and the economic
development acquired by the place so far.
Although in both cases different levels for
intervention are set (Oportolight intervention,
medium intervention, deep interventiona and
Guimareslight works and deep works), the planning
instruments establish clearly different approaches to
deal with the urban renewal of the built heritage.
In sum, we can understand that the latest
Portuguese planning tools, and the Strategic
Documents in Oporto, are the most complete and
flexible. They cover, for example, how to intervene on
the buildings structural system and they also point
out objectively the constraints relating to the factors of
facade design, roof and internal typology. This
planning approach, through strategic documents,
allows a regulated change of the historic centre. On
the other hand, the approach developed for Guimares
historic centre defends quite the opposite, it supports
the idea of maintenance of the past as it, not adding
contemporary values.
As suggested by the Vienna Memorandum [8] in
the management of architectural interventions in the
historic centres must exist as a principle the
acceptance of change as part of the construction of the
city, not only advocating the preservation of heritage,
but also and at the same time, the upgrading in order
to strengthen the identity and social cohesion. The
planning tools of Oporto, and the Strategic Documents,
are the ones studied that best embody the idea of
preservation and revitalization support by the Vienna
Memorandum, which is necessary to keep the historic
centres actual and alive in the contemporary city.
References
[1] G.J. Ashworth, From History to HeritageFrom
Heritage to Identity: In Search of Concepts and Models,
Building a New Heritage, Tourism, Culture and
Identity in the New Europe, Routledge, London, 1994, pp.
13-30.
[2] S. Tiesdel, T. Oc, T. Heath, Revitalizing Historic Urban
Quarters, Architectural Press, Oxford, 1996.
[3] F. Choay, Consulted Version, The Allegory of Heritage,
Edies 70, Lisboa, 2008. (in French)
[4] J. Aguiar, Some brief notes on the history of urban
renewal, in: The Conference of Challenges and Proposals
for an Application for World Heritage, Universidade de
Coimbra, Coimbra, 2007. (in Portuguese)
[5] A.M. Tung, Preserving the Worlds Great Cities, The
Destruction and Renewal of the Historic Metropolis,
Clarkson Potter, New York, 2001.
[6] F. Lopes, M.B. Correia, Architectural and Archaeological
Heritage-Charts, International Conventions and
Recommendations, Livros Horizonte, Lisboa, 2004. (in
Portuguese)
[7] ICOMOS, The Burra Charter, Australia, 1999, http://
australia.icomos.org/publications/charters/ (accessed May
24, 2011).
[8] UNESCO, Memorandum de Viena aquando da
Conferncia Internacional Patrimnio Mundial e
Arquitectura ContemporneaGesto das Paisagens
Urbanas Histricas, 2005, http://whc.unesco.org/archive/
2005/whc05-15ga-inf7e.doc (accessed May 30, 2011).
[9] N. Nasser, Planning for urban heritage places:
Reconciling conservation, tourism and sustainable
development, Journal of Planning Literature 17 (2003)
467-479.
[10] N. Cohen, Urban Planning, Conservation and

1202
Preservation, McGraw-Hill, New York, 2001.
[11] P. Larkham, Conservation and the City, Routledge,
London, 1996.
[12] W.K. Liu, Managing change: Tensions between urban
morphology and everyday life in the heterotopic urban
content of Tainan, Ph.D. Thesis, University of Edinburgh,
UK, 2011.
[13] Porto VivoSRU, PBDE (Plano Base do Documento
Estratgico) Ponte Nova, 2006,
http://www.portovivosru.pt/ (accessed Apr. 14, 2011).
[14] Cmara Municipal de Guimares, Gabinete Tcnico
Local, Regulamento de Interveno no Centro Urbano e
Histrico de Guimares [online], 1994,
http://www.cm-guimaraes.pt/ (accessed May17, 2011).
[15] IGESPAR Homepage, www.igespar.pt (accessed Apr. 4,
2011).


Study on Emphases and Trend of Tianjin Urban Public
Safety Planning from the View of Bohai Rim Megalopolis
Gong Yuan, Xiao Yu and Lu Li
Tianjin Urban Planning and Design Institute, Tianjin 300201, China

Abstract: Nowadays urban public safety has been an important subject of study in urban planning study. And planners realized that a
safe city is very important for sustainable development. Traditional urban public safety planning begins to perfect the contents and
method. And regional research is an important aspect in the improvement of new era urban public safety planning. This paper chooses
Tianjin, the important city in Bohai rim area as the example for research. Tianjin urban public safety planning includes not only
comprehensive disaster prevention and reduction, effectively preventing and reducing disasters, ensuring the safety of the life and
property of the residents, but also sharing resources and facilities from the view of megalopolis, eliminating hidden area troubles,
reducing whole environment risks and so on.

Key words: Urban public safety planning, Tianjin, Bohai rim megalopolis, emphases.

1. Introduction

Nowadays urban public safety has been an
important subject of study in urban planning study.
And planners realized that a safe city is very important
for sustainable development. China government
begins to pay more attention to urban public safety
system and perfect the contents and method of
traditional urban public safety planning.
1.1 Understanding of Urban Public Safety Risk
Sources
Risk sources that pose threats to urban public safety
are classified as natural sources, man-made sources
and other sources with natural and artificial factors.
The public safety emergencies fall into four types
according to the documents issued by ChinaMaster
State Plan for Rapid Response to Public Emergencies
in 2006 and Emergency Response Law of Peoples
Republic of China in 2007:
Natural disaster: It covers drought and flood,
meteorological disaster, earthquake, geological
disaster, marine disaster, bio-disaster and forest and

Corresponding author: Gong Yuan, chief planner, research
field: urban planning. E-mail: gongy20001@163.com.
grassland fire, etc.;
Accident disaster: It covers all kinds of safety
accidents in industrial and mining enterprises, and
trade and business, traffic accidents, public facilities
and equipment accidents, environment pollution and
ecological destruction, etc.;
Public health events: It covers infectious diseases,
mass unexplained diseases, food safety and
occupational hazards, animal epidemic diseases and
other events that will heavily affect peoples health
and life;
Social security: It mainly covers terrorist attacks,
economic safety events and foreign emergencies.
Through matrix analysis of affection and
relationship between urban public safety risk sources
and urban planning, we confirm that all nature disaster,
environment pollution and ecological destruction in
accident disaster, water safety in public health events
and terrorist attacks in social security have the closer
relationship with urban planning, and will be our
research emphasis [1].
1.2 New Task of Urban Public Safety Planning
It is a new task about urban planning and
DAVID PUBLISHING
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Study on Emphases and Trend of Tianjin Urban Public Safety
Planning from the View of Bohai Rim Megalopolis

1204
construction to establish urban public safety system
and emergency management system. To establish the
public safety system of cities and improve the overall
safety of cities, we should take the emergency
management ability and the risks from urban
construction into accounts at first. Therefore, the
research of urban planning would face new challenges
as follows [2]:
Firstly, the existing traditional system of disaster
prevention and reduction would turn to integrated
safety system of urban public;
Secondly, we need to conduct the design and
construction of urban planning in terms of the demand
to establish sound social warning mechanism,
emergency mechanism and social mobilization system,
and improve the disposal of emergency and public
safety;
Thirdly, enhance the integrated and full
management of urban planning. Turn single disaster
management to integrated disaster management and
crisis management, turn the safety prevention of cities
to the full management covering prevention,
emergency response and reconstruction, turn the
operation of a single system to the overall system;
Fourthly, under the public safety planning
process implement the regional coordination and
urban-rural integration theory, and expand the
perspective and thought in drawing up the public
safety plan.
2. Bohai Rim Megalopolis Development and
Tianjin Urban Public Safety Trend
2.1 Bohai Rim Megalopolis Development
The rapid expansion of urban megalopolis have
become an overwhelming space phenomenon in the
era of economic globalization and information, and
the megalopolises all over the world have gradually
become the larger metropolis area and city groups.
Urban megalopolis has also become the main form of
towns in China. Bohai rim megalopolis is entering the
integrated development period of strategy with Pearl
River Delta and Yangtze Delta, which is constituted
by Beijing-Tianjin-Hebei area, Shandong Peninsula
and central-southern Liaoning Province (Fig. 1) [3].
As a channel for northern China to conduct its
opening up, Bohai Zone is the gateway for opening up
to the outside world in the north of China and plays an
important role in connecting the south and the north,
as well as the east and the west, and also in
participating the global economy competition and
cooperation, especially in northeast Asia area. Under
the support of national strategy and policy, it is
necessary and possible to shape up integral and huge
world-class urban megalopolis.
Bohai rim megalopolis research scope including
two municipalities (Beijing and Tianjin) and three
provinces (Liaoning, Hebei and Shandong) with land
area 522,000 km
2
and sea area 95,000 km
2
. Bohai rim
megalopolis has population of 240 million in 2011
which occupy 17.8% of China and GDP of 10.1
trillion RMB in 2010 which occupy 25.3% of China.
Now this megalopolis is in its increasing period and it
is important to establish a comprehensive region
public safety cooperation mechanism as soon as
possible [4].

Fig. 1 Bohai rim megalopolis research scope.

1205
2.2 Tianjin Public Safety Trend from the View of Bohai
Rim Megalopolis
At present, the overall situation of Tianjin public
safety is stable. With an analysis of the disaster
sources due to Tianjins geography and climate
environment, geological factors, ecological factors
and the city itself, the potential natural disasters of
Tianjin include drought, flood (including storm tide),
earthquake and other disasters which derived from the
above disasters. Among them, flood (including storm
tide) and earthquake belong to emergency disasters.
The rescue is difficult and it needs to enhance the
prevention of disasters in case of no disasters.
On the other hand, after 9.11 attacks, terrorist
attacks which aim to attack metropolises now have
gradually become the key research of urban public
safety. Bohai rim megalopolis takes the key strategy
as the co-built of world-class cities by Beijing and
Tianjin and focusing on the development of coastal
areas. Tianjin and Beijing would bear responsibilities
for various urban functions of world and own ports
and coastlines at the same time. It is more likely for
Tianjin to face terrorist attacks whether from
perspectives of politics, economy or culture.
Therefore, Tianjin must play a significant role in
maintaining national safety and lifeline system. And
public safety planning of cities based on the
traditional integrated prevention planning of single
city, should establish system from regional
perspective and guide Tianjin to build a safe city
under the new national strategy.
3. Study on Emphases of Tianjin Urban
Public Safety Planning from the View of
Bohai Rim Megalopolis
3.1 Establishing Ecological System of Regional
Integration
(1) An ecological pattern of regional integration and
pilot projects for ecological compensation have been
conducted in Jixian Mountain, the
Qilihai-Dahuangpu marsh and the
Tuanbo-Beidagang marsh. It is also an important
part of the security system of ecological safety in
Bohai rim megalopolis (Fig. 2);
(2) We attempt to establish the ecological
compensation mechanism by the Luanhe-Tianjin
water diversion project, and take market method of
compensation such as the transfer of water rights and
paying for the water resources. And we also actively
explore the compensation method of technological
projects, help to develop pollution-free ecological
industries in upper water resources of Hebei by taking
advantages of technology and fund, and finally
achieve the balance between development and
protection. At last, we will explore the safeguard
mechanism for regional public safety;
(3) We should perfect the monitoring and feedback
mechanism of water quality in Haihe River, control
the water quality of trans-boundary rivers, and
collaboratively manage the pollution resources in
villages and cross-regional watercourse. We should
improve the river pollution control by taking Haihe
River as the breakthrough point and protect the
regional water;
(4) We should protect the coastlines of Bohai Gulf,
optimize the coastal industry distribution with policy
and market control, cut the total amount of emissions
in waters and prevent the environment deterioration
and ecology unbalance in coastlines to achieve the
safe use of sea.
3.2 Improving Regional Carrying Capacity of Water
Resources and Environment
Water shortage is the main bottlenecks to restrict
the development of Tianjin and Bohai areas, and the
public safety hazard that Bohai areas would face in the
future. Water shortage would be increasingly
prominent under the citys rapid development and the
investment of a large number of great and good
projects in high level. Therefore, from the perspective
of regions, we should focus on the development strategy

1206

Fig. 2 Ecological pattern of regional integration.

of Tianjin water resources in urban planning of public
safety. We should vigorously promote the desalination
and take full account of the relations between
development and protection to realize the integrated
development and comprehensive utilization of the
water resources such as surface water (including
transferred water), groundwater, desalinated water and
resurgent water. And in the process, we should
conduct water-saving at first, focus on urban and
rural security of water supply, and take full account
of the carrying capacity of water resources and
environment:
(1) We should make use of the advantages of
seawater desalination in Tianjin, and provide more
water resources for surroundings to alleviate the
widespread water shortage problems in Bohai areas;
(2) Build an industrial chain of
thermoelectricity-desalination-salt manufacturing
with concentrated seawaterthe extraction and use of
chemical resources on seawater, develop seawater
desalination technology, promote a serious of new
measures and new technology of seawater
desalination in the river estuary, promote the use of
clear energy and recyclable energy to achieve
energy-saving goals and reduce the impact of
desalination on ecological environment;

1207
(3) Under the development of the non-traditional
water resources such as recyclable water and seawater,
we would further enhance and perfect the use and
management of traditional water resources, and
increasingly support the Tianjin water resources by
inter-basin water transfer project.
3.3 Improving Regional Sharing and Linkable Traffic
and Communications Network
In the planning, we establish high level traffic and
communications network in the city, from city to city
and from region to region and create various methods
to realize the space rescue and evacuation in case of
emergencies due to different reasons. The road
network structure in emergency regions would have
direct impact on the draft of evacuation plans, the
efficiency of evacuation in case of emergencies and
the disposal of emergencies. Starting from the
integrated development of Bohai rim megalopolis,
Tianjins emergency transportation system guided by
the world city by Tianjin and Beijing, will realize the
building and sharing of the infrastructures.
At present, Beijing-Tianjin corridor enjoys good
traffic conditions, which includes
Beijing-Tianjin-Tangshan expressway, J ingjin
expressway, Beijing-Tianjin intercity railway,
Beijing-Shanghai high-speed railway, J ingshan
railway and Beijing-Tianjin highway, but obviously
lack of channels in edge of north and south district. To
improve the overall capacity, we should enhance the
traffic corridor with the built of the second airport of
Beijing which connects to Tianjin Nangang, J inghai
and Langfang by the south and has only one traffic
routeTianjin-Shanxi highway that connects to 112
highways. And we should strengthen the contact
between Beijing airport and Baodi, Hangu and
strengthen the direct traffic links.
3.4 Establishing Public Safety Management System
Based on Regional Cooperation and Coordination
(1) The shift of public safety management from
single disaster management to full management
covers the draft of integrated strategy, policy, disasters
management plan, arrangements and support system
of resources;
(2) The risk management of public safety should
run through the whole process of the disasters. In case
of no disasters, we should conduct daily risk
management, namely prevention and preparation,
during the disasters, we conduct emergency risk
management, namely, emergency and rescue. After
the disasters, we conduct crisis risk management to
restore and rebuild the city;
(3) Public safety management places much
emphasis on management integration of different
parties (government, civil society, enterprises,
international world and international organizations) to
shape a mechanism of integrated leadership,
cooperation, and sharing interests and responsibilities.
It includes the integration of organizations,
information and resources;
(4) Public safety management should shift from
pure crisis management to risk management and
combine with daily public management of
government;
(5) For effective management of public safety,
government should establish integrated performance
indicators of public safety management. We should
keep an eye on the occurrence and change of disaster
risks, and provide full inspection to public safety
management departments in terms of their purposes
and methods, and the performance of staff and the
main departments.
4. Conclusions
Bohai Rim is one of the three major economic
zones of China with the other Pearl River Delta and
Yangtze River Delta. Bohai rim megalopolis is
identified as one of the three most important
megalopolis of china according to National
Development Priority Zones Planning and is aiming to
a world-class megalopolis. Tianjin is the important

1208
city in Bohai Rim area with the neighborhood of
China capital Beijing. So Tianjin urban public safety
planning includes not only comprehensive disaster
prevention and reduction, effectively preventing and
reducing disasters, ensuring the safety of the life and
property of the residents, which is the main content of
traditional public safety planning, but also sharing
resources and facilities from the view of megalopolis,
eliminating hidden area troubles, reducing whole
environment risks and so on. And Tianjin should
assume responsibility to perfect the contents and
method of urban public safety planning from the view
of region.
References
[1] Research on Comprehensive Disaster Prevention
Planning in Tianjin Urban and Rural District, Tianjin
Urban Planning and Design Institute, 2010.
[2] Research on Tianjin Urban Public Safety Planning,
Tianjin Urban Planning and Design Institute, 2012.
[3] Tianjin Urban Planning and Design Institute, Research on
Space Developing Mode of Bohai Rim Megalopolis,
Tianjin Planning Bureau, Tianjin Planning Academy, 2011.
[4] W.J. Shi, Research on space developing mode of
Bohai rim megalopolis, Bohai Economic View 10
(2011) 3-9.

J ournal of Civil Engineering and Architecture, ISSN 1934-7359, USA

Improving Conviviality in Public Places: The Case of
Naples, Italy
Gabriella Esposito de Vita
1
, Carmelina Bevilacqua
2
and Claudia Trillo
3

1. IRAT National Research Council of Italy (CNR), Naples 80134, Italy
2. Department of Heritage, Architecture, Urban Planning (PAU) University Mediterranea, Reggio Calabria 89124, Italy
3. School of the Built Environment (SOBE), University of Salford, Salford M54WT, UK

Abstract: Under the umbrella concept of conviviality in public spaces, a research project on the rehabilitation of urban areas for
commercial and retail usesas engine of a complex process of production of places for social and cultural mixithas been defined.
The aim of this research has been to produce useful tools for coping with the abandonment of public spaces in former commercial
urban areas, without generating anonymous and globalized commercial districts. Through involving local stakeholders in a
participatory process, the first phase of the research here presented needs to demonstrate the possible effectiveness of a pilot action
plan in dealing with both isolation and gentrification processes of historical centres. The main hypothesis is that traditional retailers
should be considered an essential element to ensure effective public use of urban public spaces. The research methodology is based
on a qualitative approach. Focussing on the process of impoverishment within local commercial districts, the research group started
working with local stakeholders in order to identify priorities and criticisms for enhancing a regeneration process. The case study to
be carried out in Naples is the historical market place of Piazza Mercato in the Citt Bassa of Naples (Italy).

Key words: Public places, traditional retail areas, urban regeneration, historical centres, conviviality, Naples.

1. Introduction

The contemporary city is affected by a profound
crisis due to the loss of cultural identities, of
traditional social networks and of welcoming urban
spaces for improving interactions between diverse
components of society [1]. Places of public life are the
expression of this scenario: the agora is changing
forms, functions and symbols, following new trends
superimposed by globalization phenomena [2]. The
impact on the transformation of public places due to
recent dynamics, is revealed by the tendency to
produce market-led transformations of public places in
affluent areas and the abandonment and decay of the
peripheral public realm [3].
In the following pages, a research project will be
presented which is aimed at identifying the main
components of a process of rehabilitation of urban

Corresponding author: Gabriella Esposito de Vita, Ph.D.,
researcher, research fields: urban design, community planning
and social activation. E-mail: gabespo@unina.it.
areas for commercial and retail uses in order to favour
social and cultural mixit and economic regeneration.
The project deals with the increasing globalization
process, and consequently with the expulsion of
traditional and identitarian commercial activities from
the city centre, creating ruptures in the continuity of
the urban grid in terms of creation of market-led and
anonymous commercial areas on the one hand, and in
terms of abandonment and decay of less affluent areas
with a strong local cultural character on the other [4].
The research starting point is the role played by
traditional retailers and artisans as an essential
element to preserve local cultural character, ensuring
effective public use and liveability of urban public
spaces. The privatization and commercialization of
public and quasi-public places in affluent or
well-connected areas of the city, on one hand, and the
decay and abandonment of public places in deprived
areas, on the other hand, they are both causes and
effect of the social transformations. Economic crash,
DAVID PUBLISHING
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Improving Conviviality in Public Places: The Case of Naples, Italy

1210
transformation of the job-market, dynamics and
quantities of migratory flows are strictly related to the
tendency of living in gated communities and
privatized public places dedicated to a forced
conviviality. The idea of convivium could be the
umbrella concept for surveying, interpreting, assessing,
designing, managing public spaces as places of
multicultural identity, security and security perception,
democracy and discussions, ethic and aesthetic and
human development [5]. This qualitative approach
aims at defining a holistic methodology for
interpreting, designing, managing and assessing the
refurbishment and redevelopment of those specific
areas. This topic will be addressed by developing an
urban design tool based on an effective participatory
process in the rehabilitation and redevelopment of
public places in abandoned commercial areas [6]. This
tool could be applied within community planning
consolidated methods [7-9], in order to better address
the physical and spatial component of the mapping
and visioning process. Consolidated procedures for
collecting and sharing the demand expressed by local
communities in terms of services delivery and public
places organization have been developed in different
fields of knowledge [10]. Nevertheless, there is a lack
of procedures for addressing demand for spatial
transformations in order to favour the preservation and
development of traditional and identitarian artisanal
and retail areas as a driver for a wide urban
regeneration process [11].
In order to identify the way physical and functional
transformations of commercial areas in city cores can
favour results in terms of social cohesion, economic
development, cultural preservation and local
liveability, the study started by working with a case
study approach [12].
The research focuses on the specific experience of
Naples in southern Italy, which offers a wide range of
interesting fields of reflection on the research topics.
The group of scholars and local technicians involved
in the fieldwork started doing active observations of
the Neapolitan urban area in order to identify possible
significant case studies to be carried out. The
conceptual map of significant areas was discussed
with local key actors such as: academics in the field,
technicians involved in the urban planning and
management, members of the local governing bodies,
activists from local NGOs (non-governmental
organizations) involved in topics such as job creation,
civic activation and urban regeneration as well as local
communities. The discussion resulting in the selection
of the historical market place of Piazza Mercato and
its neighbourhood in the Citt Bassa district as a case
to be analysed because of the specific issues related to
artisanal and retail traditions combined with the
abandonment of public places and the impoverishment
of economic activities on the one hand, and because
this area has been the core of the Local Action Plan
implemented within the framework of the CTUR and
Hero Projects of the URBACT II Programme.
The fieldwork has been developed according to the
rationale of the EU-funded research Commercial
Local Urban District Programme led by the PAU of
the University Mediterranea of Reggio Calabria (IT)
aimed at emphasizing the strategic role of small
retailershandcraft and typical foodin reinforcing
the sense of community, reducing transportation costs
and contributing to the creation of an attractive urban
environment, thus producing an increase in private
investment [13].
Through the experience gained during the execution
of the Local Action Plan for this historical area in
southern Italy, this paper aims at introducing and
discussing a work in process oriented to coping with
the tendency to abandon wide core areas of the city
centre by supporting virtuous processes of urban
regeneration, and intervening through a participatory
process in the rehabilitation of traditional and natural
market areas.
This paper is divided into four sections. Having
introduced the research in this section, the following
three sections aim to:

1211
Set the context to identify the theoretical and
methodological context of urban design, community
planning and economic procedures to be applied
together to commercial urban districts regeneration;
Define the framework for the empirical analysis
and discuss the pilot area findings;
Draw general conclusions, defining the role of
local commercial areas as divers of urban regeneration.
2. Setting the Theoretical and Methodological
Context
Every city is a human creation, but only a few
citiesin certain historical momentshave
developed a successful expression of public spaces as
trans-community agora suitable for liberating identity.
In those cases, cultural cross-pollinations have led to
the creation of particular architectural and urban forms,
which generate a physical-functional-relational milieu
[14].
Public space, if organized properly, offers the
potential for social communion by allowing us to lift
our gaze from the daily grid, and as a result, increase
our disposition towards the other [15]. Shared
spaces have played, on the one hand, the role of
symbols of collective well-being and formation of
civic culture and, on the other hand, of agonistic
struggle and social conflicts. In an age of urban
sprawl, multiple usage of public space and
proliferation of the sites of political and cultural
expression, it seems odd to expect public spaces to
fulfil their traditional role as spaces of civic
inculcation and political participation [15].
The history and culture of European cities reveal
the importance of public spaces such as streets and
squares, which are deeply influenced by the
commercial functions they host. Over the centuries,
local retailing models, often integrated with the
production of typical services, handcraft traditions and
locally produced food, have frequently conditioned
forms and organization of the European city (Fig. 1).
More generally, a higher level of manufacturing,
commercial and residential integration, is still related
to vibrant urban environments, which are rich in urban
life and social relations [16]. The contemporary public
space is the urban place that, more than others, has
been influenced by recent transformations of
production-related activities and of human behaviors,
spatial codes and use models of public spacesfor a
long time completely unchangedhave been affected
by the acceleration of the dynamics of the urban
system [17]. In accordance with Habermas
observation that public spaces become the object of
practices of cultural representation, with which the
public sphere is arguably more and more concerned
[18], the research deals with the holistic idea of public
places as an expression of the cultural gaps within a
conflicting society and, at the same time, as place for
improving conflict-solving practices by favoring
public gathering. The first node to be tackled is the
lack of a shared vocabulary concerning the recent
expressions of public spaces, of private spaces with a
public use and of public spaces with a private use
[19-22]. Some provocative questions could be evoked,
as the editors did in Architecture and Dispersal: What
constitutes public space in the contemporary city? Can
the public sphere still exist in the urban context?
Should public space be fought for by architects and
urban designers? [23]. The everyday use of public
space has been changing from necessary uses to
optional, recreational uses. This changing role
increases the need for appropriate, well-designed
places in which people choose to spend time, and that
provide a place for people to relax, socialize and be
part of urban life [24].
From the social point of view, it is widely
recognized that integrated urban environments often
contribute to a higher level of safety because of the
social control exercised on the public spaces due to
their continuous use, for the same reason, they are
less likely to became blighted areas, thanks to the
involvement of local communities in preserving their
values [25, 26].


1212

(a) (b)

(c) (d)
Fig. 1 The European city: (a) Commercial areas in the city centre of Eltville am Rhein (2008); (b) Castle Valentino Park in
Turin (2011); (c) a square in Venice (2010); (d) the refurbished transport node of Montesanto in the historical centre of
Naples (2009) (Photomontage by the authors).

From the environmental point of view, the
residential and commercial balance in each area is a
fundamental tool in securing a less car-oriented living
model, as small retailers allow residents to meet their
everyday needs by walking, thus, it represents a real
and proper pillar in ensuring a sustainable urban
lifestyle [27]. Furthermore, the link between small
retailers and niche local production helps to ensure a
more consistent and efficient supply chain, avoiding
useless freight transportation costs, as well as
reinforcing the relationship between the urban and
rural environments [28].
Although these are remarkable and valuable
features in the traditional European urban model,
nowadays the changes in the international retail
organization system are deeply impacting on the
commercial functions of some urban areas. In
particular, shopping malls and other large shopping
centres present potential forces for dramatically
reshaping the urban and suburban landscapes.
The research project, starting from the theoretical
perspective described, aims at defining a participatory
process to physical rehabilitation and
social-economics regeneration centred on the
enhancement of local art-and-crafts and retail
traditions. The participatory process needs to be
developed through involving local stakeholders such
as: local authorities, entrepreneurs, retailers and
artisans, representatives of local services, developers
and planners, academics involved in research and
education activities related to the area and
representatives of local communities.
The conceptual framework consists of the
possibility of merging urban design, community

1213
planning and economic procedures in order to build a
new tool for renovating degraded public spaces and
improving the attractiveness and accessibility of
deprived urban areas by focussing on the high
potential of local commercial activities. The research
can assist policy-makers in coping with the needs of
urban regeneration by setting up an analytical process
to understand how a public-private partnership
oriented to sustain local retail can be both market-led
and social-led.
In the 1990s, the PPPs (public-private partnerships)
have been considered as a key tool of public policy
across the world [29]. In some cases, PPP
(public-private partnership) can be considered as a
cooperation between public and private sectors for
developing services through risk and cost sharing. In
other definitions, PPPs are informed on a mutual
commitment between a public sector organization
with any other organization: from non-profit NGOs to
private companies market-led. As concern the balance
of roles among partners, in PPPs both public and
private parties share costs, revenues and
responsibilities [30]. There are different forms of
mutual commitment, of cost and revenue sharing and
of subjects participant in PPPs oriented to
regeneration processes [31]. In Italy in the 1990s, the
planning culture has been massively interested with
the integrated programs experience [32], and the
definition of partnerships between local
administrations (such as city council) and developers
and other investors on the private side.
The research starts by highlighting integrated
approaches related to credit access, local resources
promotion, job creation, typical retail protection and
community engagementin order to understand how
the territorial milieu can contribute to create the
necessary critical mass for improving local urban
regeneration initiatives [33].
In so doing, the development of the case study
approach has been conducted under the umbrella of
the Local Action Plan implemented within the
framework of the CTUR and Hero projects of the
URBACT II Programme in Naples.
3. Case Study Analysis: The Local Action
Plan of Naples Citt Bassa
The research here presented has been developed
along diverse routes for empirical applications. In
particular, two projects guided by local
administrations and oriented to make possible a wide
public-private partnership have been chosen to cross
the theoretical premises with a case study approach.
The projects Cruise activity and the recovery of
urban and harbour building heritage: strong elements
of the common interest of sea towns to develop and
strengthen the urban tourism sector (CTUR) and
Heritage as Opportunity (Hero) of the URBACT II
Programme [34] have been both developed
(2008-2011) by a network of European cities. The
core idea of the first one has been to improve
competitiveness and liveability of port cities through
the waterfront revitalisation (including derelict
industrial areas) in an overall approach of the port city
development, creating a mix between maritime and
urban activities within the framework of an integrated
approach of sustainable development. The second
projectdealing with the challenging management of
historic towns in Europefocuses on heritage cities
throughout Europe, in order to enhance balance
between the safeguarding of heritage and the
development of the city, taking heritage as an
economic driver. These projects are both completed
and are now in the process of being implemented in
the local policies and are the base of the new projects
promoted by the Neapolitan City Council in order to
deepening the concept of land consumption in the
historic centre.
Briefly, Naples can be considered one of the
prominent ancient settlements in Europe and part of
the Mediterranean basin (Table 1). Its historic centre
is a unique example of architectural stratification
through the centuries and is still a vibrant catalyst of

1214
mixed activities without any museumification
phenomena. Along with these positive aspects there
are many problems, such as the high population
density, the low education indexes, the severe status
of the labour market linked to the lack of private
activities and job creation initiatives, the presence of
criminal organizations and the strong rehabilitation
needs of the built environment, including the cultural
heritage.
The complexity of this local scenario of resources
and challenges is the humus for nourishing the local
initiatives we have chosen as paramount cases to be
described [35].
The first step has been the definition of the case
study domain in terms of location, size, functional
organization and general characteristics. Through the
dialogue with the Urban Planning Department of the
City of Naples, the active observations in different
daytimes, weekdays and seasons as well as the
discussion with local stakeholders and scholars in
charge, a specific area involved in these
comprehensive projects has been chosen in order to
address the topics of the research.
The coexistence in the same area of various urban
planning and management tools, of several UE-funded
initiatives as well as of grassroots movements and of
traditional local economic activities can be considered
the ideal scenario for developing a complex
participatory process of urban regeneration to be
tested and generalized. The research in progress here
introduced has been developing in parallel andon
some topicsin cooperation with the planners in
charge for the cited URBACT projects conducted by
the City of Naples (Table 2).
The area of Citt Bassa, despite having previously
had a strong commercial character, suffers since the
end of the Second World War relative neglect and
gradual decay. In this context, some relevant key
issues can be pointed out with regards to: the physical
aspects such as location, accessibility, built
environment conditions, cultural issues such as
historical heritage, monuments, arts and crafts
traditions; and social scenario in terms of social
deprivation indices (Table 3).
The work is premised on enhancing local
revitalization and regeneration processes by focussing
on the potential of an integrated approach to
commercial activities, among the key issues related to
the urban revitalization of the historical urbanscape.
This is to be addressed in Naples by meeting the needs
of different stakeholdersthe linkage with the cited
URBACT projects is to secure traditional shops and
retail trade structures as these ones are struggling to
survive and to set up new governance structures for a
better coordination of the revitalization activities [34].
The focus area for Hero projects is Piazza Mercato,
which is connected to an overall URBACT LAP named
Citt Bassa [34] included in a comprehensive
intervention called The waterfront of the historic
centre and port area from piazza Municipio to piazza
Mercato: a sustainable development through the
improvement of the cruise tourism impact, which also
concerns the LAP of the URBACT Thematic Network
CTUR (Cruise Traffic and Urban Regeneration) lead
by the City of Naples [36].
The area of Citt Bassa of Naples reflects all the
issues, criticisms and potentiality related to the
integration of typical handicrafts, dense residential
uses, traditional commercial activities and the
historical character of public places. This wide and
articulated area lies between the port and the historical
centre which has been listed as a World Heritage Site
by UNESCO since 1995 (Fig. 2).
The study area is included in the range of influence
of the Local Action Plan built by the city with the help
of its LSG (local support group), within the
framework of the URBACT projects. The LSG as
defined by Hero is to support the development and
implementation of the Integrated Cultural Heritage
Management Plan, which is oriented towards the needs
of the historic urban area and its users, offers the
unique opportunity to bring the different stakeholders
Improving Convi viality in Public Places: The Case of Naples, Italy

1215

Table 1 Naples at a glance.
Classification Properties
Location Capital of the Region of CampaniaSouthern Italy
First settlement VI century B.C. as a Greek settlement
Population 1,004,500 inhabitants (City Council of Naples, census 2001)
Pop. density 8,556 inh/sq km (City Council of Naples, census 2001)
Unemployment rate 31.39% (City Council of Naples, census 2001)
Income per capita 25,565.81 (Finance Ministry, 2009)
Historic centre UNESCO recognizes the OUV (outstanding universal value) of the historic centre of Naples (1995)

Table 2 Plans and programmes which coexist in the study area.
Plans and programmes Study area
They connected to the
ERDF 2007-2013
DOS (Strategic Guidance Document)
Integrated Urban Plan EUROPE for the historic centre of Naples (PIU EUROPA)
Grande Programma UNESCO (UNESCO Great Programme)
Strategic Plan of Naples
Hero Naples Historic Centre World Heritage Site Management Plan (WHSMP)
Project of renewal of Borgo Orefici under 2000-2006 ERDF Funds

Table 3 Citt Bassa: some relevant aspects.
Classification Properties
Location Enclave between the port area and the historic centre UNESCO WHS
Accessibility
15 km from Capodichino International Airport
Near the Central Railway Station
Served by four metro stations (2 of those need to be completed)
Near the local and regional maritime transportation nodes of Beverello Quay and Porta di Massa Quay
Historical heritage
Porta Nolana gate of the ancient city walls
The renaissance church of SS. Cosma e Damiano
The ruins of Castel del Carmine
The baroque church of Santa Maria del Carmine
SantEligio Maggiore Church of the Angevin period dated 1270
Art and crafts tradition
Borgo degli Orefici (goldsmith quarter) since the fourteenth century
Piazza Mercato Old Marketplace
Antiche Botteghe tessili (textile market)
Typical handmade street food
Social deprivation
Unemployment rate (Mercato district 38.01%, Pendino district 40.37%)
Illegal immigration
Hidden and informal economic activities
Built environment
Low level of housing maintenance and technological retrofitting
Abandoned and decayed public places
Lack of spaces for pedestrian uses due to cul-de-sacs, squares transformed in parking areas, inefficient
street lighting, abandoned ground floors (38% unused sqmsource Si.Re.Na Company)
Buildings which provide physical and visual barriers between the area and the waterfront

together [34]. The Neapolitan LSG has been formed
as the first step of the URBACT projects and has
become the main interlocutor of the different kinds of
local initiatives such as research fieldworks,
entrepreneurships, training and programmes for the
control against informal and hidden economy.
The fieldwork here presented has been oriented to:
Collect, analyse and compare the initiatives
promoted within the EU-funded projects CTUR and
Hero with the other top down initiatives promoted by
the City Council of Naples;
Develop a session of active observations,
informal interactions with people met in the area,
morphological analysis;
Participate in focus groups, local initiatives,
meetings with local stakeholders;

1216
Discuss with local stakeholders the results of the
LAP activities and the relevant questions emerged
through participation in the activities of the LSG.
The results of this fieldwork could be summarized
in the general idea that the LAP (Local Action Plan)
of Naples Citt Bassa could become an experience of
paramount importance due to its mixed and complex
character (Table 4). Focussing not only on social
indices and economic issues, the added value of the
LAP can be considered the capacity of integrating
both the approaches: built environment and historic
heritage rehabilitation on the one hand and economic
strategies on the other. Within the LAP of Naples
Citt bassa emerges a strategic approach in focusing
on the reconnection of the historical city centre with
the harbour as engine for enhancing the vitality of the
commercial district included in the area. The
economic stakeholders (retail consortia, artisan
consortia, shipping developers, building developers)
suggested to enhance the LAP through collecting
resources in order to support the specific rehabilitation
projects included in the plan. The priorities emerged
are: the development of sustainable tourism, the
creation of business incubators related to the
traditional artisanal and retail activities of the area, the
increasing of commercial attractiveness through
enhancing accessibility to the area, and job creation in
specialized fields. From both the economic and social
side, the stakeholders involved have identified as
result obtained by the LAP the impact achieved at the
local level by transferring the knowledge acquired in
the URBACT process to local policies, programmes
and actors. This has been accomplished by scaling-up
some of the action plans at the policy level and
integrating them into mainstream services, as well as
by securing funding through the Operational
Programmes of the ERDF (European Regional
Development Fund) for their implementation (Table 5).
Every subject interviewed agrees that the process has
also contributed to creating new partnerships between

Fig. 2 The study area of Citt Bassa of Naples and Piazza Mercato (Courtesy Stefania Oppido).


1217
Table 4 Citt Bassa LAP: main aims and objectives.
No. Main aims and objectives
1 Requalification of the waterfront monumental area and nearby historic urban area
2 Refunctionalization of the city and the port heritage
3 Maximize the economic and social impacts of the projects
4 Support the social and economic development of the Citt Bassa quarter based on historical activities

Table 5 Citt Bassa LAP: flagship projects investments (CTUR and Hero).
Projects Responsible Funds allocated Source
Cultural heritage safeguardingbuilding restoration
Old Monastery Carminiello (School) City of Naples 3,000,000 ERDF 2007/2013
S.Eligio Monastery 2,500,000
Borgo Orefici requalification SiReNa 17,670,000 Public/private
S.Maria Portosalvo Church Private 1,200,000 Private
Public places requalification City of Naples 5,140,000 ERDF 2007/2013
Requalification of complex ambit in the area 10,000,000 ERDF 2007/2013
Underground parking and requalification of related areas 13,500,000 ERDF 2007/2013
Business incubator for goldsmith and textile activities
City of Naples
Private consortia
1,000,000
ERDF 2007/2013
Private funds
Tramlines and requalification of via marina City of Naples
4,203,491
13,997,299
ERDF 2000/2006
Public/private funds
Shuttle connection to the maritime nodes Port Authority of
Naples
750,000
Port Authority of
Naples
Sources: Hero Flagships Projects 2011 and CTUR Naples Local Action Plan [37].

different levels of government and the involvement
and participation of private stakeholders in the
development of the project. The LAP has been
developed through the active participation of different
categories of local stakeholders, designing a new
possible structure of PPP.
4. Conclusions
The complex and articulated scenario of PPP tools
offers the possibility of identify a possible dynamic
system of relationships between subjects, actions,
resources, roles and evaluation of the results. In
particular, the case study approach is needed to design
a sort of fuzzy-architecture of the partnership models
aimed at facilitating local private and public initiatives
within the framework of the common interest of
generating social and economic enhancement. A
bottom up approach, oriented not only to collect
demands and needs from the territory but also to
encourage private initiatives, start-ups, non-profit
organizations, and other forms of investments, will be
elaborated and discussed with local stakeholders.
Starting from the virtuous process launched within
the framework of the URBACT LAP here analysed
and applying the methodological premises of the
CLUDs project, an adaptive model of urban
regeneration based on commercial activities is
currently being definedin cooperation with the local
stakeholders involved in the transformations of the
study area.
Evidences from the fieldwork states that in specific
conditions local traditional commercial areas could
play an important role as drivers of urban regeneration
and cultural enhancement. The conditions identified
are:
The former or current presence of local art &
craft and/or cultural traditions that could be the media
for enhancing the collective sense of belonging to the
area and building the critical mass for developing a
regeneration process;
The activation of bottom up (predominantly
private) and/or top down (predominantly public)

1218
projects oriented to support local initiatives in terms
of social activation, job creation, place branding,
public places rehabilitation;
The participation of local economic and social
stakeholder to the decision making process in order to
better address priorities and resources.
In the context analysed, the LAP has been
considered an important instrument for merging
together the above conditions and for encouraging the
dialogue between the stronger stakeholders of the
LAP area, such as the Port Authority, the City Council
and the other public actors involved on one side, and
the communities, the arts and crafts private consortia,
the developers and the port operators on the other side.
By setting up the local support group, the URBACT
projects acting in the area have created a positive
process: first, the initiatives developed by public
bodies started the auditioning process and the
collection of resources; subsequently, private bodies
and civil society have become part of the process.
As we can see, in the LAP experiences analysed,
the initiative starts with the involvement of public
bodies whose activites are primarily oriented to
identify priority for public investments and to engage
other public and private stakeholders. This process has
been developed by the City of Naples and the LSG
using a wide participatory process involving different
categories of city-users, producing a huge data and
information collection from the territory, providing a
big effort in terms of sourcing and integration of
financial resources and involving different categories
of city-users.
The institutional architecture of the partnerships
between public and private actors in the area and the
relationships between these partnerships and the
projects funded in the area depends on the National
Operational Programme of the Campania Region
funded within the ERDF 2007/2013. The LAP can be
considered the process for bringing together the local
initiatives with the main flagship projects funded by
the public sector, in order to enhance the results of this
bottom up approach by creating the humus for
nourishing the non-profit private initiatives of urban
regeneration driven by the development and
rehabilitation of commercial areas in a wide profitable
and marketable way.
The next step of this ongoing research should be,
according to the CLUDs rationale, the investigation of
the potentiality of the territorial milieu in enhancing
the building capacity of the commercial local districts
in the city core.
Acknowledgments
This presentation draws from the cooperation
between the research program CLUDs funded within
the framework of the EU IRSES Marie Curie 7FP and
the Urban Planning unit of the National Research
Council of Italy (CNR-IRAT).
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Design Drivers for Affordable and Sustainable Housing
in Developing Countries
J ohn Bruen
1
, Karim Hadjri
2
and J ason von Meding
3

1. School of Planning, Architecture and Civil Engineering, Queens University Belfast, Belfast BT9 5AG, UK
2. School of Built and Natural Environment, University of Central Lancashire, Preston PR1 2HE, UK
3. School of Architecture & Built Environment, University of Newcastle, Newcastle 2308, Australia

Abstract: Current demand for housing worldwide has reached unprecedented levels due to factors such as human population growth,
natural disasters and conflict. This is felt no more so than in developing countries which have experienced disproportionate levels of
demand due to their innate vulnerability. Many current approaches to housing delivery in developing countries continue to utilize
inappropriate construction methods and implementation procedures that are often problematic and unsustainable. As such
affordability and sustainability are now vital considerations in the international development debate for housing the poor in
developing countries in order to meet the long term sustainable development goals and needs of housing inhabitants. This paper
utilized an extensive scoping study to examine the various facets impacting on design decision making relative to sustainable and
affordable housing delivery in developing country contexts. Aspects of affordability, sustainability, design decision making,
appropriate technology use, cultural awareness, as well as current barriers to affordable and sustainable construction in developing
countries are examined in detail. Results highlighted the capability of indigenous knowledge, skills and materials as well as selected
appropriate technology transfer and cultural awareness by foreign bodies can be utilized in innovative ways in addressing current
housing needs in many developing country contexts.

Key words: Sustainable housing, low-cost housing, design decision making, affordability.

1. Introduction

Shelter is one of the most basic human
requirements for survival. The provision of adequate
and appropriate housing can be deemed to address this
basic need. However, the provision of adequate
housing also meets more than humans immediate
needs and has the potential to contribute significantly
to a wider social, environmental and economic context
and to a better quality of life and personal fulfillment
for its inhabitants through aspects such as
employment generation, knowledge transfer and
training, value and cultural continuity and improved
health conditions [1]. However, the struggle for
adequate housing in many developing countries is
considerable and set to continue to rise in future

Corresponding author: J ohn Bruen, B.Sc., B.Arch., M.Sc.,
RIBA chartered architect, research fields: post disaster
management and sustainable housing. E-mail:
jbruen01@qub.ac.uk.
decades unless addressed.
As such housing is central to much international
debate in many developing countries. Vast numbers of
people find themselves without adequate shelter due
to housing shortages experienced in many of these
areas and this is well documented in current literature
[2-4]. However, much of the current literature
highlights various aspects that impact on the provision
of housing in various developing country contexts
worldwide without focusing solely on dwelling design
and the aspects that impact the designers decision
making, i.e., the barriers and drivers of design. This
paper provides findings from various developing
country contexts to enable the identification of
common aspects that impact designers decision
making in various developing country contexts
worldwide. Tipple [5] states that it is almost
impossible to determine the exact shortage of housing
DAVID PUBLISHING
D
Design Dri vers for Affordable and Sustainable Housing in Developing Countries

1221
in the developing world due to limitations such as
insufficient data, little agreement on units of
measurement, the length of time data takes to collate
and publish and data going out of date very quickly.
Housing shortages can often be traced back to two
main sources as follows.
1.1 Pace of Growth of Developing Countries,
Governmental Policy and Countries History
The pace of growth and industrialization in many
developing countries has led to rapid urbanization and
increases in population. The UNCHS (United Nations
Centre for Human Settlements) estimates 95% of the
worlds total population growth in the last decade has
occurred in developing countries and that these
countries will contribute 2 billion new residents
during the next 25 years [3]. Between 2007 and 2025,
the annual urban population increase in developing
regions is expected to be 53 million compared to 3
million in developed regions [3]. This increase has
already resulted in severe housing shortages, urban
poverty and homelessness in many countries and the
development of slums/shanty towns/informal
settlements on the periphery of many major cities. As
a result, slum dwellers now represent more than 50%
of the population in many developing countries with
close to 1 billion people, or 32% of the worlds
current urban population, live in slums in inequitable
and life-threatening conditions [3]. As such, the
informal sector is recognized as the biggest producer
of housing in many developing countries [4].
1.2 Natural Disasters and Conflicts
The devastation resulting from natural disasters and
conflicts is most frequently observed in developing
countries due to innate vulnerability and lack of
knowledge and resources to adequately implement
disaster mitigation strategies or post disaster/conflict
recovery strategies. Between 1974 and 2003, 6,367
natural disasters occurred globally, causing the death
of 2 million people and affecting 5.1 billion people. A
total of 182 million people were made homeless. Of
these natural disasters a total of 98% of the 211
million people affected annually from 1991 to 2000
were in developing countries [2]. The devastation
caused by many of these scenarios involves the
destruction of much of an areas built environment,
i.e., housing (shelter), hospitals, shops, schools etc.,
services infrastructure (water supply, heat and sanitary
requirements) transport infrastructure (roads, rail).
The destruction of these basic human requirements
has many consequential types of fallout such as
health, economic and social upheaval in the affected
country.
2. Methodology
As the research area is quite broad a scoping study
was selected as the most appropriate research method
for this review in order to summarize the key findings
from all available literature and also to identify the
potential gaps. This approach is particularly relevant
to this particular study as there are numerous sources
of information available from various organizations
and bodies, i.e., academic journals, industry journals,
international housing organizations, NGOs
(non-governmental organizations) etc.. In-depth and
broad findings on the topic were sought from current
available literature to enable conclusions and findings
to be disseminated to relevant stakeholders who may
lack the time or resources to undertake the study
themselves i.e. designers, policy makers, community
organizations, NGOs. Arksey and OMalley [6] state
that scoping studies are appropriate in this context as
they are guided by a requirement to identify all
relevant literature regardless of study design as
opposed to been guided by a specific research
question as may be the case in a systematic literature
review.
A five point framework developed by Arksey and
OMalley [6] was utilized for this scoping study. This
framework firstly consisted of developing a research
question, secondly identifying the relevant literature,

1222
thirdly selecting the relevant literature, fourthly
charting the data and finally summarizing and
reporting the findings in a concise manner. The
selected research question was broad in nature to
cover the main aspects to be covered by the study:
What are the main barriers and design drivers for
affordable and sustainable housing in developing
countries?
In keeping with Arksey and OMalley [6] proposed
framework and in order to generate a broad range of
coverage an extensive approach using selected
keywords was utilized to identify relevant data. This
consisted of journal publications searches in major
registers such as Avery, INFORM Global, Zetoc, Web
of Science and Compendex. A further internet search
using Google Scholar was utilized to further expose
publications or grey literature. Bibliographies and
references were studied to locate further useful
information for the study. Website searches of suitable
reputable organizations such as Un-Habitat, national
and international housing NGOs, housing charities
and open access journals, were examined for relevant
information, i.e., field reports, policies, case studies
etc.. The latter approach is quite a relevant data
collection method in relation to this particular topic as
open access to information and knowledge transfer,
with the aim of improving housing for the poor in
developing countries, is an aspiration of many
organizations operating in the field of housing
provision in developing country contexts and the
making available of their information is to be
commended.
Following elimination of irrelevant studies a total
of 649 references were identified from the various
searches outlined. Following further in-depth reading
of titles and abstracts 154 were selected for further
reading of which 55 were used in the final reference
list. Mapping of the findings were divided into various
headings and sub heading to address the overall
research question. The overall main headings
consisted of: (1) barriers and challenges to sustainable
construction in developing countries; (2) main design
drivers with the potential to contribute to
affordable and sustainable housing in developing
countries.
3. Current Approaches to Housing Design
and Delivery
The two main causes of housing shortages outlined
share many commonalties in that in both situations
should the housing shortage be addressed using
conventional unsustainable construction techniques
then the environmental effect alone of this approach
would be devastating considering the vast scale of
housing required in developing countries. While the
majority of efforts by decision makers such as
governments, NGOs, CBOs (charity based
organizations), etc. to address housing shortages have
the best intentions of people central to their efforts,
the literature highlights that the current approaches to
housing shortages often involve a top down approach.
This means that many communities are not involved
in participation to the level that they should be to
ensure their short and long term settlement needs are
satisfied in an appropriate manner.
The global shortage of housing requires appropriate,
affordable and sustainable responses that cater to
severely affected regions worldwide. Erguden [1]
highlights that policies and approaches for housing in
developing countries have evolved over the past
number of decades from one centered on government
provided social housing to one of self-help to the
current common approach of enablement in which all
parties support a people centered housing process to
obtain housing delivery goals. Although the
enablement based approach is generally considered to
be the most appropriate many approaches currently
fall well short of the desired aspirations in relation to
affordability and sustainability. Reffat [7] states that
the concept of sustainability has only recently been
introduced into developing countries construction
industries and that sustainability and sustainable

1223
construction are not yet an essential part of the
decision making process. Traditionally, affordability
in mainstream housing markets is associated with
economic and social sustainability with little emphasis
on environmental sustainability [8]. Perceived higher
costs and underlying socio-cultural factors also
contribute to the lower levels of social acceptability of
sustainable construction in the main stream affordable
housing market [9, 10]. Global inequalities and
economic constraints in many developing countries
have also resulted in pragmatic governance decision
making in relation to sustainable social and
environmental goals being made more difficult [11].
In many instances, organizations have to provide
housing to meet the immediate term shelter needs of
large populations, at times due to natural disasters or
conflicts, and this is often given priority over long
term aspects such as sustainable design, participation
and reference to local materials and techniques.
Sustainability is thus often perceived as an additional
cost to standard practice and is not a necessity but
rather a luxury of the rich [7, 12].
Many current approaches to housing provision are
left to what professionals from the formal sector and
international bodies consider the most appropriate
solution which is often at odds with the expectations
of the future house inhabitants and environmental
ideals [13, 14]. Many current approaches often
employ a one hat fits all or quest for a universal
approach to addressing the current housing shortage in
developing countries. Often these approaches involve
imported industrialized materials, western
construction techniques and typologies not common to
the surrounding context. This is often due to the
perception that the west knows best and these
solutions are deemed to be associated with wealth,
progress, prosperity and globalization. This is a
flawed belief and demonstrates a clear lack of
understanding and vision on behalf of the different
decision makers involved in implementing these
approaches. This often results in rigid monotonous
constructions and typologies which ironically can
have negative effects on the end users long term needs
and wellbeing, i.e., replacement of traditional
settlements with modern towns and lack of cohesion
between the towns inhabitant leading to
socio-cultural and economic negative effects [15]. The
manufacture and import of many of the materials used
also result in houses that are not affordable for the
masses of population that require them [16] as well as
being environmentally unsustainable.
4. Barriers and Challenges to Sustainable
Construction
Various literature [4, 17-25] highlights the common
barriers faced in trying to implement sustainable
construction in developing countries:
Environmental sustainability is often a low
priority in developing countries, and the need for
immediate shelter is primary for the majority;
Psychological and sociological issues in relation
to use of alternative materials and its acceptability by
people, i.e., status of certain materials deemed for the
poor only;
Effects of globalization and desire of many to
imitate housing approaches of the west leading to
inappropriate imported typologies, materials, designs
etc.;
Lack of overall holistic approach to sustainable
design, i.e., social, cultural, economic and
environmental;
Lack of training and education in sustainable
design and construction leading to lack of necessary
design and building skills available;
Lack of access to adequate information and
knowledge on sustainable development and design;
Inadequate government planning and policy
making;
Perceived higher cost of sustainable building
approaches;
Scarcity of professional capabilities, i.e.,
designers and project managers;

1224
Lack of demonstration examples of best practice
sustainable construction approaches;
Disincentive factors over local material
production, i.e., government supplying alternative
imported materials;
Need to develop cost effective construction
technologies;
Building materials are becoming ever more
expensive. Need to utilize locally available materials
to suit local typologies;
Lack of guidelines available on selection of
appropriate building approaches and packages, i.e.,
materials, methods, designs, equipment;
Unaffordable land and housing prices and lack of
land tenure;
Inadequate housing finance systems;
Lack of support of small scale construction
industries;
Inefficient or inadequate implementation
strategies;
Lack of research and experimental findings;
Lack of implementation and promotion of
research findings on appropriate approaches;
Gradual vanishing of traditional wisdom and
knowledge on local material and construction
techniques;
Historical legacies of race and class;
Lack of government or political backing to
sustainable development;
Inappropriate procurement systems;
Inability to adopt best practice;
Bureaucratic impediments to the implementation
of housing;
Inappropriate building regulations;
Lack of consultation and capacity building with
housing inhabitants;
Poor housing management and planning policies
at both a national and local scale in many countries.
In order to address these barriers and challenges a
clear and concise design approach is required to
identify them from the outset of projects and propose
methods of enabling designers and other stakeholders
to address them so as not to have a detrimental effect
on the long term overall affordability and
sustainability goals of the project.
5. Main Design Drivers with the Potential to
Contribute to Affordable and Sustainable
Housing in Developing Countries
This study focused primarily on the design
considerations of appropriate and suitable low-cost
sustainable housing to meet current shortages. The
literature indicates that in relation to the design of
dwellings there are three main broad areas that offer
the potential to significantly contribute to the
provision of affordable and sustainable housing in
developing countries.
5.1 Appropriate Design and Material Selection
Efforts to address immediate housing needs should
simultaneously address the long term needs and
sustainability of the communities which they intend to
serve in terms of social, economic and environmental
sustainability [17]. The increasing demand for
housing has resulted in an urgent need for crucial
research into new design approaches and use of
alternative materials in housing delivery [17]. Mehta
and Beidwell [26] argue that increasing the quality of
life in developing countries requires optimum use of
local natural resources and labor over imported
materials, increasing the potential for greater
affordability.
Material supply has been recognized by many as
one of the main contributors to the provision of
affordable and sustainable housing, contributing up to
70% of the total direct costs of housing construction
[25, 27-30]. The use of localized materials, skills and
construction techniques in design has the potential to
dramatically reduce the cost of housing compared to
westernized techniques, while simultaneously
contributing to sustainable housing solutions
[31-35].

1225
5.2 Participation, Knowledge Transfer and Use of
Appropriate Innovative Technology Specific to
Developing World Contexts
Despite the fact that over two thirds of the worlds
population live in developing countries, to date the
developed world has led the way in global
environmental destruction [36]. It is also developed
countries that have dominated research in relation to
sustainable construction, much of which is aimed
specifically towards a developed country context. This
has led at times to a non holistic approach to
sustainable housing with technical cost reduction
measures often employed to a large degree with little
consideration given to what housing means for its
users [37]. Many current approaches result in
conflicting and competitive issues in technological
economic sustainability verses cultural and social
sustainability [18]. There is recognition that
sustainable development approaches and technologies
established in the west are not always desirable and
the evidence shows that if not implemented correctly,
these approaches will prove unsuccessful [24, 37, 38].
New approaches need to be adopted for the vastly
different contexts within developing countries and
local conditions, knowledge and culture must be given
full recognition [39].
Participation by relevant stakeholders in all stages
of the design and delivery process has been
recognized as an appropriate approach to housing
provision in developing country contexts [40-43]
Knowledge creation, exchanging and sharing of skills,
knowledge and experiences between the relevant
stakeholders are recognized as effective approaches in
ensuring technical, cultural, economic and
environmental aspects of housing design and delivery
are addressed in an appropriate manner [1]. The use of
appropriate technology should work in conjunction
with design and materials and should correspond to
local conditions and culture and be durable, reliable,
require a minimum of maintenance and be fit for
modern living [27, 44].
Plessis [4] argues that although the level of
development required in developing countries may be
a cause of despair it can also be seen as an opportunity
to learn from developed nations, avoid the problems
experienced by developed countries, and follow a
more sustainable development path, of which housing
will play a major part. In addition, Plessis [45] argues
there is no clear guidance as to what sustainable
development of the built environment means and how
sustainable development can be incorporated into the
decision making process, further adding that the
academic debate in developed countries has little to
offer except where applies to the hi-tech world of the
West. She further states that in order for sustainable
development to be effectively addressed societies can
not isolate themselves and two way communication
and dialogue between developing and developed
countries is required. This sentiment is backed by
Cole and Lorch [46] who argue that environmental
issues require international cooperation in setting
agendas, targets, assessments and standards as well as
the sharing of sound environmental knowledge and
practice.
Much of what we know as transfer of knowledge is
attributed to factors such as globalization and
advanced technology and communications. However,
Oliver [47] highlights that cross cultural transfer and
exchange of knowledge and ideas has always existed,
it is just that it has never existed at such an accelerated
rate due to modern technology and globalization.
Vellinga [48] notes that globalization and the transfer
of technology between different cultures need not
necessarily be a cultural treat and that cultural
hybridity is nothing new, stating that the important
factor that influences its acceptance and success is the
opportunity to appropriate it to local traditions, ways
of life, cultural values and customs. As such Vellinga
[48] states that globalization can best be regarded as
an infrastructure which facilitates the appropriate
exchange and transfer of new ideas and practices
including green technologies for the built

1226
environment.
5.3 Design Decision Making Assistance and
Assessment Tools
Fray and Yaneske [49] suggest that the problem with
many responses to sustainability is that decisions are
made with limited knowledge and information.
Building and construction play an important role in
supporting sustainable development in developing
countries and as a consequence the vast demand for
housing is a significant issue that must be prioritized.
However, it is recognized that the relationship between
the two is a complex one and that an assessment
framework and structured approach are effective
methods to integrate sustainability into buildings in
developing countries [7, 50]. Sustainable assessment
tools to date have mainly focused on a developed world
context [51] and focus mainly on technological
solutions. Aside from established assessment tools from
developed nations, i.e., BREEAM (UK), LEED (US),
GBTool (Multi National), EcoHomes (UK) there is
little in the current literature to demonstrate the
existence of any main assessment tool specifically
directed to sustainable housing in developing countries.
However, the need to develop context specific
assessment tools for developing countries that cater for
a wider group of stakeholders has been recognized,
given that existing developed country tools are not
deemed appropriate [51-57].
6. Conclusions
This paper presented the findings of a scoping study
examining the various aspects impacting on the design
and delivery of affordable and sustainable housing in
developing country contexts worldwide. The paper
utilized various relevant information sources to
identify the main design barriers and challenges
designers operating in housing provision in
developing country context face and should be aware
of from the outset of their design projects. The study
further recognizes three drivers for design that if
utilized could offer the potential to significantly
contribute to the provision of appropriate housing
design and delivery in developing country contexts.
The study focused on aspects of sustainability
beyond environmental aspects alone and addressed
aspects such as economic and social elements which
all form the triple bottom line many experts associate
with sustainable design. It is concluded that the
aspects identified in this study can be addressed
through an informed design decision making process
which considers the various design challenges,
barriers and drivers as identified in this study. This
paper will assist in the decision making of the various
bodies and professions responsible for implementing
housing design and provision in developing country
contexts, i.e., governmental bodies, policy makers,
NGOs, CBOs, planners, architects, engineers and
developers.
This paper utilized information sources based on
many different developing country context worldwide
to identify design barriers, challenges and drivers that
are common to developing country contexts at large in
order to enable design practitioners in developing
countries to ensure these aspects are given due
consideration in their design decision making process.
The author recognizes that many individual
developing country contexts, or regions within
developing countries, will have individual or region
specific factors that will require more in-depth study
by designers operating within that context in order to
fully establish local design considerations in sufficient
specific detail to ensure appropriate design responses
for that specific region. As such further research
studies on individual developing country contexts by
both academics and practitioners of individual
countries or regions will enable more region specific
detail to be obtained under the various design
consideration aspects identified within this paper and
add to the knowledge base for designers operating in
that specific region or country. Appropriate
dissemination of design knowledge gained from

1227
individual contexts research is essential to ensure that
the various potential users identified above have
access to the relevant knowledge and guidance and
that it is utilized to its full potential in practice.
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339-347.

Investigation of Bed Joint Reinforcement Influence on
Mechanical Properties of Masonry under Compression
Lukasz Drobiec
Department of Building Structures, Faculty of Civil Engineering, Silesia University of Technology, Gliwice 44-100, Poland

Abstract: The results of investigations of compressed reinforced masonry walls subjected to axial compression are presented. Tests
were carried out using specimens made of clay bricks and cement-lime mortar. As reinforcement, smooth and spiral twisted
longitudinal rods, two types of structural wire mesh and truss type reinforcement were used. Two percentages of bed joint
reinforcement, about 0.1% and 0.05% were applied. For each type of reinforcement, three masonry walls were tested. Additionally,
nine unreinforced models were also tested. The main aim of the investigations presented is to determine the effect of different types of
reinforcement on the load capacity and failure. Measurement of the strains of reinforcing bars permitted the recording of the strain level
at the moment of crack appearance and also at the moment of failure.

Key words: Reinforced masonry, bed joint reinforcement, compressed masonry.

1. Introduction

Reinforcement has been used in masonry structures
for about the last 200 years. Bed joint reinforcement is
usually used for in-plane bending elements (like
masonry lintels, walls affected by considerable
deflections of floors) [1-7]. Moreover, it could be used
in places of stress concentration (corners of window
opening) [1, 4-8] and in wall areas under concentrated
loads [6]. Of course, reinforcement is also used in
elements endangered by shrinkage or thermal stresses
[1, 8], or a horizontal load (wind load) [5]. In building
practice, bed joint reinforcement is also used in
buildings with timber floors where it takes over the
stress irregularity from the rim under the wall plate [1,
4-6, 9]. Moreover, bed joint reinforcement is also used
for reducing of scratching [4, 10-11] protecting against
seismic and paraseismic influences [7] and for
improvement of masonry mechanical properties [11].
All the above cases of bed joint reinforcement
application show that it is usually used in elements
loaded mostly vertically. Unfortunately, the research

Corresponding author: Drobiec Lukasz, Ph.D., C.Eng.,
research fields: concrete structures and masonry structures.
E-mail: lukasz.drobiec@polsl.pl.
into compressed masonry with the reinforcement
situated in the bed joints comprises only a few levels of
reinforcement percentage. Most investigations concern
unreinforced masonry specimens under compression.
Tests of vertically compressed reinforced masonry
wallettes are presented. Four types of reinforcement in
the form of longitudinal bars and structural wire mesh
were used. The influence of such types of
reinforcement on the load capacity, deformability and
crack resistance was determined. Among other things,
the influence of longitudinal bars as opposed to wire
mesh on the failure form was observed. Measurement
of the strain of the reinforcing bars permitted the
measurement of the strain level at the moment of crack
appearance and also at the moment of failure.
2. Test Models
Investigations were carried out using test specimens
with overall dimensions of 1,265 mm 1,030 mm
250 mm shown in Fig. 1. All elements were built of
clay bricks (with dimensions 65 mm 120 mm 250
mm) and cement-lime mortars 1:1:6 (portland
cement:lime:sand). The depth of mortar joints in
masonry models was 10 mm. Tests included 9 sets of
DAVID PUBLISHING
D
Investigation of Bed Joint Reinforcement Influence on Mechanical
Properties of Masonry under Compression

1230

Fig. 1 Test specimen.

the unreinforced masonry specimens marked as A
and 24 specimens with 4 types of reinforcement. Two
reinforcement percentages: about 0.1% and about
0.05% were used. The first type of reinforcement was
smooth stainless steel bars with a diameter of 6 mm.
The second was spiral twisted bars of one of the British
systems for protection and strengthening of masonry
fractures, with an outer diameter of about 6 mm. The
series of specimens with smooth bars was marked as
B (BIthe reinforcement percentage about 0.05%
and BII with reinforcement percentage 0.1%).
Reinforced series built with using of spiral bars were
marked as C (CI and CII). Additionally, two types of
wire mesh, stainless woven wire mesh with bars of
diameter 4 mm (spacing between bars 40 mm 40 mm)
and welded wire mesh from zinc coated steel with the
bars of diameter 1.25 mm and spacing in both
directions 12 mm 12 mm were used. A series of
specimens with wire mesh with 4 mm diameter of bars
was marked as D (DI where the reinforcement
percentage is 0.05% and DII where the reinforcement
percentage is 0.1%). Test wallettes with mesh with
1.25 mm diameter welded bars were marked as E (EI
where the reinforcement percentage is 0.05% and EII
where the reinforcement percentage is 0.1%). As
reinforcement in FI and FII series were used truss made
from two longitudinal bars 5 mm in diameter and
welded continuous wire diagonal (4.5 mm). In FI series
reinforcement was placed in every 6th bed joint (the
reinforcement percentage was about 0.05%), while in
FII series in every 3rd bed joint (the reinforcement
percentage was about 0.1%). To ensure sufficient
anchorage, flat bars 6 mm 20 mm 40 mm were
welded on the ends of longitudinal rods, and flat bars 6
mm 20 mm 220 mm on the wire mesh ends.
All specimens were loaded during the investigations
in a single cycle. Readings of load level and other
measurements were made every 150 kN. For load force
measurement, a dynamometer was used and for
displacement reading inductive sensors with an
accuracy of 0.002 mm were used. In specimens in the
B, C and D series, the measurement of rod
deformation was made using foil strain gaugesone
gauge in the middle of the length of each steel bar.
Unfortunately, by reason of the bars small diameter in
models of the E series, it was impossible to use foil
gauges for deformation measurement. Therefore, for
these specimens the steel strains were not measured.
A general view of the test wallette and the inductive
sensor placing is given in Fig. 1. All types of
reinforcement with the strain gauge distribution is
shown in Fig. 2. Simultaneously, material tests of
compressive and tensile strength of the mortar
according to EN 1015 [12] regulations were carried out.
The compressive strength and modulus of elasticity of
bricks to EN 772-1 [13] were also measured. The
tensile strength of reinforcing steel according to Polish
Standard PN-91/H-04310 [14] was measured.
Additionally, using EN 1052-1 [15] the compressive
strength and modulus of elasticity of masonry
specimens were tested.
3. Results of Material Properties Tests
The values of the mortar properties and compressive
strength of bricks are shown in Table 1. The compressive

Fig. 2 Type

Table 1 Mo
Determined v
Compressive
Bending stren

strength of
tensile stren
compressive
In Table 2, t
strength, yie
for smooth
reinforcing b
using extens
In
of models rein
rtar and clay b
alue
strength f
m
(N/m
ngth f
mt
(N/mm
2
the mortar w
ngth in bendin
e strength of b
the values of
eld point and m
and spiral t
bars strength
someter. The
nvestigation
Pro
nforcement.
bricks propert
mm
2
)
2
)
was 7.2 N/m
ng was about
bricks was ab
f ultimate ten
modulus of e
twisted rods
-strain graph
load capacity
of Bed Joint
perties of Ma
ties.
M
Value
7.2
2.4
mm
2
, whereas
t 2.4 N/mm
2
.
bout 69.7 N/m
sile force, ten
lasticity obta
are given.
was acquired
y of masonry t
Reinforceme
asonry under
Mortar EN 1015
(%
6.6
5.5
s the
The
mm
2
.
nsile
ained
The
d by
tests
acc
mec
test
4. R
In
com
Poi
ent Influence
Compressio
5 [12]
%)
ording to EN
chanical prop
ts are shown i
Results of M
n Table 4, th
mpressive str
ssons ratio
on Mechanic
on
Clay
Value
69.7
-
N 1052-1 [1
perties of the
in Table 3.
Main Inves
he comparison
rength, mod
for all unre
cal

y bricks EN 772

(%
3.8
-
15] were con
e masonry ob
stigations
n of the avera
dulus of elas
einforced an
1231
2-1 [13]
%)
nducted. The
btained in the
age values of
ticity E and
d reinforced
e
e
f
d
d

1232

Table 2 Smo
Determined v
Rip force (kN
Tensile streng
Yield point (N
Modulus of el

Table 3 Mas
Determined v
Compressive
Modulus of el
Poissons ratio

Table 4 Com
Determined v
series symbol
A
BI
BII
CI
CII
DI
DII
EI
EII
FI
FII
*Percentage o

masonry wa
of unreinforc
about 10%
specimens a
The comp
relationships
In
ooth and spira
alue
N)
gth (N/mm
2
)
N/mm
2
)
lasticity (N/mm
sonry properti
alue
stress (N/mm
2
)
lasticity (N/mm
o
mpressive stren
alue
Kind o
-
Smoot
Smoot
Spiral
Spiral
Woven
Woven
Welde
Welde
Truss t
Truss t
f reinforcement
allettes is show
ced specimen
% lower tha
according to R
parison of th
s for all unre
nvestigation
Pro
al rod properti
m
2
)
ies.

m
2
)
ngth, modulus
of steel
th bars
th bars
twisted bars
twisted bars
n wire mesh
n wire mesh
ed wire mesh
ed wire mesh
type
type
t after outside d
wn. The com
ns is about 14
an obtained
Ref. [15], as s
he resultant s
einforced mo
of Bed Joint
perties of Ma
es.
Smooth
Value
23.1
817
760
204,000
value
15.4
12,135
0.23
s of elasticity a
Percentage of
armature (%)
-
About 0.05
About 0.1
About 0.05*
About 0.1*
About 0.05
About 0.1
About 0.05
About 0.1
About 0.05
About 0.1
diameter.
mpressive stren
.08 N/mm
2
an
from stan
shown in Tab
stress-strain (
dels (A ser
Reinforceme
asonry under
h rod PN-91/H-
(%
0.9
0.9
0.7
1.2
nd Poissons r
f Compr
strengt
14.08
16.22
13.98
15.13
13.26
17.30
17.53
19.22
19.83
14.3
17.6
ngth
nd is
dard
ble 3.
(-)
ries)
and
is s
quit
com
Stan
with
ent Influence
Compressio
-04310 [14]
%)
Masonry specim
atio for all test
ressive
th (N/mm
2
)
d masonry spe
shown in Fig
te similar.
mpressive str
ndard) specim
h regard to th
on Mechanic
on
Spiral
Value
8.4
970
910
-
men EN 1052-1
(%)
6.9
9.4
6.8
t series.
Modulus of el
(N/mm
2
)
13,910
14,440
14,600
12,250
13,260
12,470
12,180
12,420
13,640
10,779
11,830
ecimens (acco
g. 3. The init
The ultimat
ress is greate
mens. The tan
he - curve
cal
rod PN-91/H-0
(%
0.8
0.8
0.7
-
1 [15]
asticity
Poisson
0.21
0.20
0.23
0.13
0.15
0.15
0.15
0.13
0.13
0.18
0.16
ording to the s
ial part of bo
e (maximum
er for the sm
ngent angle o
for models o
04310 [14]
%)

ns ratio
standard [15]
oth curves is
m) value of
maller (EC-6
of inclination
of A series
])
s
f
6
n
s

1233
decreases more quickly than for the standards
specimens, where it is nearly stable up to about 85% of
ultimate compressive strength. The graphs of average
values of - relationships for all test series are shown
in Fig. 4.
5. Analysis
5.1 Models with Longitudinal Bed Joint Reinforcement
The comparison of the compressive strength values
of reinforced wallettes with longitudinal bars with
unreinforced specimens (Table 4) shows that the
increase of strength was only a small percentage for
models of BI and CI series, about 15% and 7.5%,
respectively. However, in models of BII and CII series
(bigger percentage of reinforcement) some decrease of
compressive strength was observed. A more significant
decrease of strength was obtained for spiral twisted bar
reinforced models (CII). The decrease of the
compressive strength of the more strongly reinforced
elements ( = 0.1%) is connected with a change in the
form of their failure. In unreinforced models, first
cracks appeared at about 40-50% of the maximum

Fig. 3 The - relationship for unreinforced models: A series and EC-6 masonry standards specimens.

Fig. 4 Graphs of average - relationships for all test series.

0.0000 0.0005 0.0010 0.0015 0.0020 0.0025 0.0030 0.0035 0.0040 0.0045
25.0
20.0
15.0
10.0
5.0
0.0

(
N
/
m
m
2
)

18.0
16.0
14.0
12.0
10.0
8.0
6.0
4.0
2.0
0

(
N
/
m
m
2
)

0.0000 0.0005 0.0010 0.0015 0.0020 0.0025 0.0030 0.0035

1234

compressive stress. All cracks had a generally vertical
direction. In agreement with Hilsdorf theory, the
masonry units cracked first. Then, as the load increased
the cracks included head joints of the upper and lower
neighbouring brick courses and as a consequence, the
wallette divided into a few separate pillars (Fig. 5a).
Failure of specimens with longitudinal reinforcement
was quite different. All models were split into two
separate leaves by an internal crack (as shown in Fig.
5b). The decrease of strength, which is greater for
reinforced specimens with the smooth bars, is related to
the appearance of the notch effect, which is connected
with a stiff inclusion, in shape of bars, in weak mortar
joints. All elements with the smaller percentage of
reinforcement (BI and CI series) were characterized by
a larger number of cracks, which also had a larger
width than observed in models of BII and CII series. In
models of BII series ( = 0.1%) the local spalling of the
masonry surface in the area of bars location was
observed.
Some graphs displaying an average stress range
(from the first crack appearance to failure) is presented
in Fig. 6. Elements reinforced with the spiral bars
cracked under greater stress levels than elements
reinforced with smooth steel rods. Cracking of models
reinforced with spiral bars took place with almost the
same stress level as for unreinforced models. The stress
level corresponding with crack appearance of
reinforced models was lower than obtained for
unreinforced specimens. The first crack in reinforced
(using longitudinal bars) models always appeared in a
different place to that in the unreinforced elements.
Graphs of steel deformation in relation to compressive
strength level in the wallettes are presented in Fig. 7.
The first to strain were the spiral rods (larger adherence
of to mortar in joint). The rods in masonry with a
greater percentage of reinforcement ( = 0.1%)
stretched earlier. The comparison of the strength of
tensile rods located in the masonry with
t
-
relationship obtained from the smooth rod tensile tests
are shown in Fig. 8. For smooth rods in the wall with a
percentage about 0.05% (BI series), the level of tensile
stress of 53% of the yield point of steel were obtained.
Whereas for smooth bars in masonry with double that
percentage (about 0.1% in BII series), the level of
tensile stress was about 39% of the yield point of steel.
The designated level of tensile stress in spiral bars was
49% of the yield point of steel for models of CI series
and 30% for CII series. The comparison of both types
of bed joint reinforcement shows that spiral bars are
more effective. That kind of reinforcement combined
better with the mortar in the walls joints (Fig. 7) and

(a) (b)
Fig. 5 Typical crack pattern of tested elements: (a) unreinforced and with wire mesh reinforcement; (b) reinforced with
longitudinal bars and truss type.

1235

Fig. 6 Graph of stress interval from first crack to failure for all test series.

Fig. 7 Graph of steel deformation in relation to compressive stress level for B and C series.

Fig. 8 Comparison of
t
- relationships for rods located in masonry with
t
- obtained from rod tensile tests.
= 0.05%
= 0.1%
0 5 10 15
t

(
N
/
m
m
2
)

22.0
20.0
18.0
16.0
14.0
12.0
10.0
8.0
6.0
4.0
2.0
0.0
t

(
N
/
m
m
2
)

0 0.0005 0.001 0.0015 0.002 0.0025 0.003
= 0.05%
= 0.05%
= 0.1%
= 0.1%
24.0
22.0
20.0
18.0
16.0
14.0
12.0
10.0
8.0
6.0
4.0
2.0
0.0

(
N
/
m
m
2
)


1236

did not change the value of modulus of elasticity in
comparison to the unreinforced models (Table 4).
Moreover, it has much better influence on the crack
resistance (Fig. 6). The increase of strength obtained
for models with the lower reinforcement percentage
(CI) towards the elements reinforced with smooth steel
(BI) could be explained by its three times lower area
than the spiral bars. As in case of reinforcement in the
shape of smooth bar (BII), there was found to be some
decreasing of load capacity for series with greater ( =
0.1%) reinforced percentage (CII).
5.2 Models with Wire Mesh Reinforcement
Reinforcement in the shape of wire mesh gives a
more significant growth of load capacity in comparison
to reinforcement in the form of longitudinal bars (Table
4). In the case of the lower reinforcement percentage,
the growth of the load capacity for woven wire mesh
reinforcement (DI) was about 23% and for welded wire
mesh (EI) about 37%. Doubling the reinforcement
percentage caused a slight growth of load capacity. For
walls reinforced with the greater percentage of woven
wire mesh (DII), the authors obtained a growth of the
load capacity of over 25% in comparison to the
unreinforced models. For specimens with welded wire
mesh (EII), the load capacity increased even more by
about 41%. The failure shape of tested wallettes was
typicalall specimens were divided by vertical cracks
into a few pillars. It is an identical situation to that
observed for unreinforced models (Fig. 5a). Using a
wire mesh bed joint reinforcement eliminated the
disadvantageous crack pattern which was observed for
elements with longitudinal bar reinforcement. In the
models of D series, the failure was connected with
the reinforcement anchorage and vertical cracks in the
anchorage planes. In elements of E series, the failure
by a few vertical cracks corresponded with the moment
of breaking the reinforcement (two longitudinal bars).
The wire mesh worked with the masonry much better
than longitudinal bars because the mesh limited the
mortars deformation in the whole horizontal plane.
The deformation of longitudinal and lateral bars in the
DI models as a function of compressive stress is
shown in Fig. 9. It shows that longitudinal and lateral
bars worked in a similar way. That is why the influence
of the wire mesh longitudinal bars is very important for
masonry strength. The comparison of the deformation
of the longitudinal bars of the B and C series with
wire mesh longitudinal 4 mm diameter bars (Fig. 9)
shows that the deformation of wire mesh bars is less by
half.
Reinforcement in the form of wire mesh also has a
greater influence on masonry crack resistance. The
limitation of mortar deformation has a significant

Fig. 9 Steel deformations for lateral and longitudinal bars in relation to compressive stress for models of D series.
20.0
18.0
16.0
14.0
12.0
10.0
8.0
6.0
4.0
2.0
0.0

(
N
/
m
m
2
)

0 0.0002 0.0004 0.0006 0.0008 0.001 0.0012 0.0014 0.0016

1237

influence on the level of stress corresponding with the
first crack appearance (Fig. 6). In the case of the D
series, first cracks were observed for a compressive
stress level
c
of about 13 N/mm
2
, whereas the
elements of the E series were cracked at
c
of about
14.3 N/mm
2
, a result similar to the unreinforced
elements.
5.3 Models with Truss Type Reinforcement
The comparison of values of the compressive
strength of unreinforced and reinforced F series (Table
4) was found that small percentage of the
reinforcement in FI specimens does not have an effort
on carrying capacity of masonry and the bigger
percentage (FII specimens) increases about 25% of the
strength. Reinforcement reduces masonry modulus of
elasticity and Poissons ratio.
Bed joint reinforcement caused the change of
masonry failure. Destruction was always into internal
joint. All models were split into two independent
shields (Fig. 10). There were cut out the reinforcements
from every specimens after finishing the researches. It
was said that the tensile failure was done to the
continuous wire diagonal (Fig. 11), what explains the
cracks along the internal joint.
The results of the measurement of the strains of
reinforcing bars with both percentages showed that the
strains of the longitudinal bars and the continuous wire
diagonal are similar. The tensile failure of the
continuous wire diagonal results from the smaller
diameter. It is clear that using the continuous wire
diagonal with the higher diameter may cause the
increase the crack resistance and compressive strength
of masonry. Fig. 12 are displayed exemplary
reinforcement strains in the function of masonry
compressive strength.

Fig. 10 Failure of FI series models.

Fig. 11 Truss type reinforcement cut out from specimen after finishing the researches.

1238

Fig. 12 Bars steel deformations in relation to compressive stress for models of F series.

6. Conclusions
The investigations carried out showed the significant
influence of bed joint reinforcement on the behavior of
masonry wallettes subjected to axial compressive loads.
The analysis of tests results given above leads the
authors to formulate the following conclusions:
(1) Using bed joint reinforcement in the shape of
longitudinal bars (smooth and spiral twisted) is not
very beneficial. For = 0.05% a slight growth of load
capacity in comparison with unreinforced specimens
was determined. Unfortunately, for double the value
( = 0.1%) a decrease of the load capacity was noted;
(2) A very disadvantageous failure shape (dividing
of the wall into two separate leaves) was observed for
specimens reinforced with longitudinal bars and truss
type;
(3) A more positive effect is given by the use of
woven or welded wire mesh bed joint reinforcement.
For reinforcement percentage = 0.05%, about 23%
(woven wire mesh) and about 37% (welded wire mesh)
growth of load capacity with reference to unreinforced
specimens was obtained. Increasing of value (up to
= 0.1%) gave a further slight growth of load capacity;
(4) The failure shape was typically the same as in the
case of unreinforced specimensdividing the masonry
wallettes by vertical cracks into a few separate pillars;
(5) In models with truss type reinforcement small
reinforcement percentage ( = 0.05%) did not effect the
mechanical features of the masonry. Double increase of
the reinforcement ( = 0.1%) caused the enlargement
of the capacity (about 25%) and crack resistance (about
23%);
(6) The usage of reinforcement has influence on the
failure of models: limited scratching of front surfaces
of elements and destruction in internal joint.
References
[1] K.J. Schneider, N. Weickenmeier, Present Masonry
Constructions, Werner Verlag GmBH & Co.KG,
Dsseldorf, Berlin, 2000.
[2] J.E. Amrhein, Reinforced Masonry Engineering
Handbook, Clay and Concrete Masonry, Masonry Institute
of America, CRC Press Boca Raton, New York, 1998.
[3] L. Drobiec, About the necessity of using appropriate
reinforcement in the wall bed joint, Monography
Reprocity Resume, Faculty of Civil Engineering, Silesian
University of Technology, Gliwice, 2008, pp. 89-95.
[4] P. Timperman, J.A. Rice, Bed joint reinforcement in
masonry, in: Proceedings of the Fourth International
Masonry Conference, British Masonry Society, London,
1995, pp. 451-453.
[5] O. Pfeffermann, G. van de Loock, 20 Years experience
with bed joint reinforced masonry in Belgium and Europe,
in: Proceedings of the 9th International Brick/Block
Masonry Conference, Berlin, Germany, 1991, pp.
427-436.
[6] P. Schiessl, S. Schmidt, Reinforced masonryDiscussion
about the way of building, Beratende Ingenieure 7 (8)
(1989) 28-31. (in German)
[7] G. van de Loock, Special reinforcement of masonry,
Ziegelindustrie International 1 (1980) 16-18. (in German)
[8] T. Mader, Reinforced masonry in practice bewehrtes
mauerwerk in der praxis, Das Bauzentrum 5 (1993) 65-66.
(in German)
[9] W. Jger, L. Drobiec, Bed joint reinforced masonry under
vertical compression, Mauerwerk 6 (2006) 252-257. (in
16.0
14.0
12.0
10.0
8.0
6.0
4.0
2.0
0.0
t

(
N
/
m
m
2
)

0 0.0002 0.0004 0.0006 0.0008 0.001 0.0012 0.0014 0.0016 0.0018 0.002

1239
German)
[10] R. Pohl, The reinforcement increases the way of using the
brick walls, Das Bauzentrum 9 (1996) 125-128. (in
German)
[11] O. Pfeffermann, B. van Hoorickx, Some practicular
applications of reinforced masonry in Belgium, in:
Proceedings of the 12th International Brick/Block
Masonry Conference, Madrid, Spain, 2000, pp.
1437-1446.
[12] BS EN 1015-11:1999, EN 1015 Methods of Test for
Mortar for Masonry, British Standards Institution,
1999.
[13] EN 772-1 Methods of Test for Masonry UnitsPart 1:
Determination of Compressive Strength, 2000.
[14] PN-91/H-04310, Static Tensile Testing of Metals, Polish
Code, 1991. (in Polish)
[15] EN 1052-1 Method of Test for Masonry, Determination of
Compressive Strength, Brussels, Belgium, 1999.


Evaluating the Effectiveness of Best Management
Practices in Gilgel Gibe Basin WatershedEthiopia
Tamene Adugna Demissie
1
, Fokke Saathoff
2
, Yilma Seleshi
3
and Alemayehu Gebissa
2

1. Department of Civil Engineering, Jimma Institute of Tehnology, Jimma University, Jimma 378, Ethiopia
2. Institute for Environmental Engineering, University of Rostock, Rostock 18051, Germany
3. Civil Engineering Department, Addis Ababa Institute of Technology, Addis Ababa University, Addis Ababa 150461, Ethiopia

Abstract: Soil erosion/sedimentation is an immense problem threatening the live storage capacity of dam reservoirs in Ethiopia. This
in turn reduces the power generation capacities of hydropower reservoirs. Therefore, studies which give insight into soil
erosion/sedimentation mechanisms and mitigation methods is important. The high rate of soil erosion/sedimentation threats the
lifespan of Gilgel Gibe-1 hydropower reservoir. The problem of sedimentation in Gilgel Gibe-1 will also affect Gilgel Gibe-2 which
uses the water released from Gilgel Gibe-1. The sustainability of these hydropower plants needs catchment management practices
that will reduce soil erosion. This paper presents the results of monthly and yearly sediment yield simulations experiments conducted
for Gilgel Gibe-1 under different BMP (best management practice) scenarios. The scenarios applied in this paper are: (1) maintaining
existing conditions; (2) introducing filter strips; (3) applying stone/soil bunds; (4) reforestation. The SWAT (soil and water
assessment tool) was used to model soil erosion, identify soil erosion prone areas and assess the impact of BMPs on sediment
reduction via simulations. The simulation results showed that applying filter strips, stone bunds and reforestation scenarios could
reduce the current sediment yields at soil erosion prone areas and at the outlet of the catchment area which is the inlet to Gilgel
Gibe-1 reservoir.

Key words: BMPs, SWAT, sedimentation.

1. Introduction

The Gilgel Gibe River is a right hand tributary of
one of the eight major river basins in Ethiopia, the
Omo-Gibe river basin. It is the major source of water
for Gilgel Gibe dam reservoir project which has a live
storage capacity of 657 Mm
3
. But the storage volume
of this reservoir is threatened by the soil erosion and
subsequent sedimentation from the upstream of the
Gilgel Gibe basin. Previous studies indicate that there
is a rapid loss of storage volume due to excessive soil
erosion and subsequent sedimentation in Gilgel
Gibe-1 dam reservoir. Devi et al. [1] conducted a
cross sectional study and assessed the siltation and
nutrient enrichment level of Gilgel Gibe-1 dam
reservoir. From their study, they found that siltation

Corresponding author: Tamene Adugna Demissie, M.Sc.,
research fields: water resources management and watershed
modeling. E-mail: tamene_adu2002@yahoo.com.
and nutrient enrichment were the major problems in
this reservoir.
In addition to Gilgel Gibe-1 hydropower plant, the
power generation of the Cascade hydropower plant to
Gilgel Gibe-1, namely Gilgel Gibe-2 Which has an
installed capacity of 420 MW and uses the water
released from the same reservoir, will significantly be
affected.
Currently, the government of Ethiopia is
constructing a huge hydropower plant, Gilgel Gibe-3,
downstream of Gilgel Gibe-1 and 2. The Gilgel
Gibe-3 dam and powerhouse are being built
approximately 155 km downstream of the Gilgel
Gibe-2 plant. Up on its completion Gilgel Gibe-3 will
have an installed capacity of 1,870 MW. There is also
a plan to construct Gilgel Gibe-4 which will be the
farthest downstream in the cascade. Though the
Government of Ethiopia is putting an effort to
DAVID PUBLISHING
D
Evaluating the Effectiveness of Best Management Practices
in Gilgel Gibe Basin WatershedEthiopia

1241
construct large hydropower plants to supply the
energy demand of the country, the rapid loss of
storage volume due to sedimentation is major problem
of all reservoirs. Some preliminary studies indicate
that the levels of some reservoirs (e.g., Koka
reservoir), lakes (e.g., Alemaya, Awassa, Abaya and
Langano) have decreased. The process is so
challenging that the initial water carrying capacity the
dams has reduced due to progressive silt accumulation.
For example, the Koka dam has accumulated about
3.5 million m
3
of silt (or 2,300 tkm
-2
) in just 23 years
[2]. Thus, an insight into the soil
erosion/sedimentation mechanisms and the mitigation
measures plays an indispensable role for the
sustainability of the existing reservoirs and newly
planned projects. To develop effective soil erosion
control mechanisms through watershed development
programs and to achieve reductions in sedimentation,
it is necessary to quantify the sediment yield and
identify areas that are highly vulnerable to erosion.
Literature review shows that there are many
catchment models that include the soil
erosion/sedimentation processes and simulate the
effect of mitigation measures [3, 4]. The range of
models can be viewed in the way they represent the
area to which they are applied, that is, whether the
model considers processes and parameters to be
lumped or distribute. With increasing computing
power over the last two decades, distributed
approaches have become more feasible. Distributed
models reflect the spatial variability of processes and
outputs in the catchment analysis. A distributed
approach seems particularly applicable to sediment
transport modelling [4]. Some of the soil erosion
models are AGNPS (agricultural non-point source
pollution model) [5], ANSWERS (areal nonpoint
source watershed environmental response simulation)
[6], CREAMS (chemicals, runoff and erosion from
agricultural management systems) [7], EPIC (erosion
productivity impact calculator) [8], EROSION-3D [9],
EUROSEM (European soil erosion model) [10],
SWAT (soil and water assessment tool) [11], WEPP
(water erosion prediction project) [12], and so on.
However, there are a few applications of erosion
modelling in Ethiopia and most of them concentrate
on Blue Nile basin. In the Blue Nile Basin [13]
simulated soil loss in the Dembecha catchment using
WEPP, Haregeweyn and Yohannes [14] applied
AGNPS and predicted sediment yield in Augucho
catchment. The same AGNPS model was used by Ref.
[15] to simulate sediment yield in the kori catchment.
Hengsdijk et al. [16] applied LISEM (limburg soil
erosion model) to simulate effect of reforestation on
soil erosion in the KushetGobo Deguat catchment.
Steenhuis et al. [17] calibrated and validated a simple
soil erosion model in the Abbay (Upper Blue Nile)
basin and obtained a reasonable result, and Setegn et
al. [18] applied SWAT for simulation of a sediment
yield in the Anjeni gauged catchment and obtained
quite acceptable result. SWAT has been successfully
applied by different researchers in Ethiopia. Most of
the SWAT model applications in Ethiopia concentrate
on the Blue Nile river basin. For instance,
Tesfahunegn et al. [19] applied SWAT model to
evaluate the effectiveness of different scenarios in
reducing runoff, sediment and soil nutrient losses in
northern Ethiopia. Asres and Awulachew [20] applied
the SWAT model to establish the spatial distribution
of sediment yield and to test the potential of watershed
management measures to reduce sediment loading
from hot spot areas in Gumara watershed (Blue Nile)
and Betrie et al. [21] also applied the SWAT model to
assess the impact of BMPs on sediment reductions in
the Upper Blue Nile River Basin. Though the SWAT
model is widely applied in Ethiopia, particularly on
the Blue Nile river basin, there is no literature that
indicates the SWAT model application on Omo-Gibe
basin in general and Gilgel Gibe-1 basin in particular.
In this study, the SWAT model has been applied to the
Gilgel Gibe river basin with specific focus on BMPs
application. Currently, there is a recommendation to
protect the buffer zone around Gilgel Gibe-1 dam

1242
reservoir from agricultural practices. In addition to the
buffer zone protection, the Oromiya Environmental
Protection Bureau is also implementing watershed
development through the community based
participatory approach of Ref. [22] management
practices to reduce soil erosion and conserve soil and
water under its basin development programme. Such
basin development programme should be aided by
powerful modelling tools such as SWAT. Therefore,
the objective of this study is to model the spatially
distributed soil erosion/sedimentation process in the
Gilgel Gibe basin at monthly and yearly time steps
and assess the impact of different catchment
management interventions applied on hot spot areas
on sediment yield. A brief description of the Gilgel
Gibe basin is given in the next section, followed by a
discussion on the methodology used. The third section
presents the model results and discussion of different
land management scenarios. Finally, the conclusion
summarizes the main findings of the investigations.
2. Description of the Study Area
As it is indicated in Fig. 1, the Gilgel Gibe-1
watershed is situated in the south-western part of
Ethiopia. The project is purely a hydropower scheme,
with an installed capacity of 180 Mw, aimed to
increase energy and power supply to the national grid.
The reservoir has a live storage capacity of 657 mm
3
.
The catchment area of the Gilgel Gibe basin is about
5,125 km
2
at its confluence with the great Gibe River
and about 4,225 km
2
at the dam site. The basin is
generally characterized by high relief hills and
mountains with an average elevation of about 1,700 m
above mean sea level. The basin is largely comprises
of cultivated land. In general terms, the Gilgel Gibe
basin is characterized by wet climate with an average
annual rainfall of about 1,550 mm and average
temperature of 19
o
C. The seasonal rainfall
distribution takes a uni-modal pattern with maximum
during summer and minimum during winter,
influenced by the ITCZ (inter-tropical convergence
zone).
3. Methodology
3.1 SWAT Model Description
The SWAT is a physical process based model to

Fig. 1 Location map of the Gilgel Gibe-1 watershed.

1243

simulate continuous time landscape processes at a
catchment scale [11, 21, 23]. The catchment is divided
into HRU (hydrological response units) based on soil
type, land use and slope classes. The major model
components include hydrology, weather, soil erosion,
nutrients, soil temperature, crop growth, pesticides
agricultural management and stream routing. The
model predicts the hydrology at each HRU using the
water balance equation, which includes daily
precipitation, runoff, evapo-transpiration, and
percolation and return flow components. The SWAT
model has two options for computing surface runoff:
(1) the Natural Resources Conservation Service CN
(Curve Number) method [24]; or (2) the Green-Ampt
method [25]. The flow routing in the river channels is
computed using the variable storage coefficient
method [26], or Muskingum method [27]. SWAT
includes three methods for estimating potential
evapo-transpiration: (1) Priestley-Taylor [28]; (2)
Penman-Monteith [29]; (3) Hargreaves [30]. The
SWAT model employs the MUSLE (modified
universal equations) to compute HRUs level soil
erosion. It uses runoff energy to detach and transport
sediment [31]. The sediment routing in the channel
[32] consists of channel degradation using stream
power [33] and deposition in channel using fall
velocity. Channel degradation adjusted using USLE
soil erodibility and channel cover factors.
3.2 SWAT Model Setup
SWAT model inputs are DEM (digital elevation
model), land use map, soil map and weather data.
There is a considerable amount of data available on
the web, and Map Window SWAT used in this study
used this advantage. MWSWAT (Map Window
SWAT) is delivered along with the following data
[34]: DEM maps: SRTM project [35]; Land: Global
Land Cover characterization [36]; Soil maps: FAO
(Food and Agricultural Organization) [37]. The Step
by Step Geo-Processing & Set up of the Map window
interface for SWAT (MWSWAT) documents [38, 39],
have been followed to extract the required watershed
data and to set up the SWAT model for Gilgel Gibe
basin. The DEM was used to delineate the catchment
and provide topographic parameters such as overland
slope and slope length for each sub-basin. The
catchment area of the Gilgel Gibe was delineated and
discretized into 51 sub-basins using a 90 m DEM [40]
through an MWSWAT interface. The Land use data
which has been constructed from the USGS Global
Land Cover Characterization (GLCC) database [41],
by Abbaspour is used. This map has a spatial
resolution of 1 km and 24 classes of land use
representation. The parameterization of the land use
classes (e.g., leaf area index, maximum stomatal
conductance, and maximum root depth, optimal and
minimum temperature for plant growth) is based on
the available SWAT land use classes. The land cover
classes derived are CRDY (dry land Cropland and
pasture), 36.68%, Gras (Grassland), 15.56%, SAVA
(Savanna) 14.45%, FOEB (evergreen forest) 22.65%,
FOMI (mixed forest) 9.92% and CRWO
(Cropland/woodland mosaic), 0.74%. The soil map
was produced by the Food and Agriculture
Organization of the United Nations [42]. Almost
5,000 soil types at a spatial resolution of 10 km with
soil properties for two layers (0-30) cm and 30-100
cm depth) are provided. Further soil properties (e.g.,
particle-size distribution, bulk density, organic carbon
content, available water capacity, and saturated
hydraulic conductivity) were obtained from Ref. [43].
The soil data is also available from the Water Base
web site [44], and was extracted for the study area.
FAO soil and the slope class maps were overlaid
together to derive 410 unique HRUs. Although the
SWAT model provides an option to reduce the
number of HRUs in order to enhance the computation
time required for the simulation, we considered all of
the HRUs with land use of dry land, cropland and
pasture of to evaluate the management intervention
impact. The daily precipitation, maximum and
minimum temperature, wind speed, average relative

1244
humidity data from Jimma and Sekoru stations were
used to run the model. In addition, as Jimma and
Sekoru meteorological stations have daily data on
duration of sunshine hours, the Angstrom formula
which relates solar radiation to extraterrestrial
radiation and relative sunshine duration is used to
estimate the daily solar radiation to be used in the
model. The missed sunshine data were filled by
non-linear regression analysis with other auxiliary
climate variables such as relative humidity and
temperature data before it was used to estimate solar
radiation. The solar radiation data is required by
SWAT and if not supplied SWAT generates this data.
Though all the daily weather data which are required
to run the model have been supplied, the weather
generator file was also prepared using the 20 years
daily data from these two stations and included in the
project file. Daily river flow data measured at
Asendabo gauging station was used for model
calibration and validation. The flow observations were
available throughout the year, but the sediment
concentration data was not available for Gilgel Gibe
basin. The model was run using daily data of 26 years.
The daily meteorological data from 1980 to 2005 was
used to run the model. The three years data from 1980
to 1982 was used to warm up the model. Whereas, the
data from 1983 to 1992 was used to calibrate the
model and the data from 1993 to 2000 was used to
validate the model. The modeling period selection
considered discharge data quality and availability. A
daily flow was used to calibrate and validate the
model at Asendabo gauging station and sediment
discharge was simulated at the outlet of the Gilgel
Gibe watershed which is in turn an inlet to the Gilgel
Gibe-1 hydropower reservoir. Sensitivity analysis was
carried out to identify the most sensitive parameters
for model calibration using LH-OAT
(One-factor-At-a-Time), an automatic sensitivity
analysis tool implemented in SWAT 2005. SWAT
2005 editor is used to read the project database
generated by Map Window SWAT interface to edit
SWAT input files, execute SWAT, and perform
sensitivity, auto calibration and uncertainty analysis.
Based on the sensitivity analysis results, we identified
8 parameters of interest for this basin. We started with
all 27 hydrological flow related parameters and ranked
by their order of sensitivity in simulating the basin
hydrology. It resulted in about 8 parameters as the
most sensitive ones for this basin. Followed by the
sensitivity analysis, the most sensitive parameters
were calibrated by both manual calibration (expert)
and automatic calibration. Appropriate lower and
upper ranges in parameter values have been assigned
prior to initiating the auto calibration process.
3.3 Model Performance Evaluation
Model evaluation is an essential measure to verify
the robustness of the model. In this study, the
following methods were used: (1) NSE
(Nash-Sutcliffe efficiency); (2) PBIAS (percent bias);
(3) correlation between observed and simulated flows.
The NSE (Nash-Sutcliffe efficiency) is computed as
the ratio of residual variance to measured data
variances [45]. The NSE simulation coefficient
indicates how well the plot of observed versus
simulated values fits the 1:1 line. The Nash-Sutcliffe
is calculated using Eq. (1):
(
(
(
(
=
=
n
i
mean obs
i
n
i
sim
i
obs
i
Q Q
Q Q
NSE
1
2
1
2
) (
) (
1
(1)
where,
=
obs
i
Q observed stream flow in m
3
/s;
=
sim
i
Q simulated stream flow in m
3
/s;
=
mean
Q mean of n values;
=
sim
mean
Q mean of simulated values;
=
obs
mean
Q mean of observed values;
n=number of observations.
The NSE can range from to +1, with 1 being
a perfect agreement between the model and real
(observed) data. The simulation results were
Evaluating the Effecti veness of Best Management Practices

1245
considered to be good if NSE 0.75, and satisfactory
if 0.36 NSE 0.75 [46]. The PBIAS (percent bias)
measure the average tendency of the simulated data to
be larger or smaller than their observed counterparts. A
positive value indicates a model bias toward
underestimation, whereas a negative value indicates a
bias toward overestimation [47]. The PBIAS < 25% is
satisfactory [48]. The PBIAS is calculated with Eq. (2).
(
(
(
(
=
=
n
i
obs
i
n
i
sim
i
obs
i
Q
Q Q
PBIAS
1
1
) (
100 ) (

(2)

The coefficient of determination R
2
value is an
indicator of the strength of the linear relationship
between the observed and simulated values. It ranges
from 0.0 to 1.0, with higher values indicating better
agreement. The R
2
is calculated with Eq. (3).

= =
=

(

=
n
i
n
i
obs
mean
obs
i
sim
mean
sim
i
n
i
obs
mean
obs
i
sim
mean
sim
i
Q Q Q Q
Q Q Q Q
R
1 1
2 2
2
1 2
) ( ) (
)( (

(3)

3.4 Catchment Management Intervention Scenarios
Agricultural conservation practices, often called
best management practices or BMPs, are widely used
as effective measures for preventing or minimizing
pollution from nonpoint sources within agricultural
watersheds. SWAT already has an established method
for modeling several agricultural practices including
changes in fertilizer and pesticide application, tillage
operations, crop rotation, dams, wetlands and ponds.
The model also has the capacity to represent many
other commonly used practices in agricultural fields
through alteration of its input parameters [49]. Ten
important agricultural conservation practices were
selected for representation with the SWAT 2005
model and a number of previous modeling studies
have used SWAT to evaluate conservation practices
around the globe [50]. However, selection of BMPs
and their parameter values are site specific and should
reflect the study area reality [21]. For this study, we
selected BMPs based on the previous traditional soil
and water conservation practices on Ethiopian
highlands. Currently, some of these practices are
largely under implementation through community
based participatory watershed development of Ref.
[45], Ethiopia. The baseline values for the input
parameters could be selected by: (1) a model
calibration procedure; or (2) a suggested value
obtained from the literature, previous studies in the
study area, or prior experience of the analyst [50]. For
this study, the baseline values which will represent the
basin existing condition (Scenario 0) for the input
parameters have been selected based on the suggested
value obtained from the literature. For Scenarios 1 and
Scenario 2, the BMPs were represented in SWAT
model by modifying the SWAT parameters to reflect the
effect the practice has on the processes simulated within
SWAT [49]. The scenarios simulated and representation
of BMPs in the SWAT are depicted in Table 1.

Table 1 Scenario description and SWAT parameters used to represent BMPs.
Scenarios Description of BMP
SWAT parameter used
Parameter name Input file PRE BMP/Calibration value Post-BMP/Modified value
Scenario 0 Baseline
Scenario 1 Filter strip FILTERW 0 0 1 m
Scenario 2 Stone/soil bund
SLSUB 0-10% 30 m 17.5 m*
BSN
10-20% 30 m 11 m*
20-260% 30 m 10
min***

CN2 ** **
USLE_P 1.0 0.5
Scenario 3 Reforestation **** ****
*The average values taken from Community Based Participatory Watershed Development Guideline; **The calibration value for
discharge is maintained; min***minimum value of SLSUBBSN in SWAT model; ****assigned by SWAT model.

1246

In Scenario 1, filter strips were placed on all CRDY
(dry land, cropland and pasture), all soil types and
slope classes. The effect of filter strip is to reduce
sediment, dissolved contaminants and sediment
adsorbed organics in runoff [51]. Appropriate model
parameter for representation of the effect of filter
strips is FILTERW (width of filter strip). The filter
width value, FILTERW, of 1 m was assigned to
simulate the impact of filter strips on sediment
trapping. The FILTERW value was assigned based on
local research experiences in the Ethiopian highlands
[52, 53]. In Scenario 2, stone/soil bunds were placed
on all CRDY (dry land cropland and pasture), all soil
types and slope classes. This practice has a function to
reduce overland flow, sheet erosion and reduce slope
length [49]. This BMP was selected as it was the
most widely and most intensively used soil
conservation practice in the area [54]. Appropriate
parameters for representing the effect of stone bunds
are the CN (curve number), average slope length
(SLSUBBSN) and the USLE_P support practice
factor (USLE_P). The SWAT assigned value of the
USLE_P value of 1.0 is used prior to the application
of BMPs. The modified value/Post-BMP value for
USLE_P of 0.5 was assigned based on Ref. [52] being
the P factor recommended for all types of bunds in
Ethiopia. The average slope length (SLSUBBSN) for
slopes 0-10% and 10%-20% is taken from the
community based participatory watershed
development guideline which is currently under
implementation in Ethiopian highlands. The minimum
acceptable SLSUBBSN by SWAT is model 10 m and
this value is assigned for slopes greater than 20%. In
Scenario 3, we simulated the impact of reforestation
on sheet erosion. The reforestation has a function to
reduce over land flow and rainfall erosivity. The
reforestation effect was simulated by introducing land
use change. Thus we replaced 1.0% of the area
occupied by CRDY (dry land cropland and pasture) in
to evergreen forest.
4. Results and Discussion
4.1 Model Calibration and Validation
The most sensitive parameters for flow predictions
were CN2 (curve number), ALPHA_BF (baseflow
alpha factor), GW_DELAY (groundwater delay time),
GW_REVAP (ground water re-vap co-efficient),
REVAPMN (threshold water depth in the shallow
aquifer for revap), ESCO (soil evaporation
compensation factor), SOL_AWC (available water
capacity) and CANMX (maximum canopy storage).
Table 2 shows the most sensitive parameters and fitted
values. These flow parameters were adjusted within
the given limits to initiate auto calibration. As
measured data is not available on sediment yield, only
the modeled data has been used to identify the impact
of adjusting a parameter value on some measure of
simulated sediment output. Accordingly, most
sensitive parameters ranked 1 to 3 were USLE_P
(USLE support practice factor), USLE_C (USLE land
cover factor), and Ch_K2, respectively. The
parameters Ch-Cov (channel cover factor), Ch-erod
(channel erodibility factor), exponent of
re-entrainment parameter for channel sediment routing
(spexp) and linear re-entrainment parameter for
channel sediment routing (spcon) were equally
important with rank 8. The SWAT flow predictions
were calibrated against daily and monthly average
flows with a warm up period of three years from 1983
to 1992 and validated from 1993 to 2002 at Asendabo
gauging station, as shown in Figs. 2 and 3. The
simulated daily flow matched the observed values for
calibration period with NSE, PBIAS and R
2
equal to
0.684, -13.9% and 0.726, respectively. For the
validation period, and the observed daily flows
showed acceptable agreement as indicated by NSE,
PBIAS and R
2
values equal to 0.640, -5.2% and 0.662,
respectively.
The simulated monthly average flow values also
matched the observed values for calibration period
with NSE and R
2
values equal to 0.54 and 0.886,


1247

Fig. 2 Observed and simulated daily hydrographs at Asendabo Station: (a) calibration; (b) validation.

respectively. The calibration parameters were checked
for the validation period and found to be 0.629 and
0.696 for NSE and R
2
, respectively.
The model simulated well the discharge on the
rising limb of the hydrograph. While, the falling limb
of the hydrograph indicated that the simulated
discharge is slightly greater than the observed
discharge data for the whole calibration and validation
period, and the crest segment of the hydrograph show
the simulated peak discharge to be slightly less than
the observed peak discharge. Generally, as it was
shown by model performance evaluation criteria, the
SWAT model performed well in simulating stream
flow hydrograph for this study. Besides, the
performance of SWAT model, Ndomba and
Griensven [55] indicated that the SWAT model can
satisfactorily estimate sediment yield for even poorly
gauged catchments of East African countries.
4.2 Scenario Analysis
The assessment of the spatial variability of soil
erosion is useful for catchment management planning
[12]. The soil erosion prone areas in the Gilgel Gibe-1
basin are shown in Fig. 4 The SWAT model
simulation shows erosion extent varies from
negligible erosion to 39 t/ha. Based on the
classification of erosion rates in the Ethiopian
highlands [56] the erosion level which are classified as
high and very high in sub-basin 1, 3, 5 and 8 of Gilgel
Gibe-1 basin corresponds to moderate erosion level
(20-70 t/ha/yr). The erosion level in the sub basin 1, 3,
5, and 8 is in the range of 20 t/ha to the maximum
value of 39 t/ha. The erosion level which are indicated
as medium in sub-basins-2, 38 and 46 are relative to

0
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D
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g
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(
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/
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)
Year/day
Daily discharge calibration at Asendabo gauging station
observed
simulated
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h
a
r
g
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(
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)


1248

(b)
Fig. 3 Observed and simulated monthly hydrographs at Asendabo Station: (a) calibration; (b) validation.

Table 2 SWAT sensitive parameters and fitted values.
Parameter name Description Parameter value
m-CN2.mgt* Curve number 0.8
a-ALPHA_BF.gw** Base flow alpha factor 0.302
r-GW_DELAY.gw Groundwater delay time 45
r-GW_REVAP.gw Groundwater revap co-efficient 0.20
r-REVAPMN.gw Threshold water depth in the shallow aquifer for revap 0.15
r-ESCO.hru Soil evaporation compensation factor 0.25
m-SOL_AWC.sol Available water capacity 1.67
a-CANMX.hru Maximum canopy storage 4
*The extension (e.g., .mgt) refers to the SWAT input file where the parameter occurs;
**The qualifier (a-) refers to the substitution of a parameter by adding the parameter values indicated in Table 2 and (m-) refers to
the relative change in the parameter where the value from the SWAT database is multiplied by the values in the table. And (r-) refers
to replacement in the parameter from the SWAT database by the values indicated in the table.

remaining sub-basins and their erosion level is in the
range of 10 t/ha to 20 t/ha. Generally, the SWAT
simulation results for Gilgel Gibe-1 basin indicate that
the sub-basins 1, 2, 3, 5, 8, 38 and 46 have the high
rate of erosion relative to the remaining sub-basins.
The sub-basins with high rate of erosion have a
maximum percentage of nearly 60% land-use of
CRDY (dry land cropland and pasture) while the
sub-basins with very low soil erosion rate have got
0-9% dry land, cropland and pasture as their landuse.
0
50
100
150
200
D
i
s
c
h
a
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g
e
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)
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simulated
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Monthly discharge Validation at Asendabo gauging station
observed
Simulated
(a)

1249
These simulation results show the relative variations
of soil erosion level within a sub-basin. These results
are helpful to prioritize BMPs implementation area.
Moreover, these results showed that the sediment
yield to Gilgel Gibe-1 reservoir is mainly from
sub-basins of the tributaries of Nedhi, and Bulbul
which are to the left side of Gilgel Gibe River and at a
close proximity to the reservoir.
The SWAT model simulation for the existing
condition predicted the sediment yield at the outlet of
Gilgel Gibe-1 basin, which is an inlet to Gilgel Gibe
dam reservoir to be 122.73 10
3
t/yr. However,
running the model with different catchment
management scenarios provided interesting results.
The simulation of filter strips scenario reduced the
total sediment yield to 79.82 10
3
t/yr from current
condition at the same outlet location, which is
equivalent to 35% reduction. The simulation of
stone/soil bunds reduced the sediment yield to 23.26
10
3
t/yr from the current conditions, which is
equivalent to 81% reduction. This result is comparable
to the results reported in the literature. Herweg and
Luid [53] reported 72%-100% sediment yield
reductions by stone bunds at plot scale in Ethiopian
and the Eritrean highlands. The simulation of
reforestation scenario (Scenario 3) showed the average
reduction of sediment yield by 9.1% for sub-basins 1,
3, 5, 8, 2, 38 and 46 from the current condition. This
less sediment reduction under Scenario 3 as compared
to Scenario 1 and 2 could be attributed to smaller
implementation area. The average sediment reduction
at sub-basin level where the sub-basin has got dry land
CRDY greater than 10% of its total area under filter
strip scenario was 35%. This is comparable with
results reported by Betrie et al. [21]. They reported the
sediment reductions under filter strip scenario ranged
from 29% to 68%. In this study, the percentage
sediment yield reduction per ha at sub-basin level
increased with an increase in the percentage area of
CRDY which was provided with filter strip width of 1
m. The sub-basins such as sub-basins 15, 16, 23, 48
and 50 with percentage area of dry land, CRDY
(cropland and pasture) less than 10% showed the
sediment yield reduction efficiency of 0% under
filter strip scenario. The effectiveness of BMPs per
hectare for the sub-basins with different percentage
of dry land, CRDY (cropland and pasture) is shown
in Fig. 5.

Fig. 4 Erosion prone areas in Gilgel Gibe basin.
0 19,000 38,000 9,500 Meters

Legend
SYLDsc0
<all other values>
Erosion
High
Low
Medium
V.High

1250

Fig. 5 Percentage of CRDY in the subbasin and sediment reduction efficiency of Scenarios 1 and 2.

5. Conclusions
The SWAT model was applied to assess the impact
of the three BMPs (best management practices)
scenarios on sediment reduction in the Gilgel Gibe
river basin. The impact of further subdivision of the
sub-basins in to more number of HRUs on the
effectiveness of BMPs on sediment reduction was also
checked. The model showed that the erosion prone
areas at sub-basin level, which is useful information
for catchment management planning and for the
implementation of the watershed development
program. The watershed development program
through community based participatory approach
under implementation throughout the country. This
study result showed that the implementation of the
three BMPs could reduce the soil erosion and
sediment yield at the sub-basin and basin level. One of
the three BMPs, namely soil/stone bunds has been
practiced and implemented in some of the districts in
the study watershed. The same practice is widely
under implementation in Gilgel Gibe basin as per the
decision made by the Ethiopian Government to
promote and expand community watershed
development in the country. However, the cost of
implementing the BMPs should be evaluated.
Additional BMPs should also be investigated and the
best ones combined to form other scenarios which
reduce soil erosion and sedimentation. This study
shows as the modeling approach could be helpful for
decision makers to prioritize the areas of intervention.
In order to obtain a better estimate of the effectiveness
of the filter strips, further investigation should be
undertaken by using the improved VFS (vegetative
filter strip) sub-model of SWAT 2009 version.
Furthermore, SWAT 2009_LUC, a tool to activate the
land use change module in SWAT 2009 should be
applied for further investigations.
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Seamless SRTM Data Version 4, International Centre for
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Dev. 3 (1983) 131-142.


Performance of a Nonwoven Geotextile Reinforced Wall
with Unsaturated Fine Backfill Soil
Fernando Henrique Martins Portelinha
1
, Benedito de Souza Bueno
2
and J orge Gabriel Zornberg
3

1. Department of Civil Engineering, Federal University of Sao Carlos, Sao Carlos/SP 13564-350, Brazil
2. Sao Carlos Engineering School, University of Sao Paulo, Sao Carlos/SP 13566-536, Brazil
3. Civil Engineering Department, University of Texas at Austin, Austin/TX 78712-0280, USA

Abstract: The use of marginal backfills in GSE (geosynthetic stabilized earth) walls has not been recommended by different standards
specifications. Restrictions are motivated by the poor hydraulic conductivity of fine soils that are capable of developing of water
pressures. However, the use of granular materials can expend the cost of the construction. As a result, local soils, granular or not, have
been increasingly used. Unsaturated conditions of fine soils may result in convenient performance even using extensible
reinforcements. This paper evaluates the performance of a full scale model of a nonwoven geotextile reinforced wall constructed with
fine grained soil backfill. The unsaturated condition was maintained and matric suctions, displacements and reinforcement strains were
monitored during the test. Results have shown that the unsaturated condition of the backfill allowed maximum reinforcement peak
strain of 0.4 %. For the case of a wrap faced wall on a firm foundation the performance and good agreement between measured strains
and factors of safety from limit equilibrium analyses have shown the maintenance of unsaturated conditions as an economical
alternative to the use of high quality fill.

Key words: Reinforced soil wall, nonwoven geotextile, fine soil, unsaturated soil.

1. Introduction

Since the reinforced soil technique began to be used
in retaining walls, embankments and slopes, standard
organizations have been concerned about the
hydraulic behavior of poorly draining backfill soils
[1, 2]. The major problems are the development of
positive water pressures inside the reinforced zone and
reinforcement interaction in the presence of water.
In fact, the low draining capacity of fine soils can
affect the reinforced soil walls performance under
rainfall infiltration as reported by Yoo and J ung [3]
and Fowze et al. [4]. On the other hand, an excellent
performance can be expected from these structures
under unsaturated conditions due to the positive effect
of matric suction on soil and interface behavior.
Khoury et al. [5] report that pullout strength of

Corresponding author: Fernando Henrique Martins
Portelinha, Ph.D., research fields: development of concepts,
methodologies and tools focused at the geosynthetic
technologies applied to geotechnical engineering. E-mail:
fportelinha@gmail.com.
geotextiles embedded in unsaturated soils are so
influenced by matric suction as shear strength of soils.
Additionally, some real cases reported in the literature
could confirm the strong influence of unsaturated
conditions of backfill on the performance of
geosynthetic reinforced soil walls [6, 7]. The
maintenance of unsaturated conditions of backfill soils
is a difficult task regarding field conditions. Koerner
and Soong [8] recommend avoiding any possible
water in the front, behind and beneath the reinforced
zone collecting, transmitting and discharging the
water. Furthermore, the top of the zone should be
waterproofed, e.g., by a geomembrane or a
geosynthetic clay liner, to prevent water from entering
the backfill zone from the surface. However, Wayne
and Wilcosky [9] reported that use of nonwoven
geotextiles assisted in maintaining fine grained soils
in an unsaturated condition in the reconstruction of
failed slope, since the hydraulic properties of
nonwoven geotextile reinforcements can be useful to
DAVID PUBLISHING
D
Performance of a Nonwoven Geotextile Reinforced Wall with Unsaturated Fine Backfill Soil

1254
dissipate pore water pressures and, consequently,
enhance the internal stability of the structure
[10, 11].
Matric suction can improve the walls performance
in two aspects: increasing the soil stiffness and
improving the interface shear strength behavior.
Therefore, two design implications can be drawn from
these aspects: a stiffer soil favors the selection of
lower stiffness reinforcements, resulting in reductions
of costs; and, convenient interface behavior provides a
good transmission and mobilization of forces by the
reinforcement.
This paper describes the performance of an
instrumented full scale model of a nonwoven
geotextile reinforced soil wall under unsaturated
backfill conditions.
2. Experimental Program
2.1 Materials
Full scale models were constructed using clayey
sand with a hydraulic conductivity of 5 10-6 cm/s,
with 40% passing the No. 200 sieve, and low
plasticity (PI = 18%). Compaction parameters from
standard Proctor tests are maximum dry unit weight of
17.8 kN/m
3
and optimum water content of 14.6%.
With the relative low hydraulic conductivity and
significant percentages of fine particles, this material
would be restricted from use by AASHTO [2] and
FHWA [1], being classified as a poorly draining soil.
Triaxial tests in unsaturated soil samples indicated
cohesion of 0 kPa and friction angle of 38
o
for CD
(consolidated drained) tests and, cohesion of 60 kPa
and friction angle of 25
o
for CU (consolidated
undrained) tests, in terms of total stresses.
The reinforcement consisted of a polyester
needle-punched nonwoven geotextile made of
polyester with a mass per unit area of 293 g/m
2
,
thickness of 2.69 mm, tensile strength of 10 kN/m and
strain at failure of 83% (testing was performed in
accordance with ASTM D4595). A relatively weak
and extensible geotextile was specifically selected to
generate detectable strain levels.
2.2 Full Scale Model Construction
Full scale walls have been constructed in the
Laboratory of Geosynthetics located within the Sao
Carlos School of Engineering at the University of Sao
Paulo. A metallic box allows reinforced soil wall
structures to be constructed with 1.8 m height by 1.55
m width, with backfill soil extending to a distance of
1.8 m from the front edge of the metallic box. The soil
was compacted at 98% of relative density and the
maximum dry unit weight and optimum water content
from standard Proctor tests. In order to assure the
required relative density, compaction was performed
manually in layers of 5 cm height. Compaction
control was assured by the drive-cylinder method
(ASTM D2937), spiked every compacted layer
reaching 30 cm height. The backfill soil was seated on
a rigid concrete foundation.
Geotextile reinforcements were placed at 30 cm
vertical spacing with declivity of 1% to the face. Each
layer of reinforcement had a total length of 1.80 m
measured from the face. The wall was constructed
with no facing batter and using the wrapped-around
technique. Protective shotcrete coating varying from 5
cm to 8 cm was used. Drainage geocomposites were
used as face drainage elements into the second and
forth reinforced layers located at 30 cm from the face
forward into the wall. Fig. 1 presents the cross section
view of the model.
2.3 Instrumentation
Instrumentation was deployed to record pore water
pressures including negatives values (soil suction),
internal horizontal displacements, reinforcement
strains and horizontal face displacements. Instruments
locations are presented in Fig. 2.
Matric suction was monitored by tensiometers
(range of -100 kPa to 100 kPa) located in the middle
of each reinforced layer at 5 cm above the
reinforcements at a distance of 80 cm and 140 cm
from the face.

1255

Shotcrete
facing
Facing drains
Airbag
Reaction lid
Acquisition
system

Base layer
1
Steel beam
1
6
5
160
Drainage
geocomposites
Reinforcement
layers
Concrete
Soil
Shotcrete
facing
i=1%
1
2
3
4
5
(cm)
180

(a) Frontal photograph (b) Cross section
Fig. 1 Geotextile reinforced soil wall model.

Base layer
Reinforcement
layers
Concrete
Soil
Tensiometer
Water content sensor
Tell tails
Dial indicators
Earth pressure cells
Tensiometers
INSTRUMENTS

Fig. 2 Instruments location.

Internal displacements were measured by tell-tales.
These devices consisted of stainless steel inextensible
wires, which run inside of plastic tubes used to reduce
friction and to protect the wires. One end of the
tell-tales is fixed to the geotextile and the opposite is
connected to a small weight that is used to tension the
wires and to obtain measures. Relative displacements
between the weight and a reference located in a shaft
behind the wall were measured during the test.
Tell-tales were fixed at five points along
reinforcements at 30 cm of horizontal spacing.
Other displacement instruments were used in this
research but they will not be assessed in this paper.
2.4 Test Procedure
The test procedure involved recording of
instrumentation incorporated within the full scale
model under a uniform loading of 100 kPa.
Instrumentation records were maintained from the
beginning of construction and throughout the initial
90 days of loading.
3. Results
3.1 Instrumentation Results
Fig. 3 presents results from tensiometers installed at
80 cm and 140 cm from the face in each instrumented
layer of the model. In general, the initial matric
suctions of soil were similar for all reinforced layers
and increases of matric suction were observed with
time. Higher rates of matric suction increasing
occurred in the lower layers, with values varying from
20 kPa to 80 kPa. In higher layers, matric suction
values ranged from 20 kPa to 30 kPa.
Internal displacements measured by tell-tales with
time are shown in Fig. 4. This figure presents readings
in points located at 0 cm, 30 cm, 60 cm, 90 cm, 120
cm and 150 cm from the wall face. Clearly, higher
rates of displacement increases occurred as soon as
the loading of 100 kPa was applied to the top of the
wall. Thereafter, small increases could be evidenced
with time. In the reinforced layer 2, displacements
were practically constants throughout loading.
Possibly, high values of matric suction of soil
during the wall life avoided reinforcement creep strains,

1256
M
a
t
r
i
c

S
u
c
t
i
o
n
,

u
a
-
u
w
(
k
P
a
)
0
20
40
60
80
100
0 10 20 30 40 50 60 70 80 90 100
Reinforced layer 2
0
20
40
60
80
100
Reinforced layer 3
Reinforced layer 4
0
20
40
60
80
100
0
20
40
60
80
100
80 cm from the face
140 cm from the face
Reinforced layer 5
Time (days)
80 cm from the face
80 cm from the face
80 cm from the face

Fig. 3 Matric suction measured by tensiometers with time
at 80 cm and 140 cm from the wall face.

resulting in a relatively rigid structure. This was
substantiated due to the presence of the concrete
foundation which limits deformation to the reinforced
zone of the structure.
3.2 Strains in the Geotextiles
Reinforcement strains were obtained from the
relative horizontal displacements between facing and
tell-tales attached along the reinforcement length at
different distances. The distribution of relative
displacement along the reinforcement between points
of measurements and wall facing in the reinforced
layer 2 is presented in Fig. 5. In this figure, sigmoidal
curves fitting the raw data are drawn in order to have a
smooth representation of the distribution of
displacements along the reinforcement length.
The sigmoidal fitting shown in Fig. 5 was also used
to evaluate the distribution of strains along the
reinforcement as presented by Zornberg and Arriaga
0.0
0.5
1.0
1.5
2.0
Loading of 100 kPa
Reinforced layer 5
face
30 cm from the face
60 cm
90 cm
120 cm
150 cm
0.0
0.5
1.0
Loading of 100 kPa
face
30 cm from theface
60 cm
90 cm
120 cm
Reinforced layer 4
0.0
0.5
1.0
1.5
Loading of 100 kPa
Reinforced layer 3
face 30 cm from the face
60 cm
90 cm
120 cm
0.0
0.5
1.0
1.5
0 10 20 30 40 50 60 70 80 90 100
Time (days)
Reinforced layer 2
face
30 cm from the face
60 cm
90 cm
120 cm 150 cm
I
n
t
e
r
n
a
l

d
i
s
p
l
a
c
e
m
e
n
t

(
m
m
)

Fig. 4 Internal displacements versus time.

0
0.2
0.4
0.6
0.8
1
1.2
0 300 600 900 1200 1500
R
e
l
a
t
i
v
e

d
i
s
p
l
a
c
e
m
e
n
t

(
m
m
)
Distance from the face (mm)
0 days
6 days
8 days
14 days
31 days
35 days
41 days
47 days
59 days
68 days
90 days

Fig. 5 Distribution of relative displacements between tell
tales and wall face along the geotextile length.

[12]. Geotextile strains values can be obtained by
calculating relative movements between points of tell
tales at different distance from the reference and
dividing them by the initial distance between rods.
However, the use of this technique may not be
efficient in this case, since the distance between
measured points may not be small enough to get a real
0 300 600 900 1,200 1,500
0 10 20 30 40 50 60 70 80 90 100

1257
strain between points. For this reason, the raw data
from tell tales was initially smoothed by fitting the
data to a sigmoidal curve. Thus, the distribution of
strains along the geotextile length could be obtained
by deriving the displacement function as:
dx
cx
be a
d /
1
|
|
.
|
\
|
+
= c
(1)
where, d is the tell-tale displacement, x is the distance
from the wall face to the measured point, and a, b and
c are parameters defined by the fitting of sigmoidal
curves to the raw data using the minimum squares
technique. This technique was used in a GSE field
case by Zornberg et al. [13].
The distribution of strains in each instrumented
layer is shown in Fig. 6. The strain levels were very
small with a maximum value of 0.43% in the
reinforced layer 2 and minimum value of 0.15% in the
reinforced layer 4. Additionally, no relaxation or
retraction of reinforcements could be observed.
A consistent distribution of strains was obtained by
the derivation of a sigmoidal fitting curve and a
Rankine failure surface seems to properly fit it,
assuming a friction angle from C-U triaxial tests on
unsaturated samples.
The effect of matric suction on the stiffness of soil
can be a good explanation for very small strains and
displacements even using extensible reinforcements as
nonwoven geotextiles. Additionally, interface shear
behavior is absolutely improved under unsaturated
conditions [5]. Other aspects requiring further
consideration is the tensile and creep behavior of
nonwoven geotextiles under confined conditions [14].
These influences are not discussed as part of this
paper as they are covered in detail elsewhere [1].
3.3 Limit Equilibrium Analysis
Factors of safety were calculated by limit
equilibrium analyses in order to compare design
parameters and measured values. Limit equilibrium
analyses were conducted using the technical software
UTEXAS3 from the University of Texas, by Wright
[15]. This software allows for analysis of slopes and
walls considering the reinforcement contribution and
interpolating negative pore water pressures (matric
suction) in the soil.
The effect of matric suction on the factor of safety
and reinforcement peak strains can be better
understood through examination of Fig. 7, where the
factor of safety and reinforcement peak strains are
plotted as function of the average of matric suction
measured by all the tensiometers installed in the
model. From this plot, the factors of safety increased
linearly with matric suction and a better stability could
be noted with the time.
No significant changes in measured values of peak
strains with matric suction could be evidenced, and
significantly small levels of strains were noticed.
Therefore, small forces were mobilized by
reinforcement, and, possibly, this structure would be

0
0,2
0,4
0 300 600 900 1200 1500
Rankine failure
surface
0
0,1
0,2
0
0,1
0,2
0
0,1
0,2
0
0 days
6 days
8 days
14 days
31 days
35 days
41 days
47 days
59 days
Days after construction:
G
e
o
t
e
x
t
i
l
e

s
t
r
a
i
n
s

(
%
)

Fig. 6 Distribution of strains.

0
0.2
0.4
0.6
0.8
1
1
1.5
2
2.5
3
-10 0 10 20 30 40 50 60 70 80
P
e
a
k

s
t
r
a
i
n
s

(
%
)
F
a
c
t
o
r

o
f

s
a
f
e
t
y

Average of matric suction (kPa)
Factor of safety x Average of matric suction
Peak strains x Average of matric suction
Saturated condition (suction zero)

Fig. 7 Limit equilibrium analyses: effect of matric suction
on factors of safety and reinforcement peak strains.
0.2
0.1
0
0.2
0.1
0
0.2
0.1
0
0.4
0.2
0
300 600 900 1,200 1,500

1258
0
30
60
90
120
150
0 300 600 900 1200 1500
H

(
c
m
)
14dias
41dias
68dias
90dias
14dias
41dias
68dias
90dias
14 days
41 days
68 days
90 days
14 days
41 days
68 days
90 days
Days after construction:
Predicted
Measured

Fig 8 Slip surfaces from equilibrium limit analyses in
different times.

stable even without reinforcements. In this case,
reinforcements perform purely the constructability
function.
Fig. 8 summarizes the slip surfaces obtained from
limit equilibrium analyses inputting matric suction
values. This analysis was conducted in order to
compare failure surface location from measured peak
strains and predicted slip surface.
Rankine failure surface (Fig. 6) showed better
agreement than a circular slip surface from limit
equilibrium analyses, even though factors of safety
using Rankine stress state are much more conservative.
Additionally, no influence of matric suction was
observed on potential slip surface shapes, nor failure
surfaces from measured strains.
4. Conclusions
The following conclusions can be drawn from the
analysis of the data collected as part of this
investigation:
(1) Significantly small internal displacements and
reinforcement strains illustrated the positive effect of
matric suction on the walls performance;
(2) Although the matric suction increased with time,
no reinforcement retraction was observed. Still, no
changes on peak strains with time were noted in this
study. Thus, creep strains potentials seem to be
minimized by the soil matric suction, even though
creep occurs over a significantly longer period than
that exploited in this study;
(3) Limit equilibrium analyses have shown the
increase of factor of safety with matric suction. The
relationship between reinforcement peak strains with
increasing factor of safety was horizontally linear,
which means no changes of strains with matric
suction;
(4) Small forces were mobilized by reinforcement,
and, possibly, this structure would be stable even
without reinforcements. In this case, reinforcements
served the function of internal drainage which
supports the work by Wayne and Wilcosky [9].
Therefore, the structure have proved to work
significantly well under unsaturated condition due to
the increase of soil stiffness. As a result, small forces
are transmitted to the reinforcements and low strength
material can be adopted. Restriction of wetting front
by means of an internal drainage system and/or water
barriers, and the use of unsaturated poorly draining
soils, can be an economical alternative for retaining
walls or reinforced slopes.
References
[1] V. Elias, B.R. Christopher, Mechanically Stabilized Earth
Walls and Reinforced Soil Slopes Design and
Construction Guidelines, FHWA (Federal Highway
Administration), FHWA-SA-96-071, Washington, DC,
2010, p. 371.
[2] Standard Specifications for Highway Bridges, 17th ed.,
AASHTO (American Association of State Highway and
Transportation Officials), 2002.
[3] C. Yoo, H.Y. Jung. Case history of geosynthetic
reinforced segmental retaining wall failure, Journal of
Geotechnical and Geoenvironmental Engineering 132 (12)
(2006) 1538-1548.
[4] J.S. Fowze, D.T. Bergado, S. Soralump, M. Voottipreux,
Rain-triggered landslides hazards and mitigation
measures in Thailand: From research to practice,
Geotextile and Geomembranes 30 (1) (2012) 50-64.
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soil-geotextile interface behavior, Geotextile and
0 300 600 900 1,200 1,500

1259
Geomembranes 29 (2010) 17-28.
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geotextile reinforced soil slopes, in: Proceedings of
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[13] J.G. Zornberg, B.R. Christopher, J.K. Mitchell,
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[14] A. McGown., K.Z. Andrawes, M.H. Kabir,
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Models and Optimization of Rice Husk Ash-Clay Soil
Stabilization
Iloeje Amechi Francis
1
and Aniago Venantus
2

1. Department of Architecture, Enugu State University of Science and Technology, Enugu 400261, Nigeria
2. Department of Civil Engineering, Enugu State University of Science and Technology, Enugu 400261, Nigeria

Abstract: Soil stabilization has been found to be very effective in upgrading the bearing capacity of weak soils for construction
purposes. The stabilizing agent, for cost efficiency, ought to provide a cheaper alternative to other possible processes. With the rapid
industrialization efforts around the globe, enormous quantities of waste materials are generated and there has not been adequate
mechanism for recycling and re-use of such wastes to reduce the consequent environmental problems and hazardous situations
created as a result. The objective of the study is to upgrade expansive soils from Eke Obinagu, Ugwuaji in Enugu State and Egbede
in Abia State Nigeria, as constructions material using RHA (rice husk ash). Expansive clay soils were mixed with this ash, remolded
and tested to examine the effect on the OMC (optimum moisture content) and the CBR (California Bearing Ratio). The
characterization of the soils was done in accordance with BS1377 and 1990b, with respect to their engineering properties which
include OMC, MDD, Soaked CBR, Liquid Limit, Classification and Sieve Analysis. The rice husk was burnt and prepared in a
cylindrical incinerator to form the ash. The results of classification showed A-7-5, A-6, A-2-7 soils for Eke Obinagu, Egbede and
Ugwuaji, respectively. The CBR values showed increase from 5% to 29%, 7% to 13% and 5% to 23% for A-7-5, A-6 and A-2-7
respectively at optimal value of 17.5% stabilization. There was also an appreciable increase in the OMC values from 15% to 33%,
14% to 25% and 15% to 31% for A-7-5, A-6 and A-2-7 soils respectively at 17.5% stabilization. Empirical models based on
Scheffes model were developed with the experimental results and the equations resulting from the second degree polynomials of
Scheffes models were solved using the least square method. The models developed showed close correlation with the experimental
results for the A-7-5 and A-6 soils and will form good guide in pavement and foundation designs in the study areas.

Key words: Models, stabilization, CBR, RHA, clay.

1. Introduction

Soil as a material is easily the most abundant of all
natural resources but yet very scarce when needed as a
construction material. In developing countries,
demand for this material is on a daily increase. With
increase in road and building construction activities in
the southeastern Nigeria, high demand has been
placed on the soil with the result that those that
qualify for use for construction purposes are almost
out of stock. This creates an urgent need, in Nigeria as
well as other areas round the globe, for increased
effort towards improving any available soil, for use,
within the locality. In road construction, the

Corresponding author: Iloeje Amechi Francis, M.Sc.,
research field: environmental management/architecture. E-mail:
get2frankfast@gmail.com.
underlying principle is to employ high quality sub
grade materials to effect a substantial reduction in the
thickness of pavement, thereby effectively reducing
the overall cost of construction while still maintaining
a long life span for the constructed road.
In the southeastern Nigeria, quality soils used for
sub grade are in very short supply. Others are largely
deficient in their engineering properties making them
very unfit for use in construction and thus requiring
some degree of stabilization to enhance the quality
before use. In Enugu and Abia States, the study areas,
huge quantities of waste materials are produced and
the disposal mechanism does not match the rate of
production, thereby creating environmental problems
and hazardous situations. Adequate and safe disposal
of such materials are very vital and can be addressed
DAVID PUBLISHING
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Models and Optimization of Rice Husk Ash-Clay Soil Stabilization

1261
by finding ways to improve and utilize them for other
useful purposes. Numerous works have been done on
stabilization of soil using waste products and these
have been able to prove that a substantial percentage
of wastes when combined with other materials can
produce highly beneficial results. One such material
produced in large quantities, in the study areas,
without adequate disposal plan, is the RHA (rice husk
ash). This material can be harnessed and effectively
used in combination with other materials to produce
useful results. It has been classified into high carbon
char, low carbon ash and carbon free ash [1]. Due to
its refractory properties, it is most wanted in steel,
ceramic and brick factories [2].
Several researchers carried out experimental studies
on the use of this material to upgrade the soil
properties. A study on strength characteristics of clay
soil stabilized with lime and the ash was conducted by
Ref. [3]. The unconfined compressive strength and
soaked CBR (California Bearing Ratio) tests for
different combinations of the stabilizing agents
showed that 4% lime is very close to the optimal value
either as sole additive or with any other secondary
additive, from the view point of optimum efficacy. Ali
and Sreenivasulu [4], also carried out an experimental
investigation on the influence of the ash and lime on
the Atterbergs limits, strength, compaction, swell and
consolidation properties of bentonite. The results
showed that the plasticity properties of bentonite were
significantly modified upon their addition. There was
also a noticeable influence of these materials on
compaction, strength, swell and consolidation
properties of bentonite soil particularly at 15% and
8% stabilization, respectively. Another study carried
out by Chattopadhyay and Roy [5], explored the
possibility of alternative materials like pond ash to be
used wholly or partially for the construction of roads
as well as manufacture of bricks. Mahmud and
Muntohar [6], examined the possibilities of improving
residual soil properties with this ash and cement in
suitable proportions as stabilizing agents. Chandra
et al. [7], used ash from rice mill and lime sludge from
paper factory (all waste products), to demonstrate that
the PI (plasticity index) value of clay soil decreases
from twelve to eight when mixed with 10% ash and
16% lime sludge. Furthermore, with increase in the
proportions of these materials, the dry density of the
soil decreases whereas the OMC (optimum moisture
content) increases. The UCS (unconfined compressive
strength) was observed to have optimal value
corresponding to 10% ash and 16% lime sludge. The
soaked CBR value increases with increase in these
materials. The optimal values of the proportions of
these two materials for maximum UCS and lowest PI
were estimated to be about 10% and 16%, respectively.
These results showed that these materials are excellent
additives, in optimal proportions, for the stabilization
of clayey soil. The stabilized soils can then be
successfully employed for use as sub grade or
sub-base for roads or pavement construction. While
saving in construction costs, the environment is also
rid of enormous deposits of waste.
Soil stabilization generally has been found to be
useful in upgrading the bearing capacity of weak soils
for building purposes. This has increased the potential
benefits of using some waste products, against cement,
as stabilizing agents. The major challenge now is to
develop mathematical models that will encourage
wider and easier application of soil improvement
techniques.
This study will examine the use of the ash to
upgrade an expansive clay soil, for use as a
construction material. The percentage of this material
that will generate better result in the engineering
properties of the soil will also be examined with a
view to formulating a model for RHA-Clay soil
stabilization.
2. Materials and Methods
2.1 Study Areas
The soil samples were collected from three different
locations of Enugu and Abia states, in the

1262
southeastern Nigeria. These locations are Borrow Pit
sites for most of the road contracting firms in the
states and they include: Eke-Obinagu Borrow Pit,
Nike, Enugu state; Egbede Borrow Pit, Aba, Abia
state and Ugwuaji Borrow Pit, Nkanu, Enugu state.
2.2 Characterization of Clays
Clays are rarely formed separately. They are mixed
with other materials such as microscopic crystals of
carbonates, feldspars, micas and quarts. Clay minerals
are divided into four major groups: kaolinite,
montmorillonite/smectite, illite and chlorite groups.
The compositions of clay minerals depend on
geographic area and the bedrock, and vary a lot all
over the world. Clay soils have high plasticity index.
According to Arora (2006), LL (liquid limit) is the
water content at which the soil changes from liquid
state to plastic state, while the PL (plastic limit), is the
water content at which the soil changes from plastic
state to semi-solid state. PI (plasticity index) is the
numerical difference between the liquid limit and the
plastic limit expressed as: PI = (LL PL). Soils with
high PI indicate the presence of high proportion of
clay fraction, while soils with lower PI tend to be silt.
2.3 Characterization of RH (Rice Husk) and RHA
(Rice Husk Ash)
RH (rice husk) is a by-product of the rice mill
industry [8-10]. By weight, 10% of the rice grain is
rice husk [11]. Jha and Gill [10] in their experimental
study observed that for every 4 tons of rice, 1 ton is
the rice husk. Similar study carried out by Alhassan
[9], revealed that about 108 tons of rice hush is
generated annually in the world. In Nigeria, about 2
million tons of rice are produced annually, while in
Niger state alone, about 96,600 tons of rice grains are
produced annually [12]. The husk generated from
these will be enormous and is usually disposed
carelessly by dumping in an open heap near the mill
site or along the roadside where they are burnt.
An analysis of RH as given by Muthadhi et al. [13],
is shown in Table 1.
The ash is obtained from burning the rice husk.
When the husk is burnt, about 15%-20% turns into the
ash. The ash, being so light, is carried away by wind
and water in its dry state. It is difficult to coagulate
and thus contributes to air and water pollution. The
cumulative generation of the ash from rice requires a
large space for disposal and so its utilization and the
exploitation of its inherent properties provide a perfect
way to mitigate the associated environmental
problems. Researchers have found that this ash has
high percentage of siliceous materials and so has
potential pozzolanic properties [14]. According to
Houstin [1], it has been classified into high carbon
char, low carbon ash and carbon free ash. The
properties depend on whether it has undergone
complete destructive combustion or is partially burnt.
Meanwhile, it has been categorized under pozzolana
with about 67%-70% silica, 4.9% aluminum and
0.95% iron oxides [12].
2.4 Sample Preparation and Experimental Program
Soils from Eke Obinagu Borrow Pit, Emene, Enugu
State, Egbede Borrow Pit, Aba, Abia State and
Ugwuaji, Nkanu, Enugu State were used for this study,
while the Rice Husk was sourced from Abakaliki in
Ebonyi State, barely 75 km from Enugu. Only the
CBR and OMC, were considered. The second degree
polynomial was used to model their behavior and the
effects on the soil properties.
On collection of the soil samples, they were first
classified as given in Table 2, using BS 1377 standard

Table 1 Typical analysis of rice husk [13].
Properties Range
Bulk density (kg/m
3
) 96-160
Length of husks (mm) 2-5
Hardness (Mohrs Scale) 5-6
Ash (%) 22-29
Carbon (%) 35
Hydrogen (%) 4-5
Oxygen (%) 31-37
Nitrogen (%) 0.23-0.32
Sulphur 0.04-0.08
Moisture 8-9

1263
Table 2 Soil sample classification before stabilization.
No. Properties BS 1377 Classification
1 Eke Obinagu A-7-5
2 Egbede A-6
3 Ugwuaji A-2-7
Source: Field work.

classification method.
After classification the engineering properties of the
soil were determined in accordance with BS1377 and
1990b, and presented in Table 3, while the chemical
properties of the rice husk ash were presented in
Table 4.
The LL (liquid limits) of Eke Obinagu, Egbede and
Ugwuaji were 61%, 40% and 49% before stabilization
while their PI (plasticity index) were 35%, 17% and
18%, respectively. These results indicate that Eke
Obinagu soil with high PI can expand and shrink in
response to wet and dry seasons of the year more than
the rest of the soils. Other properties are as shown in
Table 3. The burning and preparation of the ash was
carried out in a cylindrical incinerator. The CBR test
was carried out on the materials after stabilization.
The moisture content of the soil generally represents
the design conditions for which the test results were
derived and this was also examined.
3. Results, Discussions and Modeling
Before stabilization the CBR value of Eke Obinagu
(A-7-5) sample was 5% and thereafter rose to 29% at
optimal stabilization of 17.5%. For Egbede (A-6)
sample the CBR value was 7% before and 13% after,
while it was 5% and 23% before and after respectively
for Ugwuaji soil at 17.5% stabilization.
The CBR plot in Fig. 1 showed that not all the three
samples met the sub-grade requirement. According to
Nigerian Roads and Bridges specification [15], the
CBR value of sub-grade should be up to 15% or more
after soaking for 48 h. Since the aim of this study is to
know the soils that can respond favorably to
stabilization with the ash, it was discovered that Eke
Obinagu soil (A-7-5) with a CBR value of 29% responds

Table 3 Engineering properties of the soil.
S/No Properties
Location
Eke
Obinagu
Egbede Ugwuaji
1 OMC (%) 15 14 15
2 MDD (gkm
3
) 1.72 1.97 1.88
3 Soaked CBR (%) 5.00 6.00 5.00
4 Liquid limit (%) 61 40 49
5 Plasticity index (%) 35 17 18
6
% passing B.S.
Sieve size 63 mm
65 39 57
7 Soil classification A-7-5 A-6 A-2-7
Source: Field work.

Table 4 Chemical properties of the RHA.
Compound
composition
Rice husk ash at
400
o
C (%)
RHA obtained from
open air (%)
SiO
2
86.56 89.15
CaO 2.97 2.10
MgO 2.14 1.32
Fe
2
O
3
0.63 0.18
Al
2
O
3
3.65 4.32
Na
2
O 2.701 1.48
K
2
O 1.251 1.399
Source: Field work.

better than the other two soils. However in all the soil
samples the addition of ash resulted in increase in the
CBR values.
The models shall be obtained based on Sheffes
model given as:
E
(y)
=
o
+
i =1
p
i
x
i
2
+
i< j
p
ij
x
i
x
j
+......+
(1)
which is the equation of independent variables for 2nd
degree polynomial, where p is the number of
components in the mixture. It is worthy of note that
interests among researchers have changed from
determining which process variables affect the
response, to determining the region or important
factors that lead to the best possible response [16].
Response surface methodology RSM is a collection of
mathematical and statistical techniques useful for the
analysis and modeling of problems in which a
response of interest is influenced by several variables
and the objective is to optimize this response [16-18].
RSM methods lead to product OPTIMIZATION

1264
which is the main object of Scheffe's model. If the
RHA variable is assumed to be x
1
, while the soil
variable is x
2
, the number of components in the
mixture is, p = 2. The constraint of Scheffes Model
for a mixture design is that
x
1
+ x
2
+
.
x
p
= 1 x
1
+ x
2
= 1 (2)
E
(y)
=F
f
= (
0
+
1
+
11
) x
1
+ (
0
+
2
+
22
) x
2
+ (
12

11

22
) x
1
x
2
=
1
x
1
+
2
x
2
+
2
x
1
x
2
(3)
Put in a compact form,
F
f
=

1<i <p
p
i
x
i
+

1<i < j <q
p
ij
x
i
x
j
(4)
The result of the least square method is a system of
linear equations with three unknown constants
1
,
2
,
12
, which will be determined for each of the soils
obtained from the three locations. From Table 5 the
least square is as shown in Table 6 and the
homogenous equations for the model coefficients are
as follows using Eke Obinagu soil sample:
Table 6 is generated for all the locations:
Eke Obinagu CBR = 14.6469x
1
+ 0.05x
2
0.1487x
1
x
2
(5)
Egbede CBR = 1.7559x
1
+ 0.0575x
2
+ 0.0257x
1
x
2
(6)
Ugwuaji CBR = 7.6021x
1
+ 0.0464x
2
0.0743x
1
x
2
(7)
The above models can be verified using the
optimum results of the stabilized soils given in
Table 7.
The results of both the experiments and the model
values are compared as shown in Tables 8-10 and in
Figs. 1-3.
In all the soil types the addition of the stabilizing
agent resulted in increase in CBR values, collaborated
with the results of the models. The CBR curve for the
model is linear while that of the experiment increased

Table 5 Results after stabilization (OMC, MDD, CBR).
SN RHA (%)
Ugwuaji Nkanu A-2-7 Egbede Borrow PIT A-6 Eke-Obinagu A-7-5
OMC (%) MDD (g/cm
3
) CBR (%) OMC (%) MDD (g/cm
3
) CBR (%) OMC (%) MDD (g/cm
3
) CBR (%)
1 0.00 15.00 1.88 5.0 14.00 1.97 6.00 15.00 1.72 5.00
2 2.5 15.00 1.86 5.0 14.00 1.94 7.00 16.00 1.69 6.00
3 5.00 17.00 1.82 7.0 14.00 1.90 9.00 18.00 1.63 7.00
4 7.5 18.00 1.78 9.00 15.00 1.80 10.00 23.00 1.60 8.00
5 10.00 20.00 1.68 15.0 15.00 1.62 11.00 26.00 1.48 22.00
6 12.50 23.00 1.58 17.00 22.00 1.50 11.0 27.00 1.44 23.00
7 15.00 29.00 1.49 22.00 23.00 1.44 13.00 28.00 1.41 28.00
8 17.50 31.00 1.44 23.00 25.00 1.33 12.00 33.00 1.37 29.00
9 20.00 30.00 1.40 18.00 27.00 1.28 9.00 33.00 1.34 26.00

Table 6 Controllable variables for optimum moisture content.
S/NO X
1
X
2
X
1
X
2
X
1
2
X
2
2
X
1
2
X
2
X
1
X
2
2
X
1
2
X
2
2

1 0.00 100.00 0.00 0.00 10,000.00 0.00 0.00 0.00
2 2.50 97.50 243.75 6.25 9,506.25 609.38 23,765.63 59,414.06
3 5.00 95.00 475.00 25.00 9,025.00 2,375.00 45,125.00 225,625.00
4 7.50 92.50 693.75 56.25 8,556.25 5,203.13 64,171.88 481,289.06
5 10.00 90.00 900.00 100.00 8,100.00 9,000.00 81,000.00 810,000.00
6 12.50 87.50 1,093.75 156.25 7,656.25 13,671.88 95,703.13 1,196,289.06
37.50 562.50 3,406.25 343.75 52,843.75 30,859.38 309,765.63 2,772,617.19

Table 7 CBR/OMC values (for 15%, 17% and 20% stabilization).
S/No RHA (%)
Eke Obinagu A-7-5 Egbede A-6 Ugwuaji A-2-7
OMC (%) CBR (%) OMC (%) CBR (%) OMC (%) CBR (%)
1 15.00 28.0 28.0 23.0 13.0 29.0 22.0
2 17.50 33.0 29.0 25.0 12.0 31.0 23.0
3 20.00 33.0 26.0 27.0 9.00 30.0 18.0


1265
Table 8 CBR values for the model and experimental results (Eke Obinagu).
S/No RHA (%) Soil sample (%) CBR experiment (%) CBR Model (%)
1 15.0 85.0 28 23.24
2 17.50 82.50 29.0 29.59
3 20.0 80.0 26.0 36.89

Table 9 CBR values for the model and experimental results (Egbede Sub-base).
S/No RHA (%) Soil sample % CBR experiment (%) CBR model (%)
1 15.0 85.0 13.0 11.3
2 17.50 82.50 12.0 11.12
3 20.0 80.0 9.0 10.6

Table 10 CBR values for the model and experimental results (Ugwuaji Sub-base).
S/No RHA (%) Soil sample (%) CBR experiment (%) CBR model (%)
1 15.0 85.0 22.0 34.36
2 17.5 82.5 23.0 45.76
3 20.0 80.0 18.0 59.02

15 17.5 20
C
B
R
RHA (%)
40
35
30
25
20
15
10
5
0
A-7-5
A-7-5
A-6 A-6
A-2-7
A
-2
-7

Fig. 1 Combined plot of CBR against RHA.

1.6
1.4
1.2
1
0.8
0.6
0.4
0.2
0
15 17.5 20
M
D
D
RHA (%)
A-2-7
A-2-7
A-7-5
A-7-5
A-6
A-6

Fig. 2 Combined plot of MDD against RHA.
40
35
30
25
20
15
10
5
0
15 17.5 20
O
M
C

%
RHA (%)
A-2-7
A-2-7
A-7-5
A-7-5
A-6
A-6

Fig. 3 Combined plot of OMC against RHA.

slightly and decreases linearly at 17.5% stabilization
for the Ugwuaji. Decrease in CBR value when the
agent is increased suggests that the lack of cementing
properties is a disadvantage to its use as a stabilizer
for expansive soils. For this reason, it should be used
with lime-containing material or cement for soil
improvement.
4. Conclusions
The results of the models closely correspond with
the experimental results especially with A-7-5 and
A-6 soils and so the models could be used to predict
the SiolRHA properties in the absence of
Experiment
Model
Experiment
Model
Experiment
Model

1266
experimental results. In all the soil types, the addition
of the stabilizing agent resulted in increase in OMC
and CBR values similar to results from other
literatures on the subject. At 15% to 17.5%
stabilization the soils attained their maximum CBR
values although the A-6 soil had the lowest values.
These behavioral changes were also observed in the
results of the models but the pattern of improvement
varies with the different soils. This study therefore
recommends that thus: Although ash from rice is a
good stabilizing agent for expansive soils it will
require lime-containing material or cement to achieve
better results, the empirical models developed could
be used to predict the properties of the stabilized soil
in the absence of experimental data for the A-7-5 and
A-6 soils.
References
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Association of Cereal Chemistry, Inc., St. Paul,
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the National Seminar on Road Transportation: Issues and
Strategies, Patiala, 1998, p. 20.
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material with different technologies for improvisation, in:
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Road Transportation (ART), NIT Rourkela, 2005, p. 491.
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Stabilization of residual soil with RHA and cement,
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ashProperties and its uses, A Review IE (I) Journal 88
(2007) 50-56.
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pozzolanic material, in: Proceeding of Conference on
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University, Lehigh, 1976.
[15] Specification Limits for Materials for Roads and Bridges,
Federal Ministry of Works, Nigeria, 1997.
[16] D.C. Montgomery, Designs and Analysis of Experiments,
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274-291.


Gully Erosion Study and Control: A Case Study of Queen
Ede Gully in Benin City
Jacob O. Ehiorobo and Roland O. Ogirigbo
Department of Civil Engineering, Faculty of Engineering, University of Benin, Benin 300283, Nigeria

Abstract: This paper presents findings from studies carried out on the Queen Ede gully erosion site in Benin City, in the
south-southern zone of Nigeria. The studies involved detailed topographical, geotechnical, meteorological and hydrological data
acquisition. The data were processed and analyzed to determine catchment size, gully morphology, soil characteristics, rainfall
pattern and hydrological pattern. These were then interpreted and used to determine the method of control to be adopted. The adopted
control measures is a combination of structural and non-structural methods. The structural method involved the use of gully control
structures to divert the runoff entering the gully from the head, while the non-structural method involved the use of boulders and
vegetation to stabilize the gully walls around the head region.

Key words: Queen Ede gully, gully erosion, catchment, control structures.

1. Introduction

Gully erosion is an enormous type of environmental
degradation which results in loss of valuable land used
for agricultural, domestic, industrial and aesthetic
purposes, as well as loss of property and even human
lives [1]. It is formed as a result of water moving in rills,
which concentrate to form larger channels. When rill
erosion can no longer be repaired by merely tilling or
disking, it is defined as gully erosion.
Generally, gully erosion occurs when runoff
concentrates and flows at a velocity sufficient to detach
and transport soil particles. In Nigeria, high land use
pressure particularly in the south-east and south-south
regions render the landscape more vulnerable to gully
erosion. Land use changes have also caused the
development of bank gullies along some river banks [2].
A recent study conducted in the south-eastern parts of
Nigeria, showed that the primary causes of gully
erosion in this region is as a result of roads lacking

Corresponding author: Jacob O. Ehiorobo, Ph.D., research
fields: GNSS and geodetic positioning, deformation surveys
and analysis, engineering and construction surveys and analysis,
engineering and construction surveys, remote sensing, GIS,
water resources modeling and environmental hazards analysis.
E-mail: jeffa_geos@yahoo.com.
proper drainage, unguided cultivations, and
indiscriminate channelling of flood water on sloped
terrain [3]. Also, changes in drainage pattern associated
with urbanization can give rise to the formation of
gullies especially where illegal settlements exist.
Gully erosion is the most destructive form of erosion
as it destroys the soil structure, damage farm lands,
destroy infrastructure, alter transportation corridors
and lower water tables [4]. According to Ref. [5], the
formation of gullies in the south-eastern part of Nigeria
has become one of the greatest environmental disasters
facing many towns and villages, as many agricultural
lands have become unsuitable for cultivation and
hundreds of people have had to relocate. Efforts are
however being made to control some of these gullies as
reported in Ref. [6].
A study conducted by Poesen [7] stated that soil
shear strength at saturation of various soil horizons is a
good indicator of their resistance against concentrated
flow erosion. In Ezezika and Adetona [3], it was
concluded that most of the gullies in the south-eastern
part of Nigeria can be prevented from expanding by
embarking on enhanced public awareness programs
and better land management practices. While these
DAVID PUBLISHING
D
Gully Erosion Study and Control: A Case Study of Queen Ede Gully in Benin City

1268
practices can prevent the formation of future gullies,
they are insufficient to control the huge gully erosion
sites already existing.
Apart from the south-eastern parts of Nigeria, gully
erosion still plagues other areas like the south-southern
regions where Edo state is located. In order to
adequately address the problems associated with gully
erosion in this region, proper studies would have to be
carried out to determine the topographical, geological,
geotechnical, meteorological and hydrological
characteristics of gullies in the region. On the gullies in
this region, very little research have been done on the
state of the gullies, the processes involved and control
measures (both temporary and long-term) that can be
put in place to ensure that the growth of the gullies are
investigated.
It is to be noted that despite several case studies
reported in literature, there is still the need for more
research on the effectiveness and cost-efficiency of
gully prevention and control measures. This is because,
the effectiveness of many of these control measures
depends on local conditions. For instance, it was
reported that stabilizing a bank gully head in central
Belgium with rock plug did not work in loess-derived
soils and an alternative technique with geo-membranes
had to be developed [8, 9].
This paper presents the findings from studies carried
out on the Queen Ede gully erosion site in Benin City
(south-south zone of Nigeria), and the solution
adopted to prevent further growth and expansion of the
gully by applying both structural and non-structural
measures.
2. Methodology
2.1 The Study Area
The Queen Ede gully erosion site is located in Benin
City, the capital city of Edo state in Nigeria. It lies
within the UTM (Universal Traverse Mercator) zone
31 and is bounded by UTM coordinates 700,800 mN to
702,500 mN and 795,800 mE to 796,000 mE. The
gully runs down to the Ikpoba River in a south eastern
direction, covering a total land area of 59,250.099 m
2
,
with a perimeter of 2,219 m.
The study area lies within the tropical rain forest
zone and is characterized by annual rainfall ranging
from 1,558.1 mm in 2001 to 2,618.3 mm in 2010. The
elevation of the study area ranges from 16 m to 110 m
above mean sea level. The location plan of the queen
Ede gully erosion site in Benin City is shown in Fig. 1.
2.2 Causes of Gully Erosion Problem and Previous
Efforts at Rehabilitation
The Queen Ede gully is believed to have started
sometime in the 1990s, as a result of the abrupt
termination of the outlet drain from the Benin-Agbor
highway around the current location of the gully.
Additionally, the runoff for the steep slope from streets
within the upland catchment area contributed largely to
the formation of the gully. For instance, there are four
900 mm diameter culverts under the Benin-Agbor
highway, which carry the storm discharge from the
neighbouring streets located around the gully head to
two catch pits located on the opposite side of the
highway. An assessment of the catch pits indicated that
they are inadequate in size compared to the volume of
storm runoff they receive at a time and therefore they
can not serve the purpose for which they were
constructed.
Efforts have been made in recent years by both the
State and Federal Government to arrest the acceleration
of the erosive action of the storm water in the area but
these have not succeeded. Even recently, the local
residents constructed a local earth channel to divert the
storm runoff coming towards the gully from the streets
within the upland catchment area, but this resulted in
creating a secondary gully at the gully head.
2.3 Field Survey Measurements
Field reconnaissance survey was carried out using
handheld Garmin 76 GPS, to capture key coordinates.
Three control points were established at some distance
on stable ground from the gully head by method of


1269

Fig. 1 Location of Queen Ede gully erosion site in Benin City.

Differential GPS. Leica Total Station instrument was
then used for detailed surveys within the catchment
basin to capture both the primary gully at Queen Ede
and the other secondary gullies along Edebor and
Pohgah streets.
Measurements were carried out to obtain the cross
section of the gully and the topographical profile along
the axis of the main gully channel from the head to the
terminal point at Ikpoba River.
Total station measurements were collected at 1 cm

1270
level resolution to capture break in slopes and other
topographic features necessary for producing DEM
(digital elevation models) and to determine various
morphological parameters such as width, depth,
volume of soil loss, etc..
High resolution Ikono Imagery was acquired for the
study area in order to measure and monitor the extent
of the land area at risk, land use pattern, delineation of
the catchment basin and analysis of infrastructure at
risk or endangered by the gully. The topographical map
of the Queen Ede gully erosion site is shown in Fig. 2.
TIN (Triangulated Irregular Network) model of the
gully site is shown in Fig. 3a while SPOT satellite
image map of the site is shown in Fig. 3b.

Fig. 2 Topographical map of Queen Ede gully and its catchment basin.

1271

(a)

1272

(b)
Fig. 3 The gully: (a) TIN (triangulated irregular network) model of the gully; (b) Ikono imagery of gully.

2.4 Geotechnical Investigation
Soil samples were collected from gully cross section
along the bed and walls at specific locations and taken
to the laboratory for testing and analysis. The tests
carried out included natural moisture content,
Atterberg limit tests, specific gravity tests, gradation,
California Bearing Ratio tests, compaction tests, U-U
triaxial and direct shear tests.
2.5 Hydrological Studies
Nigeria receives rainfall from the south westerlies
which invade the country from the Gulf of Guinea
Coast. The moist air stream is overlain by the north
east trade wind which originates from the Sahara,
which is dry and dusty. The zone where these two air
masses meet is a zone of moisture discontinuity and it
is referred to as the ITD (inter tropical discontinuity).
The rainfall producing system for Nigeria is a
function of the migration pattern of the ITD.
Meteorological data have shown that the rainfall
pattern in Nigeria have changed in the past decades,
due to climate changes caused primarily by the effects
of global warming. For example, the rainy season for
the year 2012 began in late January, as against the usual
periods of March and April. The monthly rainfall

1273
distribution for 2001-2010 was obtained from Benin
meteorological station.
Using a design period of 2, 5, 10, 25, 50 and 100
years duration, respectively, IDF (intensity duration
frequency) curves were prepared for the study area.
Once the catchment basin has been delineated,
rainfall intensity for the study area was computed using
rainfall duration, equal to the time of concentration
(T
C
), where, I
c
=
0.195L
0.
S
0.38S
, in minute [1].
3. Data Processing and Results
Spot elevation along with points coordinates were
obtained from the Total Station instrument using the
in-built software of the instrument.
Based on the points coordinates, morphological
cross sections were obtained at 20 m interval. Other
morphological parameters were calculated including
length, width, depth and areas. The morphological
parameters are shown in Tables 1 and 2.
Using arc GIS 9.2 software, DEMs (digital elevation
models) along with contours were plotted. This was
then superimposed on the Ikono Imagery for catchment
basin delineation and analysis.
Also cross sections were plotted at 20 m interval and
bed profile from the head to the point of discharge.
These are shown in Fig. 4, Figs. 5a and 5b,
respectively.
The results of the soil tests from samples taken from
both the gully bed and gully walls revealed that:
The soils specific gravity ranged from 2.37-2.66;
More than 37.69% of the samples passed through
Sieve No. 0.075 mm;
Liquid limit ranged from 27.71%-3.55%,
plasticity limit (10.39%-27.04%), plasticity index
(13.11%-49.8%);
Maximum dry density ranged from 1.19-1.87
g/cm
2
;
Angle of internal friction, = 15
o
and cohesion, C
= 2 kN/m
2
;
CBR (California bearing ratio) values were very
low (less than 5%) for both soaked and unsoaked.
The monthly rainfall for 2001-2010 is presented in
Table 3 and Fig. 6. Using Eq. (1), the time of
concentration was computed to be equal to 34 min.
This is the time required to move surface runoff
from the remotest point of the catchment basin to its
outlet.
Rainfall Intensity Duration Curve was used
estimate the effect of rain drop on gully wall and gully
head erosion at the site (Table 3 and Fig. 6)
4. Analysis and Discussion
From Tables 1 and 2, the maximum width of the
gully as in January 2012 was 112 m and the minimum
width was 15.6 m. The maximum depth was 16.4 m
and the minimum depth was 0.4 m. The WDR (width
to depth ratio) varied from 2 to 42. The volume of soil

Table 1 Morphological parameters of Queen Ede Gully as at January 2012.
Chainage (m) Top width, B (m) Depth, D (m) BDR Cross sectional area, A (m
2
) Cumulative volume, V (m
3
)
00 + 000 15.604 0.374 42 3,510 0.000
00 + 100 101.218 9.155 11 431,335 25,544.340
00 + 200 74.184 12.394 6 709,756 77,353.480
00 + 300 31.752 8.432 4 213,881 118,422.800
00 + 400 56.205 8.981 6 381,768 144,309.500
00 + 500 70.000 16.378 4 841,278 227,958.000
00 + 600 112.000 13.409 8 970,039 314,372.000
00 + 700 17.363 9.854 2 128,751 344,273.800
00 + 800 19.365 7.780 2.5 127,897 354,944.560
00 + 900 77.226 3.890 20 196,260 368,975.840
00 + 960 40.815 4.480 9 85,271 393,069.580

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0
.
4
1
8

5
0
.
1
7

9
.
7
5
2

3
2
.
2
3
2

3
2
.
2
3
2

0
.
0
0
0

1
0
.
7
2
7

1
0
.
7
2
7

0
.
0
0
0

3
5
7
.
1
9
7

3
8
6
.
8
0
9

2
9
.
6
1
2

7
,
1
4
3
.
9
4
0

7
,
7
3
6
.
1
8
0

5
9
2
.
2
4
0

1
0
2
,
2
3
3
.
7
4
0

1
0
3
,
3
8
8
.
6
8
0

1
,
1
5
4
.
9
4
0

0
0
+
2
6
0

4
1
.
9
7
1

5
4
.
2
7

1
2
.
2
9
9

3
7
.
5
0
0

3
8
.
0
6
0

0
.
5
6
0

7
.
4
9
2

7
.
4
9
2

0
.
0
0
0

2
8
8
.
3
3
2

3
1
3
.
4
8
1

2
5
.
1
4
9

5
,
7
6
6
.
6
4
0

6
,
2
6
9
.
6
2
0

5
0
2
.
9
8
0

1
0
8
,
0
0
0
.
3
8
0

1
0
9
,
6
5
3
.
3
0
0

1
,
6
5
7
.
9
2
0

0
0
+
2
8
0

3
6
.
2
9
2

4
9
.
5
3

1
3
.
2
3
8

2
2
.
5
0
0

2
2
.
5
0
0

0
.
0
0
0

7
.
2
0
8

7
.
2
0
8

0
.
0
0
0

2
0
4
.
2
1
0

2
2
4
.
3
4
4

2
0
.
1
3
4

4
,
0
4
8
.
2
0
0

4
,
4
8
6
.
8
8
0

4
0
2
.
6
8
0

1
1
2
,
0
8
4
.
5
8
0

1
1
4
,
1
4
5
.
1
8
0

2
,
0
6
0
.
6
0
0

0
0
+
3
0
0

3
1
.
7
5
2

3
1
.
7
5

0
.
0
0
0

1
8
.
0
2
6

1
8
.
0
2
6

0
.
0
0
0

8
.
4
3
2

8
.
4
3
2

0
.
0
0
0

2
1
3
.
8
8
1

2
1
3
.
8
8
1

0
.
0
0
0

4
,
2
7
7
.
6
2
0

4
,
2
7
7
.
6
2
0

0
.
0
0
0

1
1
6
,
3
6
2
.
6
0
0

1
1
8
,
4
2
2
.
8
0
0

2
,
0
6
0
.
2
0
0

0
0
+
3
2
0

3
2
.
2
9
0

3
2
.
2
9

0
.
0
0
0

2
2
.
0
9
8

2
2
.
0
9
8

0
.
0
0
0

8
.
8
5
5

8
.
8
5
5

0
.
0
0
0

2
2
0
.
3
7
2

2
2
0
.
3
7
2

0
.
0
0
0

4
,
4
0
7
.
4
4
0

4
,
4
0
7
.
4
4
0

0
.
0
0
0

1
2
0
,
7
6
9
.
6
0
0

1
2
2
,
8
3
0
.
2
4
0

2
,
0
6
0
.
6
4
0

0
0
+
3
4
0

3
0
.
0
0
0

3
0
.
0
0

0
.
0
0
0

2
3
.
8
9
4

2
3
.
8
9
4

0
.
0
0
0

7
.
9
7
5

7
.
9
7
5

0
.
0
0
0

2
1
8
.
8
5
5

2
1
8
.
8
5
5

0
.
0
0
0

4
,
3
7
7
.
1
0
0

4
,
3
7
7
.
1
0
0

0
.
0
0
0

1
2
5
,
1
4
6
.
7
4
0

1
2
7
,
2
0
7
.
3
4
0

2
,
0
6
0
.
6
0
0

0
0
+
3
6
0

3
1
.
7
8
0

3
1
.
7
8

0
.
0
0
0

1
9
.
5
0
5

1
9
.
5
0
5

0
.
0
0
0

7
.
0
4
6

7
.
0
4
6

0
.
0
0
0

1
7
9
.
6
2
5

1
7
9
.
6
2
5

0
.
0
0
0

3
,
5
9
2
.
5
0
0

3
,
5
9
2
.
5
0
0

0
.
0
0
0

1
2
8
,
7
3
9
.
2
4
0

1
3
0
,
7
9
9
.
8
4
0

2
,
0
6
0
.
6
0
0

0
0
+
3
8
0

4
1
.
2
9
7

4
1
.
3
0

0
.
0
0
0

3
0
.
7
0
5

3
0
.
7
0
5

0
.
0
0
0

8
.
7
3
7

8
.
7
3
7

0
.
0
0
0

2
8
3
.
7
1
5

2
8
3
.
7
1
5

0
.
0
0
0

5
,
6
7
4
.
3
0
0

5
,
6
7
4
.
3
0
0

0
.
0
0
0

1
3
4
,
4
1
3
.
5
4
0

1
3
6
,
4
7
4
.
1
4
0

2
,
0
6
0
.
6
0
0

0
0
+
4
0
0

5
6
.
2
0
5

5
6
.
2
1

0
.
0
0
0

4
0
.
8
4
1

4
0
.
8
4
1

0
.
0
0
0

8
.
9
8
1

8
.
9
8
1

0
.
0
0
0

3
9
1
.
7
6
8

3
9
1
.
7
6
8

0
.
0
0
0

7
,
8
3
5
.
3
6
0

7
,
8
3
5
.
3
6
0

0
.
0
0
0

1
4
2
,
2
4
8
.
9
0
0

1
4
4
,
3
0
9
.
5
0
0

2
,
0
6
0
.
6
0
0

0
0
+
4
2
0

6
2
.
0
9
0

6
2
.
0
9

0
.
0
0
0

4
6
.
4
4
1

4
6
.
4
4
1

0
.
0
0
0

1
0
.
3
0
6

1
0
.
3
0
6

0
.
0
0
0

4
9
9
.
8
7
9

4
9
9
.
8
7
9

0
.
0
0
0

9
,
9
9
7
.
5
8
0

9
,
9
9
7
.
5
8
0

0
.
0
0
0

1
5
2
,
2
4
6
.
4
8
0

1
5
4
,
3
0
7
.
0
8
0

2
,
0
6
0
.
6
0
0

Fig. 4 Cross

Fig. 5 Gully
7
6
5
3
2
0
+
0
0
Ch
G
B
G
Ch
Gully Ero
s sections at 0 m
y bed profile: (a
7
6
.
5
3
2

7
5
.
1
5
8

7
3
.
2
4

6
9
.
5
2

6
3
4
6
8
0
+
0
0

0
+
2
0

0
+
4
0

0
+
6
0

0
+
8
0
hainage (m)
Gullybedlevels (m)
Bedslope (%)
Gullybedlevels (m)
Bed slope (%)

4
4
.
2
0
2

4
3
.
5
1
4

4
2
.
7
1
9

4
2
.
2
8
4

0
+
5
6
0

0
+
5
8
0

0
+
6
0
0

0
+
6
2
0
hainage (m)
osion Study a
m, 200 m, 400
a) 0 m to 560 m
6
3
.
4
6
8

6
0
.
8
6
1

5
8
.
5
6
4

5
6
.
1
2
6

0
+
1
0
0

0
+
8
0

0
+
1
2
0

0
+
1
4
0

3
9
.
2
6
6

4
1
.
8
6
4

4
1
.
3
4
1

4
1
.
4
2
6

0
+
6
4
0

0
+
6
6
0

0
+
6
8
0

0
+
7
0
0

and Control:
m, 600 m and
m; (b) 560 m to
5
6
.
7
3
6

5
5
.
9
1
6

4
9
.
9
9
6

4
8
.
6
6
6

4
8
2
1
0
0
+
1
6
0

0
+
1
8
0

0
+
2
0
0

0
+
2
2
0

0.017%
4
0
.
6
7
1

4
0
.
5
1
1

3
9
.
9
9
6

3
9
.
4
1
6

0
+
7
2
0

0
+
7
4
0

0
+
7
6
0

0
+
7
8
0

A Case Stud
800 m.

(a)

(b)
o 960 m.
4
8
.
2
1
0

4
8
.
0
0
6

4
7
.
9
4
8

4
7
.
2
3
9

0
+
2
4
0

0
+
2
6
0

0
+
2
8
0

0
+
3
0
0

0.017%
3
9
.
3
8
1

3
9
.
0
3
1

3
8
.
5
9
1

3
8
.
3
2
1

0
+
8
0
0

0
+
8
2
0

0
+
8
4
0

0
+
8
6
0

y of Queen E
4
6
.
8
0
9

4
6
.
6
8
9

4
6
.
4
0
4

4
4
.
0
3
9

0
+
3
2
0

0
+
3
4
0

0
+
3
6
0

0
+
3
8
0

3
7
.
9
7
1

3
7
.
6
1
1

3
7
.
1
9
6

3
6
.
8
9
1

0
+
8
8
0

0
+
9
0
0

0
+
9
2
0

0
+
9
4
0

Ede Gully in B
4
5
.
7
1
4

4
6
.
4
0
7

4
6
.
1
0
4

4
5
.
3
6
4

0
+
4
0
0

0
+
4
2
0

0
+
4
4
0

0
+
4
6
0

3
6
.
5
7
6

0
+
9
6
0

Benin City
4
4
.
2
8
4

4
4
.
2
8
4

4
2
.
5
0
4

4
4
.
5
3
7

0
+
4
8
0

0
+
5
0
0

0
+
5
2
0

0
+
5
4
0

1275

4
4
.
2
0
2

0
+
5
6
0

5

T
a
b
l
e

3

M
o
n
t
h
l
y

r
a
i
n
f
a
l
l

d
i
s
t
r
i
b
u
t
i
o
n

f
o
r

B
e
n
i
n

C
i
t
y

f
r
o
m

2
0
0
1
-
2
0
1
0
,

i
n

m
m
.

Y
e
a
r

J
a
n
.

F
e
b
.

M
a
r
.

A
p
r
.

M
a
y

J
u
n
.

J
u
l
.

A
u
g
.

S
e
p
.

O
c
t
.

N
o
v
.

D
e
c
.

T
o
t
a
l

M
e
a
n

M
a
x

M
i
n

2
0
0
1

0
.
0
0

1
4
.
6
0

1
1
1
.
4
0

1
8
1
.
7
7

2
7
3
.
8
0

2
0
2
.
0
0

2
2
4
.
3
0

6
5
.
7
0

2
9
6
.
9
0

1
4
7
.
8
0

3
9
.
9
0

0
.
0
0

1
,
5
5
8
.
1
0

1
2
9
.
8
4

2
7
3
.
8
0

0
.
0
0

2
0
0
2

0
.
0
0

1
6
.
0
0

1
6
5
.
4
0

1
9
6
.
5
0

2
2
2
.
6
0

3
5
1
.
4
0

4
8
9
.
1
0

1
4
0
.
4
0

1
4
8
.
3
0

1
1
1
.
4
0

1
0
8
.
4
0

1
2
.
9
0

1
,
9
6
2
.
4
0

1
6
3
.
5
3

4
8
9
.
1
0

0
.
0
0

2
0
0
3

0
.
0
0

9
.
7
0

7
8
.
7
0

2
0
0
.
8
0

1
8
9
.
2
0

2
7
2
.
1
0

5
1
5
.
9
0

1
4
9
.
2
0

3
0
0
.
7
0

2
4
1
.
1
0

1
6
2
.
3
0

0
.
0
0

2
,
1
1
9
.
7
0

1
7
6
.
6
4

3
0
0
.
7
0

0
.
0
0

2
0
0
4

0
.
0
0

1
8
.
8
0

9
7
.
6
0

2
6
7
.
3
0

3
2
3
.
5
0

3
8
8
.
4
0

3
5
9
.
1
0

1
2
8
.
4
0

3
8
3
.
4
0

1
2
8
.
1
0

7
0
.
8
0

4
.
9
0

2
,
1
7
0
.
3
0

1
8
0
.
8
6

3
8
8
.
4
0

0
.
0
0

2
0
0
5

6
1
.
6
0

4
4
.
4
0

1
1
0
.
4
0

1
1
5
.
2
0

2
6
6
.
0
0

3
0
8
.
2
0

2
9
4
.
7
0

1
9
1
.
3
0

3
7
9
.
4
0

2
3
6
.
2
0

1
2
4
.
7
0

0
.
0
0

2
,
1
3
2
.
1
0

1
7
7
.
6
8

3
7
9
.
4
0

0
.
0
0

2
0
0
6

1
2
.
8
0

4
9
.
4
0

1
5
7
.
5
0

1
3
6
.
5
0

1
3
7
.
7
0

3
5
2
.
7
0

5
6
9
.
2
0

1
2
7
.
1
0

3
9
3
.
0
0

1
5
0
.
3
0

2
3
.
3
0

2
2
.
8
0

2
,
1
3
2
.
3
0

1
7
7
.
6
9

5
6
9
.
2
0

1
2
.
8
0

2
0
0
7

7
.
5
0

5
1
.
1
0

1
0
8
.
9
0

2
5
9
.
7
0

2
9
8
.
3
0

3
5
1
.
7
0

4
4
5
.
3
0

8
2
.
4
0

4
0
2
.
8
0

2
9
2
.
2
0

3
9
.
9
0

1
1
.
5
0

2
,
3
5
1
.
3
0

1
9
5
.
9
4

4
4
5
.
3
0

7
.
5
0

2
0
0
8

0
.
0
0

3
8
.
9
0

4
2
.
4
0

2
1
1
.
4
0

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Fig. 6 Rainf

Fig. 7 Slope

loss was esti
area of 126,4
Recent re
and collapse
the gully hea
area caused
The geote
the soil is s
irreversible a
tendency fo
slumping esp
high rainfall
Arising fro
Gully Ero
fall IDF (intens
stabilization t
imated to be 3
480 m
2
which
sults (Table 1
e of gully wa
ad as a result
by the storm
echnical inve
silty clay. Er
and it is reaso
r widening o
pecially durin
l (from May-S
om the above,
osion Study a
sity duration fr
technique.
393,069.580 m
h is equivalen
1) showed tha
alls continue
of active eros
runoff.
estigation resu
rosion in thi
onable to assu
of gully to o
ng the period
September).
the following
and Control:
requency) curv
m
3
over a sur
nt to 3.108 m
3
at undercut
to occur aro
sive action in
ults revealed
s type of so
ume that there
ccur due to
d characterize
g control meas
A Case Stud
ve for Benin C
rface
3
/m
2
.
tting
ound
n this
that
oil is
e is a
wall
d by
sures
wer
that
catc
to a
stab
cutt
mov
redu
gull
and
y of Queen E
City.
re proposed fo
Redesign a
t will be able
chment area,
appropriate di
Implement
bilization of t
ting;
Provide che
vement and
ucing high r
ly bed and th
d deepening;
Ede Gully in B
or the Queen E
and provide a
e to carry all t
and channel
ischarge poin
appropria
the gully hea
eck dams alon
transportati
runoff and f
hereby protect

Benin City

Ede gully eros
adequate drai
the storm run
them away fr
nts;
ate reclam
ad to prevent
ng the gully b
ion of erod
flow velocitie
ting the bed f
1277

sion:
inage system
noff from the
rom the gully
mation and
further head
bed to control
ded soils by
es along the
from incision
7
m
e
y
d
d
l
y
e
n

1278
Provide adequate slope stabilization along the
gully walls using gabions as retaining walls at the base
and rock boulders placed on the gully walls, which
have been trimmed to appropriate slopes. In between
these boulders are planted vetiver grass and bamboo
trees with firm roots to hold the soil in place against
erosion. The boulders are held down by steel meshes,
which will later be removed as the grasses and trees
begin to grow. Typical cross section of the proposed
method is shown in Fig. 7.
5. Conclusions
Based on the findings from the studies conducted,
the following conclusions were drawn:
The likely cause of this gully is as a result of the
river bank eating back into the land, and this has been
accelerated by the way the accumulated runoff from the
catchment enters into the river;
The recent abrupt growth and expansion of the
gully can be attributed to the change in the rainfall
pattern in the region, which has been caused by climate
change resulting from global warming;
Apart from the head region of the gully, other
regions such as the middle and the tail regions have
already stabilized. Thus, only the head region is active;
The results from the geotechnical studies
conducted on the soil showed that the soil is susceptible
to water erosion;
The existing drainage facilities are inadequate to
contain the runoff coming from the catchment;
Control measures such as slope stabilization for
the gully walls around the head region, redesigning and
upgrading of the existing drainage system, provision of
gully control structures at the head region, and
provision of check dams at specific intervals along the
gully bed, can be used to prevent the gully from
expanding.
References
[1] I.I. Obiadi, C.M. Nwosu, N.E. Ajaegwu, E.K. Anakwuba,
N.E. Onuigbo, E.O. Akponomu, et al., Gully erosion in
Anambra State, south east Nigeria: Issues and solution,
International J ournal of Environmental Sciences 2 (2)
(2011) 795-804.
[2] J .O. Ehiorobo, O.C. Izinyon, Measurement and
documentation for flood and erosion monitoring and
control in the Niger Delta States of Nigeria,
www.fig.net/pub/fig2011 (accessed J an. 1, 2013).
[3] O.C. Ezezika, O. Adetona, Resolving the gully erosion
problem in south-eastern Nigeria: Innovation through
public awareness and community-based approaches,
J ournal of Soil Science and Environmental Management 2
(10) (2011) 286-291.
[4] C. Valentin, J . Poesen, L. Young, Gully erosion: Impacts,
factors and control, Catena 63 (2005) 132-153.
[5] K.O. Adekalu, I.A. Olorunfemi, J .A. Osunbitan, Grass
mulching effect on infiltration, surface runoff and soil loss
of three agricultural soils in Nigeria, Bioresource
Technology 98 (4) (2007) 912-917.
[6] S.C. Teme, P.O. Youdeowei, Geotechnical investigations
for design of foundations for erosion and flood control
structures at Unwana Beach, Afikpo, Ebonyi state,
South-Eastern Nigeria, in: Proceedings of 5th
International Conference on Case Histories in
Geotechnical Engineering, New York, USA, Apr. 13-17,
2004.
[7] J . Poesen, Gully topology and gully control measures in
the European loess belt, in: S. Wicherek (Ed.), Farm Land
Erosion in Temperate Plains and Hills, Elsevier,
Amsterdam, 1993, pp. 221-239.
[8] J . Poessen, J . Ngchtergaele, G. Verstraeten, C. Valentin,
Gully erosion and environmental change: Importance and
research needs, Catena 50 (2003) 91-133.
[9] G. Verstraeten, J . Poesen, The nature of small-scale
flooding, muddy floods and retention pond
sedimentation in central Belgium, Geomorphology 29
(1999) 275-292.


Analysis of the Antennas Setup Errors at the Global
Navigation Satellite System Measurements
Evangelia Lambrou
School of Rural and Surveying Engineering, National Technical University of Athens, Athens 15780, Greece

Abstract: Today, the GNSS (global navigation satellite system) is used for more complicate and accurate applications such as
monitoring or stake out works. The truth lies in the fact that in the most of the times not enough attention is paid to the antennas
setup. Usually, gross errors are found in the antennas centering, leveling and in the measurement of its height, which are significant.
In this paper, a thoroughly analysis of the above mentioned errors is carried out. The influence of these errors in the calculation of
the X, Y, Z Cartesian geocentric coordinates and the , , h ellipsoid geodetic coordinates of a point P on the earths surface, is
analyzed and is presented in several diagrams. Also a new convenient method for the accurate measurement of the antennas height
is presented and it is strongly proposed. The conclusions outline the magnitude of these errors and prove the significance of the
antennas proper setup at the accurate GNSS applications.

Key words: GNSS antennas height, centering and leveling errors, GNSS antennas setup.

1. Introduction

The GNSS (global navigation satellite system)
measurements are used for the determination of
accurate coordinates of points (of the order of some
mm), which belong to monitoring networks, or to
stake out applications [1-3].
It is well known that the human intervention during
the measurements is minimum by using the satellite
positioning systems. Namely no sighting is needed, as
when total stations are used.
However, a receiver must be put at a selected point,
the antenna must be centered and leveled properly and
the antennas height must be measured by using a
usually simple tape.
Are all the above-mentioned activities carried out
with the proper manner? Mistakes, gross or random

Corresponding author: Evangelia Lambrou, assistant
professor, research fields: development of methodology for the
determination of astronomical coordinates, precise
determination of undulation n of geoid, interconnected systems,
e-geodesy, observations via internet, check and calibration of
geodetic instruments (geodetic metrology), development of
methodologies for precise measurements, geometric
documentation of technical and natural structures. E-mail:
litsal@central.ntua.gr.
errors, which could be done, when a GNSS antenna
placed will be proved significant. Today the minimum
uncertainties, which are expected, require major
attention to the measurement of antennas height and
to the antennas centering and leveling in order to
acquire correct measurements.
In the following paragraphs, the aforementioned
errors are analyzed, in order to determine the
magnitude of the error that each one adds in the
calculation of the geodetic coordinates , and h or
the geocentric coordinates X, Y, Z of a point.
As the errors that will be discussed are of the order
of some centimeters, it may be considered that the
earth is a solid sphere with radius R. This admission is
adequate for the analysis.
2. The Antennas Height
As the ellipsoid is the reference surface of the
GNSS system, is useful to remind that the height of
the antenna (a
h
) is measured along the plumb line
instead of the geodetic normal as ought to be
measured (Fig. 1).
Eq. (1) gives the correct antennas height:
DAVID PUBLISHING
D
Analysis of the Antennas Setup Errors at the Global Navigation Satellite System Measurements

1280
Geoi d
pl ump li ne
verti cal t o t he elli psoi d
Elli psoi d
P
P'
ant enna' s phase cent er

Fig. 1 The measurement of the antennas height along the
plumb line.

c cos
) (
=
measured h h
a a

(1)
where, is the deviation of the vertical, at the specific
point.
As the deviation of the vertical () is of about some
arcsec and a mean antennas height is of about 1.5 m,
its obvious that this correction is insignificant.
Thus, when the coordinates of a point P on the
earths surface, (X
P
, Y
P
, Z
P
) are needed the coordinates
at a point P, (X
P'
, Y
P'
, Z
P'
) (Fig. 1) are initially
calculated. The point P corresponds to the electric
phase center of the antenna.
Using the fundamental equations for the
transformation of , coordinates to X, Y, Z [4] but
simplify them considering that the earth is a sphere
with radius R, then the coordinates of the point P can
be calculated:
cos cos ) (
' '
+ =
p p
h R X

sin cos ) (
' '
+ =
p p
h R Y

(2)

sin ) (
' '
+ =
p p
h R Z

It is pointed out that the geometric height h of P
includes the antennas height measurement a
h
:
h p p
a h h + =
'

(3)
Namely, the component of the antennas height a
h

in relation to the geocentric coordinate system X, Y, Z
ought to be subtracted from the coordinates X
P'
, Y
P'
,
Z
P'
in order to the desired coordinates X
P
, Y
P
, Z
P
of
the point P be calculated by combining Eqs. (2) and (3).
Assuming that the error of the antennas height
measurement is e, then the coordinates of point P will
be:
cos cos ) (
'
= e a X X
h p p

sin cos ) (
'
= e a Y Y
h p p

(4)

sin ) (
'
= e a Z Z
h p p

The errors
p
X
m
,
p
Y
m
,

p
Z
m
, that correspond to the
coordinates X
P
, Y
P
, Z
P
, due to the error e are as
follows:
cos cos = e m
p
X

sin cos = e m
p
Y

(5)

sin = e m
p
Z

The magnitude of each component depends on the
position of the point P on the earths surface, namely,
its approximate latitude and longitude.
It is noted that, this error does not influence the
ellipsoid coordinates , of point P but only the
geometric height h, which bears the total error.
Figs. 2-4 illustrate the change of the components
p
X
m
,
p
Y
m
,

p
Z
m
, for an error e equal to 1 cm in relation
to the position , of the point P on the earths surface.
As it is depicted in the diagrams,
p
X
m

and
p
Y
m

fluctuate from 0 mm to 10 mm. Their absolute values
are minimized at = 90
o
at the earths poles and
they are maximized near the equator. Also
p
X
m

decreases, when increases as
p
Y
m
rises. On the
contrary
p
Z
m
, becomes 0 at the equator and it
maximizes at the poles.
3. Accurate Measurement of the Antennas
Height
The measurement of the antennas height using a
tape, while it is on a tripod or a pillar is not an
accurate procedure. So, some manufacturer are
accompanied their receivers with a special equipment
for the antennas height measurements [5]. Also
guidelines are given for the proper measurement of an
antennas height [6, 7].
A mistake of some millimeters or a little more can
be very easily read. Additionally, the proper
positioning of the tape on the antennas hook or on the


1281

-10
-8
-6
-4
-2
0
2
4
6
8
10
-90 -80 -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90
Geodetic Latitude (
o
)
m
X
p
(
m
m
)
=0 =30&330 =60&300 =90&270
=120&240 =150&210 =180

Fig. 2 The error
p
X
m

for e = 1 cm.

-10
-8
-6
-4
-2
0
2
4
6
8
10
-90 -80 -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90
Geodetic Latitude (
o
)
m
Y
p

(
m
m
)
=0&180 =30&150 =60&120 =90
=210&330 =240&310 =270

Fig. 3 The error
p
Y
m

for e = 1 cm.

-10
-8
-6
-4
-2
0
2
4
6
8
10
-90 -80 -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90
Geodetic Latitude (
o
)
m
Z
p

(
m
m
)

Fig. 4 The error
p
Z
m

for e = 1 cm.


1282

antennas band or on the antennas bumper is doubtful.
Moreover, the zero point of the tape, most of the times,
is not in the proper position. Finally, the misreading of
the tape must be taken into consideration as a gross error.
Therefore, for special GNSS applications which
need the maximum accuracy, it is proposed that the
measurement of the antennas height should be carried
out by using the spirit leveling method as follows:
(1) Before the antennas setup at a selected point P,
it is essential for a staff to be put on it (Fig. 5a);
(2) A digital level is placed and is leveled at a close
distance of about 3-5 m. The indication i on the staff
is then registered;
(3) Next, the tripod with the tribrach and the
adaptation base of the antenna is placed, centered and
leveled at point P;
(4) The staff is put on the surface of the adaptation
base where the antenna will be mounted, and a second
indication j is registered (Fig. 5b).
The antennas height a
h
is calculated easily by the
equation:
j i a
h
= (6)
By using the above procedure, the true vertical
measurement of the antennas height a
h
from the
bottom of its mount is calculated. It is also indicative
that the distance d between the antennas electric
phase center and the bottom of the antennas mount, is
accurately known (m
d
= 0.1 mm) as it is given by
the manufacturers in order to be used in the process of
calculating the measurements.
The accuracy that i and j can be measured is of the
order of m
i
= m
j
= 0.1 mm by using a system digital
levelbarcode staff. Thus, applying the variance
covariance low in Eq. (6), the total uncertainty of an
antennas height measurement is determined by:
mm mm m m m
j i a
h
2 . 0 15 . 0
2 2
~ = +
(7)
The above analyzed procedure proved easy to apply
and extremely accurate as it required less than 5 min
to be implemented and protects against gross or
systematic tape-reading errors.
4. The Centering and Leveling Errors
The centering error is defined as the deviation of
the projection along the plumb line of the antennas
phase center from the desire point P (Fig. 6). In
correspondence to the centering error, the leveling
error has the same definition due to the wrong
leveling of the antenna.
Moreover, in this case, the measurement of the
antennas height holds an additional error. These
errors present the deviation of the main vertical axis of
the antenna, from the plumb line, which intersects the
desire point P.
Despite the human carelessness during the set up of
the antenna, these errors are also caused either due to
a tribrach bad check or to a complete overlook of a
required check.
The antennas centering and leveling errors both
exist on a horizontal plane, which is perpendicular to
the plumb line at point P. Both are gross errors and it
is difficult to discover and define the true vector,
which represent them.
The result of these errors is a vector PP with an
unknown absolute value. This vector e
cl
(Fig. 6) starts
from the desired point P and has a random geodetic
azimuth A.
Considering that the earth is a solid sphere with a
mean radius R = 6,371 km then this vector can be
analyzed in two components, one along the meridian,
namely
, and the other along the parallel, namely
. The components
and
, as presented in Fig. 6, are:

A e m
cl
cos ) ( =
o
or ' '
cos
' '
o
|
.
|
\
|
=
R
A e
cl (8)
A e m
cl
sin ) ( =
o
or

' '
cos
sin
' '

|
|
.
|
\
|
=
R
A e
cl (9)
where,
A is geodetic azimuth of the vector PP''(e
cl
);

e
cl
is absolute value of the error;
is 206,265.
The
fluctuates from e
cl
, if A = 0 or A = , to zero
if A = /2 or A = 3/2. The opposite is valid for
.

1283

j
i
P
P

Fig. 5 The accurate measurement of an antennas height.
e
P
P''
p
o
i
n
t
'
s
m
e
r
i
d
i
e
n
cl
A
Equat or
P``

Fig. 6 The analysis of the vector of centering and leveling error.

As previously mentioned, it is difficult to determine
the azimuth A of this vector which varies from 0 to 2.
Thus the mean value m of this error e
cl
(centering and
leveling) along the meridian according to the Eq. (8)
can be calculated as:
n
A e
m
cl

=
2
2
) cos (
(10)
where, n is the elementary step dA of azimuth A from
0 to 2.
dA
n
t 2
=
(11)

According to Eq. (11) the following integral can be
formed:
dA A e m
cl
}
=
t
t
2
0
2 2
) cos (
2
1
(12)
By solving the integral of Eq. (12), the following
result comes out:
= =
}
dA A e m
cl
t
t
2
0
2 2
) cos (
2
1

dA
A
e dA A e
cl cl
} }
=
t t
t t
2
0
2
2
0
2 2
2
2 cos
2
1
cos
2
1

2
2 cos
2
1
2
1
2
1
2 2
0
2
0
2 cl
cl
e
AdA dA e =
(
+ =
} }
t t
t
(13)
The same result arises if Eq. (9) used for the
calculation of the mean error along the parallel. Thus
a mean value of centering and leveling error is
(a) (b)
Centering point Centering point
Level Level


1284
equal to:
2
cl
e
m =

(14)
The following chart (Fig. 7) depicts the mean error
at and due to an error e
cl
of the antennas centering
and leveling.
This error can also be analyzed in the geocentric
coordinates system according to the Eq. (2). It adds an
error m
cl
in the geocentric coordinates X
P
, Y
P
, Z
P
of
the desired point P as follows:
( ) ) cos( ) cos( cos cos ) (

o o + =
p clXp
h R m

( ) ) sin( ) cos( sin cos ) (

o o + =
p clYp
h R m

( ) ) sin( sin ) (

o + =
p clZp
h R m
(15)
Consequently,

clXp
m
,
clYp
m
,
clZp
m
,
are the corrections
that should be applied to the calculated geocentric
coordinates at P'' in order to achieve the correct
coordinates at point P. It is pointed out that
does
not add error to the Z coordinate of point P. Also the
accurate value h
P
is insignificant compared to the
earths radius for the calculation of the errors cl
m
by
using Eq. (15).
Figs. 8 and 9 illustrate the

clXp
m
,
clYp
m
,

for an error
=1 cm 0.0003 for all combinations of and

, assuming that h
P
= 0.
Fig. 10 illustrates the clZp
m
for an error
=
1 cm 0.0003 and
= 5 cm 0.0015, for
all combinations of and , assuming that h
P
= 0.
Figs. 8 and 9 look like nomograms as they are
enough complicated. The error cl
m

takes zero value
as well as the maximum value 10 mm, for every
longitude but for different latitudes.

0
5
10
15
20
25
30
35
40
45
0 10 20 30 40 50 60 70
ecl(mm)
M
e
a
n
e
r
r
o
r
i
n
(
m
m
)

Fig. 7 The mean error at and in mm.
-12
-10
-8
-6
-4
-2
0
2
4
6
8
10
12
-90 -80 -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90
Geodetic Latitude (
o
)
m
c
l
X
p

(
m
m
)
=0 =30 =60 =90 =120 =150
=180 =210 =240 =270 =300 =330

Fig. 8 The clXp
m
for an error
= 1 cm 0.0003.

M
e
a
n

e
r
r
o
r

i
n

(
m
m
)


1285
-12
-10
-8
-6
-4
-2
0
2
4
6
8
10
12
-90 -80 -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90
Geodetic Latitude (
o
)
m
c
l
Y
p

(
m
m
)
=0 =30 =60 =90 =120 =150
=180 =210 =240 =270 =300 =330

Fig. 9 The clYp
m
for an error
=1 cm 0.0003.
-55
-50
-45
-40
-35
-30
-25
-20
-15
-10
-5
0
-90 -80 -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 80 90
Geodetic Latitude (
o
)
m
c
l
Z
p
(
m
m
)
mcl=1cm mcl=5cm

Fig. 10 The clZp
m
for an error
= 1 cm 0.0003 and
= 5 cm 0.0015.

5. Conclusions
The inaccuracies of the antennas setup are
disregarded, as no works on this subject were carried
out worldwide. Nevertheless, it is proven by the
aforementioned analysis, that significant error may
change the final coordinates, which are calculated by
the GNSS systems.
An error in the antennas setup, affects the
geocentric coordinates X, Y, Z, the ellipsoid
coordinates , , and the h of a point P.
The transmitted error e in the measurement of the
antennas height at the X, Y, Z geocentric coordinates
depends on the position of the point on the earths
surface, namely its latitude and longitude. So, this
error in each coordinate fluctuates from 0 to the
maximum value e.
The error in the measurement of an antennas
height does not affect the , coordinates but only the
geometric height h of the point.
To avoid this error, a special prototype procedure
for the measurement of antennas height is proposed
in order to eliminate this error to 0.2 mm. This
method is efficient, accurate and easy to perform. It is
evaluated as worthy, despite the fact that more
instrumentation is needed.
The centering and leveling error e
cl
needs more

1286
caution as it affects both the geocentric and the
ellipsoid coordinates. This error has a mean value of
about
2
cl
e
, which is significant for many applications.
The real magnitude and the azimuth of the e
cl
is very
difficult and almost impossible to be known.
Therefore, careful laboratorial checks of the tribrach
should be carried out before each campaign.
Otherwise, special manufactured pillars or bases for
precise centering should be used in order to eliminate
this error at the level of 0.1 mm.
The above analysis is significant for monitoring
networks or infrastructure stake-outs, as the
uncertainty of the calculated coordinates by the GNSS
may be largely augmented.
References
[1] M.S. Rawat, V. Joshi, B.S. Rawat, K. Kumar, Landslide
movement monitoring using GPS technology: A case
study of Bakthang landslide, Gangtok, East Sikkim, India
Journal of Development and Agricultural Economics 3 (5)
(2011) 194-200.
[2] J.F. Zumberge, M.B. Heflin, D.C. Jefferson, M.M.
Watkins, F.H. Webb, Precise point positioning for the
efficient and robust analysis of GPS data from large
networks, Journal of Geophysical Research: Solid Earth
102 (2012) 5005-5017.
[3] S. Shimada, Y. Bock, Crustal deformation measurements
in central Japan determined by a global positioning
system fixed-point network, Journal of Geophysical
Research: Solid Earth 97 (1992) 437-455.
[4] G. Bomford, Geodesy, 4th ed., Clarendon Press, Oxford,
1980.
[5] Leica Geosystems Solutions Centers Website,
http://www.leica-geosystemssolutionscenters.com/Site/In
strument%20PDF's/GPS%20Systems/Viva/VivaGNSS_E
quipList.pdf (accessed Jan. 1, 2013).
[6] D.E. Wells, W. Beck, D. Delikaraoglou, A. Kleusberg,
E.J. Krakiwsky, G. Laschappele, et al., Guide to GPS
Positioning, University of New Brunswick, Fredericton,
New Brunswick, Canada, 1986.
[7] A. Fotiou, C. Pikridas, GPS and Geodetic Applications,
Ziti Publications, Thessaloniki, Greece, 2006.


Evaluating Land Surface Changes of Makassar City
Using DInSAR and Landsat Thematic Mapper Images
Ilham Alimuddin
1, 2
, Luhur Bayuaji
2
, Rohaya Langkoke
1
, Josaphat Tetuko Sri Sumantyo
2
and Hiroaki Kuze
2

1. Department of Geology, University of Hasanuddin, Makassar 90221, Indonesia
2. Center for Environmental Remote Sensing, Chiba University, Chiba-Shi 863-8522, Japan

Abstract: Urban growth has been a major issue in environmental monitoring and changes occurred on land surfaces have been
monitored by applying remote sensing as well as ground measurement. Most major cities in the world have experienced land
subsidence phenomena on some parts of them due to the load of development and modernization. Excessive extraction of groundwater
for the needs of industry has led to the condition where the water table drops, and this can possibly trigger subsidence, as observed in
Indonesian cities. In this study the authors have shown that the application of DInSAR (differential interferometric synthetic aperture
radar) technique using Japanese Earth Resources Satellite-1 Synthetic Aperture Radar JERS-1 SAR data can reveal subsidence
conditions in the studied Makassar city area. Landsat TM (thematic mapper) images were used to evaluate the change of land cover
during the observation period of 1994-1999. Makassar is flat, covered mainly by alluvium deposit that is vulnerable to the load of
constructions, and volcanic formations which is porous and will easily be degraded by groundwater extraction. It is found that mostly
the subsidence has occurred in the western part of the city, including the industrial district, reclamation area, trading center area and the
seaport area. The ground survey has indicated that high human activity exists in every point of subsidence. It is likely that various
human activities such as ground water pumping and construction work should have affected the local subsidence phenomena in
Makassar, as in the case of other large-scale cities in Indonesia.

Key words: DInSAR, JERS-1, surface changes, urban growth, Landsat TM.

1. Introduction

The impact of modernisation often appears as
urbanization. It is natural that where a centre of
civilization exists, the flow of development will gather
therein. It is needed to study how one city grows by
accommodating the impact of civilization and to
examine if the growth is safely sustainable for the
people occupying the area. As the number of
population increases, more and more agricultural,
shrub, and even swamp land areas are changed into
industrial and construction areas, especially in rural
areas surrounding the former city boundary. In
addition to the increase in the usage of groundwater,
such land cover changes can result in shortage of

Corresponding author: Ilham Alimuddin, master of
geographic information systems, research fields: concept and
application of remote sensing and geographic information
systems for geomorphological and geological changes. E-mail:
ialimuddin@hotmail.com.
water supply in the hydrologic cycle. In urban areas,
one of the particular concerns is the occurrence of
land subsidence that will in turn cause flood.
Makassar, the capital city of the South Sulawesi
Province, in relation to this issue has been a target of
urbanization since the old era.
Remote sensing methodologies on the other hand
are useful for the study of land subsidence, as seen in
their applications to some of the big cities worldwide
[1-3]. One of the most recent studies is the one over
China by Perissin and Wang in 2011 [4] using the
advanced technique of PS InSAR (persistent scatterer
InSAR). The recent advancement of remote sensing
technology has made it possible to map detailed
terrain conditions ranging from local, regional to
global scale with specific use and accuracy. The SAR
(synthetic aperture radar) sensor onboard JERS-1
satellite provides the ability to map the earth surface
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Evaluating Land Surface Changes of Makassar City Using
DInSAR and Landsat Thematic Mapper Images

1288
topography and deformations independently of
weather conditions despite any cloud cover or solar
illumination. SAR records simultaneously the
intensity and phase of the signal reflected from the
surface.
The phase is related to the travel time of the radar
pulse between the spacecraft and the ground. The
interferometric combination can be used to derive
DEMs (digital elevation models) for an area [5].
Various methods have been employed, with the latest
methods using the DInSAR [6] and Permanent
Scatterer Insar [7]. Cities in Indonesia have been
investigated using this technique was Jakarta [8, 9],
Semarang [10, 11] and Bandung [12, 13]. The present
paper evaluates the application of DInSAR technique
by measuring the dimension of land subsidence
phenomena that has occurred in the city of Makassar,
which has been one of the notable centers of south
eastern Asian civilisation as an urban hub since 16th
century. The DInSAR investigation of the Makassar
city has not been sought before, to the best of peoples
knowledge.
Makassar city covers an area of 175.77 km
2
divided
into 14 sub districts. The city lies on the geographic
coordinate of 11918'27,97"-11932'31,03" East
Longitude and 500'30,18" -514'6,49" South Latitude.
The landform is relatively flat, classified as alluvial
plain with topography levels from 0-21 m above sea
level (Fig. 1a). Geologically, the city is covered by
four types of formation, Camba Volcanic Formation,
Salo Kalumpang Volcanic formation (which mainly
consists of fine sediment clastic of volcanic eruptive
rocks but mostly eroded), a small area of Limestone
Tonasa Formation and alluvium formation deposit as
recent weathered material. In general, the authors can
find three types of rock units, basalt, tuff and breccia
derived from volcanic origins and sediment deposit
like fine to coarse sand (Fig. 1b).
The population of the city was 0.94 million in 1990,
which increased to 1.2 million in 2010 [14], causing
the increased use of both land surface and ground
water. The rapid urbanization has made Makassar as a
centre for economic development in eastern part of
Indonesia. On the basis of the statistics of Makassar

Fig. 1 Study area: (a) Makassar city boundary ; (b) The geological map of the area.
(a) Study area
(b) Geology map
Indonesia

1289

City, population has been increasing due to the
development and urbanization. Hence, the situation
continues while people long for development to have
better lives. The population increase triggers
industries to develop new areas for business and
construction. When the governmental control is
limited in the rural area surrounding the city, the
agricultural, shrub and even swamp spaces are
developed, which in the future could generate land
subsidence due to the extraction of water through
wells. This mechanism has been suspected as the
major cause of the subsidence of the urban land
phenomena.
2. Data and Methodology
This research utilized eight scenes of JERS-1 SAR
images of level 0 covers a swath area of 75 km
2
in
descending modes with 35.5 degree of incident angle
with acquisition date ranging from 1993 until 1998,
but the area focused for the subsidence study is only
175.77 km
2
.
DInSAR analysis was performed using
SIGMASAR software developed by JAXA [15]
combined with ENVI and ArcGIS software for
implementing the GIS analysis. The DInSAR
processing uses two pass interferometry to create an
interferogram from two pairs of intensity (single-look,
complex, SLC (single look complex) images.
Subsequently, the differential interferogram is
flattened and unwrapped to obtain the deformation
map of the subsidence area, while evaluating the depth
of subsidence from the interferogram. The flow chart
of the DInSAR process can be seen in Fig. 2 [16, 17].
Based on the visual observation of Landsat images,
urban development can also be seen from historical
changes of the land cover. Landsat image acquired in
September 1999 was used to create landuse map of
Makassar in 1999 and Landsat image acquired in 1994
to create landuse map 1994. The load of development
can be seen from the conversion of rice paddies, dry
field and homogenous forest into business, services,
and industry area. This conversion can obviously be
observed in the northern part of the city. The city
expansion also can be seen from the settlement and
landuse change that bring more urban concentration to
the area. The subsidence analysis is also supported
with Landsat TM acquired in 1994 and Landsat ETM
acquired on September 20, 1999. These Landsat
images have been chosen in line with the acquisition
dates of the SAR images. These images can be seen in
Fig. 3. Field campaigns were conducted in September
2009 and January 2011 with handheld GPS (global
positioning system) instruments. All supporting data
are georeferenced to WGS (World Geodetic System)
1984 GIS (Geographic Information System) platform.
This can be observed on the northern part and the
southwest near the coastal line. The new high rise
apartments, hotels and public facilities were
constructed on this part of the city. Industrial area
where warehouses and factories were built along the
highway burdens the less compacted soil of coastal land.

Fig. 2 Schematic flow chart of DInSAR processing.

DTM DTM
Slave
Master
DEM
Simulated SAR
DEM Co-registration
Fringe removal
Differential interferogram
Phase unwrapping
Geocoding
Deformation map
SAR processing
Image co-registration
Interferogram generation
Phase unwrapping
Geocoding

1290

Fig. 3 Intensity image: (a) Landsat TM_FCC_432 acquired on Aug. 29, 1994; (b) Landsat ETM_FCC_432 acquired on Sep.
20, 1999; (c) Intensity Image of JERS-1 data acquired on 19941011; (d) JERS-1 intensity image acquired on Aug. 19, 1998.

3. Results and Discussion
As mentioned earlier, the authors processed eight
datasets of JERS-1 SAR to create seven pairs to
DInSAR images. Due to satellite orbital errors and
influence of atmospheric conditions during the
acquisition and considering the baseline difference of
the two image used as master and slave images, three
of the pairs have shown incoherence hence cannot be
further analysed. In Fig. 4, the authors can observe
colour coding patterns on the four images in some
areas that show some consistencies while other areas
display bands of interferometry noises. The authors
have chosen the pair image of 1995/1996 to be
analysed in detail, as shown in Fig. 5, the coherence
image in Fig. 5a, a subset image in Fig. 5a and the
deformation image in Fig. 5a.
The subset of the image that shown the indication
of slight subsidence at the western part of the City of
Makassar was then overlaid with high resolution
image to confirm the subsidence location supported
by the pictures taken from the ground survey in Fig. 5.
The colour coding estimates a slight subsidence of
5-15 cm per year in particular area especially with the
load of heavy settlement.
The authors have shown that the application of
DInSAR technique using JERS-1 data can reveal
subsidence conditions in the study area. Mostly the
subsidence occurred in the northern part of Makassar
city during the time interval studied here, though the
population density in northern part is lowest among
the entire city regions. Industrial district, reclamation
area, trading centre area, international airport and the

(a) (b)
(c) (d)

1291

Fig. 4 DInSAR processing images on the LOS (line of sight ), all datasets are on descending mode: (a) pair of 1995/1996; (b)
Pair of 1996/1997; (c) pair of 1997/1997; (d) pair of 1997/1998, later image is master and earlier image is slave.

Fig. 5 DInSAR processing images of Makassar City: (a) coherence image of 1995/1996; (b) DInSAR Image pair of
1995/1996 images; (c) the deformation image after the unwrapping process.

seaport are built in this region. The centre of the
subsidence with the subsidence-affected coverage area
can also be estimated easily. It has been found that the
subsidence occurred in separated regions with
different land usage. Nevertheless, the ground survey
has indicated that high human activity exists in every
point of subsidence.
Various human activities such as ground water
pumping and construction working should have
affected the local subsidence phenomena in Makassar,
as in the case of other large-scale cities. The main
cause of subsidence in Makassar has not been
revealed because of the complex feature of the
phenomena. However, the result of the present study
strongly suggests that the human activity and land use
alteration are influencing the geomorphological
changes in this city. Field campaign conducted in
September 2009 revealed some locations that indicate
the incidence of land subsidence and the fact that
some parts of the city are having load of building
(a) (b)

deep shallow
(c)

-5.9 cm 0 5.9 cm
(a) (b)
(c)
(d)
Antenna direction

S
a
t
e
l
l
i
t
e

d
i
r
e
c
t
i
o
n


1292

Fig. 6 Focus on deformation image of Tamalate area and surrounding overlaid with Quickbird image acquired on May 6,
2007.

Fig. 7 Pictures taken from the field observation indicating the occurrences of land subsidence, picture code correspond
with the location in Fig. 6, red arrow indicates subsidence.

construction that make the city experience of slight
movement of its earth surface.
New building construction of warehouses can be
seen in picture P1 taken in the area of Tallo, New
housing and modern apartment as well as community
business complex in P2. Evidence of subsidence can
be seen in Paotere, in Panakkukang, in Mariso and in
Tamalate. On one of the main road, the soil load can
P3
P1
P2
P4
P1 P2
P3
P4

1293
be a thickness of 15-20 cm (Figs. 6 and 7).
4. Conclusions and Future Study
DInSAR method is used to estimate subsidence
phenomena which has been derived and applied in this
study. Continuous information of subsidence area will
be useful for urban maintenance and urban
development field, as one important factor for
planning and construction works. So far, only few
subsidence-related studies have been carried out using
SAR data over urban area. The authors have tried to
apply JERS-1 SAR although not all pairs can give
good coherence due to the baseline and atmospheric
aspects.
The authors have successfully implemented the
DInSAR processing technique in measuring the
dimension of the land subsidence. The incidences in
some areas show evidence of from 5-15 cm of
subsidence shown by field observation conforming the
result of DInSAR processing images. Although the
main cause of subsidence in Makassar has not been
revealed because of the complex feature of the
phenomena, the result of the present study strongly
suggests that the human activity and land use
alteration are influencing the geomorphological
changes in this city.
In the future, as the City of Makassar will be
growing larger and denser, it needs monitoring that
even slight changes on its surface can be detected as it
is prone to seasonal disaster such as floods and
subsidence. With this DInSAR method, the authors
hope to utilize newer SAR datasets to retrieve the rate
of subsidence happened.
References
[1] D. Raucoules, C. Colesanti, C. Carnec, Use of SAR
interferometry for detecting and assessing ground
subsidence, Comptes Rendus Geosciences 339 (2007)
289-302.
[2] R.S. Chatterjee, B. Fruneau, J.P. Rudant, P.S. Roy, P.L.
Frison, R.C. Lakhera, et al., Subsidence of Kolkata
(Calcutta) City, India during the 1990s as observed from
space by differential synthetic aperture radar
interferometry (D-InSAR) technique, Remote Sensing of
Environment 102 (2006) 176-185.
[3] N. Phien-wej, P.H. Giao, P. Nutalaya, Land subsidence in
Bangkok, Thailand, Engineering Geology 82 (2006)
187-201.
[4] D. Perissin, T. Wang, Time-series InSAR applications
over urban areas in China, IEEE Journal of Selected
Topics in Applied Earth Observations and Remote
Sensing 4 (1) (2011) 92-100.
[5] H.A. Zebker, J. Villasenor, Decorrelation in
interferometric radar echoes, IEEE Transactions on
Geoscience and Remote Sensing 30 (1992) 950-959.
[6] L. Bayuaji, R.F. Putri, J.T. Sri Sumantyo, Combination of
L,C and x-Band SAR data for continuous monitoring of
land deformation in urban area by using DInSAR
Technique, in: Proceeding of International Conference on
Space, Aeronautical and Navigational Electronics,
Incheon, 2012.
[7] A.H. Ng, L. Gea, X. Li, H.Z. Abidin, H. Andreas, K.
Zhang, Mapping land subsidence in Jakarta, Indonesia
using PSI (persistent scatterer interferometry)
technique with ALOS PALSAR, International J. of
Applied Earth Observation and Geoinformation 18 (2012)
232-242.
[8] L. Bayuaji, J.T. Sri Sumantyo, H. Kuze, ALOS PALSAR
D-InSAR for land subsidence mapping in Jakarta,
Indonesia, Canadian J. Remote Sensing 36 (1) (2010) 1-8.
[9] H.Z. Abidin, H. Andreas, I. Gumilar, M. Gamal, Y.
Fukuda, Y.E. Pohan, et al., Land subsidence of Jakarta
(Indonesia) and its relation with urban development, Nat
Hazards 59 (2011) 1753-1771.
[10] M. Marfai, L. King, Monitoring land subsidence in
Semarang, Indonesia, Environmental Geology 53 (2007)
651-659.
[11] A.M. Lubis, M. Sato, N. Tomiyama, N. Isezaki, T.
Yamankuchi, Ground subsidence in Semarang-Indonesia
investigated by ALOS PALSAR satellite SAR
interferometry, Journal of Asian Earth Sciences 40 (2011)
1079-1088.
[12] J.T. Sri Sumantyo, M. Shimada, P.P. Mathieu, H.Z.
Abidin, Long-term consecutive DInSAR for volume
change estimation of land deformation, IEEE
Transactions on Geoscience and Remote Sensing 50 (1)
(2012) 259-270.
[13] H.Z. Abidin, H. Andreas, I. Gumilar, D. Murdohardono,
Y. Fukuda, On causes and impacts of land subsidence in
Bandung Basin, Indonesia, Environ Earth Sci. 68 (2013)
1545-1553.
[14] Makassar Statistics Bureau, BPS (Badan Pusat Statistik),
Kotamadya Makassar, Makassar in Figures, Annual
Report of 1993-1998, and 1999. (in Indonesian and
English)

1294
[15] M. Shimada, , Verification processor for SAR calibration
and interferometry, Adv. Space Res. 23 (8) (1999)
1477-1486.
[16] P.A. Rosen, S. Hensley, I.R. Joughin, F.K. Li, S.N.
Madsen, E. Rodriguez, et al., Synthetic aperture radar
interferometry, Proceedings of the IEEE 88 (3) (2000)
333-382.
[17] H. Fan, K. Deng, C. Ju, C. Zhu, J. Xue, Land subsidence
monitoring by D-InSAR technique, Mining Science and
Technology 21 (2011) 869-872.

The Industrial Heritage and the New Architecture:
Teaching, Researching, Designing the Place Identity
Monica Bruzzone and Roberta Borghi
Department of Civil Engineering and Architecture (DICATEA), University of Parma, Genoa 16142, Italy

Abstract: The new architecture may provide unusual opportunities for the abandoned areas involved by former industrial processes,
both in the city centers and in the landscape. In fact, it may create new centralities and give new collective function for deprived
areas. The case study of the architectural and educational project for a new museum park devoted to the technique and the science in
the Apennine s landscape near Parma (Italy) may give an interesting point of view about the role of the teaching and the research of
the architecture in the former industrial heritage, and to avoid the abandonment and the pauperization of the territory around.

Key words: Identity, industrial heritage, architecture, architecture design studio, teaching, research.

1. Introduction

The architecture may provide new opportunities for
the places development, particularly in those urban or
rural landscapes where the end of a productive
tradition have established heavy losses, both from a
social point of view, with the gradual loss of a local
identitywell represented by that specific technique
or industryand from a environmental point of view,
with the creation of large urban voids and the presence
of a disused industrial heritage, often rich in quality.
In this case study, the new architecture may
represent a important way of giving opportunities to a
deprived area by introducing new functions or new
central points and by giving, as well, a new social
identity for the place.
The industrial heritage and the large areas deprived
by the abandonment of factories, workshops, mines or
pits after the end of the production, may represent at
the same time the remains of an ancient technical
identity and the opportunity for designing a new
identity, giving the territories who hosted the industry
a new cultural or productive life, starting from both
the physical and immaterial rests of a lost past.

Corresponding author: Monica Bruzzone, Ph.D., research
fields: architecture, architectural, design, industrial heritage and
places identity. E-mail: monica.bruzzone@unipr.it.
The new architectural design has to consider,
therefore, a wide number of variables to produce an
effective new architectural project.
First of all, it is necessary to make a deep research
about the characteristics of the places and the needs of
its community, so to interpret the true values of the
old industrial vocation and to understand what
memories you have to save and how can you represent
them by the new architecture. Then it is necessary to
ask which functions can you assign to the site, in
order to turn a negative polarity in a new public
centrality, where it can be pleasant to live, to work, to
study, to attend cultural events or just to stand and
stare. A wrong design process may deliver the place,
once again to oblivion and neglect. At the same time,
it is important to consider how the research, the
teaching and design, may be complementary for
rethinking the former industrial heritage and for
rediscovering the local identities.
The Research Group AMR/APR [1], working with
the Department of Civil Engineering and Architecture
(DICATeA), University of Parma, is experiencing
since many years how the rural areas and the small
towns of the Emilian Appenines may be requalified by
a new kind of architecture. As well the main objective
of this study is to demonstrate how to contribute to the
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development of a former industrial area by the new
functional, social and architectural project, and how a
new centrality for the community or, if you want, a
new piazza may give new values for a wider area,
creating new kinds of use for that place.
2. The Industrial Heritage and the Role of
the Architecture
It is important to note that the main references of
these studies can be found in some Italian researches
of the 1970s and 1980s and in the definitionor
better in the re-definitionof some specific cultural
values based on the delicate balance between the work
of men and the landscape development [2].
The interpretation of the so called Italian
condition by the researcher Emilio Sereni, Lucio
Gambi and Giulio Bollati [3], aims for instance, at
defining new interests for the rural areas as actors of
the architectural process as well as the metropolitan
areas. A concept already developed in Italy by
Giuseppe Pagano [4] just before the Second World
War.
The connections between the mens work and the
physical characteristics of the territory are also
deepened in 1970s by the Italian geographer Lucio
Gambi. He clarifies that the relationship between the
place and the humans work is an essential goal in the
development of any community. The man settles in
areas with good characteristics for the life and the
production, and then he modifies those places and
makes them appropriate for the lifestyle of the
community and the techniques of settlement.
As opposed to the Paul Virilio theory of
crepuscular dawn [5] as a condition of
de-territorialisation and loss of cultural reference
points, the sense of place defined by Gambi [6] may
represent an effective tool for the design process in the
landscape. As well, the most recent definition of
family relationship between men and land by
Salvatore Settis [7] may be a good starting point for a
new way of understanding the relationships between
the countryside and the new architecture. The former
industrial sites on the Emilian Appenines may be
interesting examples of how represent a new heritage
to discover, by the creation of new centralities to the
development of wider areas.
2.1 The New Architecture: Tool for the Development
of the Former Industrial Sites
The Research Group Architecture Museums
Networks, is working since many years on the
subject of redeveloping little centres and parts of
landscape through the insertion (or better you could
say the infill) of a new architectural polarity inside
the landscape. The new project may be a public place
or a collective building or just a square, but it may
have the special skill of interpreting the social needs
of the community and creating a new centrality for
this specific horizon of territory or unity of
landscape itself. So you aim at building a new identity
by the construction of new characters for that specific
society starting from the ancient memory of the site.
The project is deepened by the collaboration with
some important institution for the local heritage such
as the IBC (Istituto per i Beni Artistici, Culturali e
Naturali), that is the institute for Cultural Heritage of
the Region Emilia Romagna, in Italy. Some of this
studies became architectural projects or bachelors
thesis by the members of the research group.
2.2 The Officine Reggiane, Reggio Emilia Italy
The ancient Officine Meccaniche Reggiane is a
former industrial site where, since the first years of the
20th century there was a wide production of railways
components and artillery projectiles. The industry
became famous in the late 1930s for the production of
the fighter aircrafts. After the end of the production, in
the early 1950s, the wide site of the Reggiane became
a urban void. The research group aimed firstly with
the degree thesis by Roberta Borghi (Fig. 1), at
redesigning the whole site of the Reggiane, building a
new centrality with services, cultural activities, work

1297

Fig. 1 A model of the Officine Meccaniche Reggiane,
design by architect Roberta Borghi, year 2008.

spaces and public spaces for the city of Reggio Emilia.
The starting point of the design process was the
interpretation of a peculiar ancient axis and streets,
designing a museum dedicated to the Officine
Meccaniche Reggiane, a way of transmitting the
memories of a still strong identity.
2.3 The Glass Museum and Science Centre Bormioli
in Parma
The Bormioli Rocco & Figlio is one of the oldest
glassware in the city of Parma. Around the first
workshop, built in 1854, it was created a new
neighbourhood inhabited, in the beginning, by the
workers families. Now the neighbourhood is a part of
the city of Parma, extended further beyond the old
perimeter of the nineteenth century. After the end of
the production, the ancient factory became a wide
urban void in the middle of a residential district of
Parma and today it aims at becoming a new centrality
for Parma as a polycentric city. The recent proposal
by the architect Luca Vacchelli, aim at creating a new
cultural polarity to give the area a functional
characterization, a kind of specialization. The study
for this area is commissioned by the owners: The
Bormioli Rocco and it will be evaluated by the
municipality of Parma.
The Science Centre (Fig. 2) is a missing cultural
polarity for Parma, and at the same time the
environments of the old factory, with galleries and

Fig. 2 Sketch of the science center and glass museum
Bormioli, design by architect Luca Vacchelli (2010-2012).

long and narrow halls, is very adequate for the
needing of a contemporary science centre, with
interactive boxes and large-scale reconstructions. As
well the older building is dedicated to the Glass
Museum Bormioli: a place for the memory of the lost
identity of the factory.
3. The Petroleum Museum Park in Fornovo
di Taro, Parma
The project of a Petroleum Museum Park (Fig. 3)
for the little town of Fornovo di Taro, nearby Parma is
an important case study where teaching, researching
and designing are considered three important parts of
a common process. This study is now starting an
operating phase after receiving funding by the MIUR,
the Italian Ministry of University and Research, based
on the annual programs proposed by the Italian Law
6/2000. In this part of the architectural design process,
the research group aims at giving new life and new
characters to a former industrial site, with a
multimedia exhibit and a design of guidance in the
park, so the architecture may be the most important

Fig. 3 The workshops and the forge of Vallezza, photo by
Andrea Ciampolini .

1298
opportunity for the redevelopment of a wider part of
landscape in a pleasant part of the Apennines.
The research program is based on an agreement
between the University of Parma, the Municipality of
Fornovo and the Oil Company Gas Plus Italiana SpA,
owner of the areas. The aim of the research is to
recover the industrial and the natural heritage in one
of the oldest oilfields in Italy (1860-1970), for both
tourist and educational purposes. The mine,
developing a local self extractive system called
metodo Fornovo, was intensively exploited in the
early 20th, and almost exhausted during the autarkic
period of the Fascism, when it was one of the focal
points for the supply of crude oil for the army. The
mine is also the place where it was established the
Societ Petrolifera Italiana, now called Ente Nazionale
Idrocarburi, one of the most important operators of
hydrocarbons in Italy.
Some oil wells and natural gas wells have remained
active up to 1970, until the production became
uneconomic. Since that time, after the reclaiming of
the wells and some industrial plants, the ruins of the
workshops, the forge, the power station, the pumping
stations in the wood and the miners village, have lost
their former function and now they remain as well as
rests: objects trouv immersed in the clay hills of
Fornovo. The dissemination of the extraction
techniques and the memory of the ancient oilfield,
may play an important role in the educational program
of the Province of Parma, where there are not
museums or study centers devoted to disseminate the
sciences and the techniques.
As a verification process of an evolving theoretical
subject, the Architecture Design Studio (Second year
of the Degree in Architecture) is working on the
architectural and urban design of these depressed
areas by the introduction of a new architecture as a
new public centrality able to give a new identity and
new social functions to the place.
The work is divided in two different phases. In the
first semester a preliminary approach to the project, is
devoted to transmit some cultural issues and some
positions of the architectural debate. In the second
semester, each student have to apply these notion to a
design process connected with the place of the
Oilfields of Fornovo di Taro.
In the first part, students have to learn by basis
elements of the architectural process as well as the
construction and the assembly, the cut or the
excavation of solid corps, making exercise of creating
a new architectural space by the addition or the
subtraction of matter.
This is a way to investigate how the architectural
design should begins from theoretical premises and
the personal poetry, but it may become architecture
only through the contamination with the materials
and the techniques. The first exercise is the design of a
small exhibition pavilion with a dimension of 6 m 6
m 6 m, for the exhibition of an only artwork, as
suggested in the literary essay: The museum in the
third millennium by Eco [8]. The creation of a 1:20
scale maquette of the small building becomes
necessary to learn the three-dimensional role of the
architectural projects (Fig. 4).
The second exercise is the redrawing of two
different existing buildings: an exhibition pavilion and
a most complex building chosen between lists of
architectural models of 20th century (Fig. 5).
The second semester is focused on the project of a
Petroleum Museum Park in the valley of Fornovo,

Fig. 4 The architectural models of the first semester.

1299

Fig. 5 The oil pavilion: A new exhibitions pavilion for the
area of Vallezza.

seat of the ancient oilfield. Students are called to
reflect on different scales of the design: from the
landscape to the building, up to the exhibition design.
Students are divided in groups of two or three
people. Each group is called to design a park museum
with the aim of enhancing the place by deepening
some specific architectural and functional themes,
such as a meeting place for tourists and for the bikers,
pathways and roots trough the industrial rests, but also
a study place for disseminating the identity of the
former oilfield (Fig. 6).
After deepening the park, each group may design
the new cultural centrality with a museum devoted to
the technique and the scientific culture, a study centre
with a small auditorium, a library and a laboratory for
the childrens activity, but also a place for guests,
such as a little diffused hotel (in the little town of
Vallezza, the former miners village), or a guesthouse
for tourists and schools visiting the place. In the last
month of the year each group deep an only building in
scale 1:100.
This approach to the design process aim at giving
the students the special skill of seismographs of the
needs of the place having a direct approach with
inhabitants and better understanding the places
problems.
In parallel with this teaching process, also useful to
raise public awareness of, and with funds obtained

Fig. 6 A sample of the architectural design studio works. The museum park of Fornovo. A masterplan and the design of the
cultural center in the Cantiere Respi, the heart of the former industrial site, by the student Valentina Manente (Architectural
Design Studio 2-2013).

1300

from the Ministry, it is processing the project of a
small pavilion or a multimedia installation by bringing
in schools and public institutions in order to
dissemitate the scientific culture connected with the
oil and the memory of a lost cultural identity, and to
trigger a virtuous cycle of rigeneration of this area, as
well as of Fornovo di Taro, by increasing the value of
an important industrial activity forgotten today
and by giving a new centrality to a nice part of the
Appenines very interesting but very little used
today.
The new centrality should be able to generate a new
complexity and liveability of the place, hosting
different activities, planning diversified and easily
accessible areas, and becoming, therefore, a strategic
element for a wider part of the landscape.
4. Conclusions
Teaching about the design process and the
architectural composition to young students in their
first years of university can be a good opportunity to
experiment a kind of teaching method based on three
areas of teaching.
The first area is the theory. The main theoretical
issues and the ideas of the architectural debate may be
discussed with the students in order to communicate
them the complexity of the architectural problems
trough the centuries, and to stimulate the critical
thinking. The second area is the technique. Only
through the contamination between the architectural
ideas and the materials, forms and techniques you can
appreciate the discipline of architecture as a concrete
fact and something three-dimensionally accomplished.
But in addition to the theory and the technique, the
discipline of architectural composition is also
composed by the poetry. This third subject may be
suggested or alluded or commented on by a teacher,
who wants to communicate students the importance of
this topic through the architectural debate and through
every design process, but it is a matter quite delicate
and fragile. As well can not certainly teach it, because
it may became a part of each students cultural
baggage.
Acknowledgments
The authors would like to thank the MIUR (Italian
Ministry of Research), the Municipality of Fornovo di
Taro (Parma) and the Gas Plus Oil Company, for the
financial support to the research. Also we would like
to thank the AMR Research Group and the department
DicateaUniversity of Parma.
References
[1] Reconnecting the Design Research with Actual Demands
of the Territory, AMR (Architecture Museums Network)
and APR (Architecture Landscape Network), University
of Parma, 2005.
[2] M. Bruzzone, L. Serpagli, Le radici anonime dellabitare
moderno, Ph.D. Thesis, University of Trento, Franco
Angeli, Milano, 2012.
[3] R. Romano, C. Vivanti, I caratteri originali, Encyclopeda,
Torino, 1972.
[4] G. Pagano, G. Daniel, Architettura Rurale Italiana,
Quaderni della Triennale, Hoepli, Milano, 1936.
[5] P. Virilio, Crepuscular Dawn, Semiotext(e), NY, USA,
2002.
[6] L. Gambi, I valori storici dei quadri ambientali, in: Storia
dItalia, Einaudi, Torino, 1972.
[7] S. Settis, Paesaggio, Costituzione, Cemento, La battaglia
per lambiente contro il degrado civile, Torino, 2010.
[8] U. Eco, Il museo del terzo millennio, Bilbao, June 25,
2001.


Surface Soil Effects Studies Based on H/V Ratios of
Microtremors at Kingston Metropolitan Area, Jamaica
Walter Salazar
1
, Lyndon Brown
2
and Garth Mannette
1

1. Seismic Research Centre, The University of the West Indies (UWI), St. Augustine, Trinidad and Tobago
2. Earthquake Unit, The University of the West Indies (UWI), Mona, Kingston, Jamaica

Abstract: The authors performed single mobile microtremor measurements at 218 sites at KMA (Kingston Metropolitan Area) with
the objective of estimating the amplification effects due to the earthquake ground motion on the surface geology. The Fourier
transform was applied to the most stationary parts of the triaxial wave motion recordings for each individual site and applied the
traditional Nakamura technique, namely, the horizontal to vertical spectral ratio (H/V) to retrieve the predominant shear wave period
of vibration of the soil profiles above the bedrock. The results yield predominant long periods of about 3.0-4.0 s in the port area and
the waterfront, 1.0-2.0 s in the central part of Kingston, 0.3-1.0 s in Portmore and very stiff soil conditions in the surrounding area of
the city. The results coincide fairly well with previous geological studies in the region, geotechnical data in boreholes, gravimetric
measurements and strong motion recordings, suggesting a high degree of amplification of ground motion in the whole period range
of engineering interest. Additionally, the authors obtained the liquefaction vulnerability factor K
g
proposed by Nakamura based on
the H/V ratio of microtremors. The results suggest that the port area, the waterfront and the Port Royal are highly susceptible to
liquefaction. Finally, the authors obtained fundamental periods of vibration based on microtremor measurements on the roof and the
basement of four important buildings in the KMA and indicated future lines of research employing ambient noise measurements on
structures.

Key words: Microtremors, Rayleigh and S-waves, amplification factor, fundamental period of vibration.

1. Introduction

Several researches documenting the destructiveness
of several seismic events have established the
pervasive influence of the sedimentary deposits on the
preferential distribution of damages, such distribution
appears to correlate well with the degree of
amplifications caused by the surface geology, the
authors can then regard the local distribution of the
ground shaking intensity as a phenomenon closely
related to the filtering effects of the soil profile [1, 2].
Several studies have shown that Nakamuras technique
[3] for estimating shear wave resonant periods is a
robust method that can yield useful information
regarding the soil profile of a site in the near surface. In
this work, the authors study the site effects in KMA

Corresponding author: Walter Salazar, doctor of
engineering, research fellow, research fields: earthquake
engineering and engineering seismology. E-mail:
walter.salazar@uwiseismic.com.
(Kingston Metropolitan Area) by performing single
mobile microtremor measurements at 218 sites. In the
first section, the authors introduce the surface
geological setting of KMA based on available
references for the city, secondly, an explanation of the
methodology involved in the collection and processing
of the microtremor data is presented and then outlined
the theoretical background of the Nakamura technique
to retrieve the quasi-transfer function of the soil profile.
From this study, a new isoperiod contour map and a
3-D basin depth for the KMA have been proposed. The
quasi transfer functions obtained by the microtremors
are validated with available gravity, boreholes and
strong motion data for the KMA. Finally, the authors
assessed the liquefaction potential based on their
microtremors recording, the water table level and the
ground level shaking proposed by the new seismic
hazard maps for Jamaica presented in the previous
issues.
DAVID PUBLISHING
D
Surface Soil Effects Studies Based on H/V Ratios of Microtremors
at Kingston Metropolitan Area, Jamaica

1302
2. Geological Setting of Kingston
Metropolitan Area
The Liguanea Plain is a quaternary alluvial fan of the
Hope River that drains the mountains to the northeast
of Kingston forming the southern boundaries of the
KMA. It consists of poorly sorted sands and gravels
interspersed with layers of clay and sand. Occasionally,
boulders of volcanic rock and conglomerate are also
found [4]. The fan rises gently from sea level at
Kingston harbour to more than 200 m elevation at
Mona in the northeast, where it meets the Hope River at
the base of the mountain range, the northern limits of
the KMA used in this study. Few wells dug in the fan
sediments have reached bedrock, hence the shape of
the underlying basement and the thickness of the
alluvium are not well known. To better constrain depth
to basement rock, a gravity survey was conducted
along two transects across the Liguanea Plain [5]. The
results indicate a gradual deepening to 500-600 m at
the Kingston waterfront with a more uniform depths of
300-400 m with undulations found along an east-west
profile. The average shear-wave velocity of the fan
sediments was estimated from well logs to be 320-495
m/s and the basement rock was assumed to be Miocene
Limestone. The surrounding hills to the northwest in
Stony Hill and on the Limestone plateaus of Long
Mountain all sit on Tertiary Limestone, these are areas
of recent uplift and show high levels of fault
escarpments, to the northeast are the highly jointed
clastic sedimentary and volcanoclastic rocks of the
Wagwater Formation showing recent slope failure
deposits where currently new developments are
continuously being built on the colluvial slope deposits
of former landslippage.
The southern extension of the tombola that drains
alluvial deposits along the Palisadoes now exists as one
continuous landmass previously existing as individual
cays that have progressively been joined with some
amount of anthropogenic interference. The westward
extension of the Palisadoes is located at the old
buccaneering city of Port Royal. This once infamous
city that was destroyed in the major earthquake M 7 [6]
of 1692 is made up of discontinuous coral reefs
connected by sands and gravels deposited by longshore
drift from the estuaries of the Hope, Cane, Yallahs and
Morant Rivers to the east of Kingston. The
predominant deposits are loose sand deposits which are
highly susceptible to liquefaction due to its shallow
water table and poorly compacted deposits. The
northwest limit of the KMA in the area of Stony Hill
sits at an elevation of 1,400 ft. with the underlying
rocks of the White Limestone plateau of the eastern
extension of the Troy Formation.
Most of the waterfront sections of the city are built
on engineered fill on which sits significant sections of
the infrastructure of the city. There are also some
sections of artificial fill or man-made ground which are
non-engineered, which forms parts of downtown
Kingston, Kingston harbour, the industrial zone
leading to the airport, and also in the west area of the
Newport where the activity is again modified by
engineered fill, as shown in Fig. 1.
Most of the rocks in the surrounding mountain
overlooking the plain are extensively faulted. The
southern part of the Wagwater Trough and
westernmost extension of the Plantain Garden fault
system separates the Liguanea Plain from these
outcrops. The northwest trending Wagwater Fault at
the northern limits of the Liguanea Plain is associated
with many micro-earthquakes [7].
On average over 200 earthquakes are recorded
annually by the Jamaica Seismograph Network. These
events have epicenters both locally (on-land and within
the coastal waters) and regionally (outside of the local
region but within 400 km from the Jamaica
Seismograph Network). At least 10 of these
earthquakes are described as felt events. Current
earthquake frequency data from the earthquake unit at
UWI (University of the West Indies) Mona show the
highest levels of seismicity is associated with the
eastern part of Jamaica (Kingston St. Andrew, Portland
& St. Thomas) accounting for over 75% of the earthquake

1303

Fig. 1 General geological map of Kingston Metropolitan Area and microtremor points surveyed (black solid circles). The
polygon includes the wave motion of microtrermors and the horizontal to vertical H/V spectral ratios presented in Figs. 5 and 6.
The crosses (X) denote boreholes indicating the depth of the bedrock or the maximum depth reached (>). The red triangles
denote strong motion stations (SMS1 and SMS2).

events on the island. The new probabilistic seismic
hazard maps developed for Jamaica at rock site
conditions presented in previous issues confirm that
KMA is subjected to a moderate/high seismicity based
on a peak ground acceleration of 0.24 g for 475 years
return period and spectral accelerations for periods of
0.2 s and 1.0 s yielding levels of 1.05 g and 0.16 g
respectively for 2,475 years return period.
3. Theoretical Background of H/V Ratios of
Microtremors
Microtremors are a general term for constantly
existing minute vibrations at the surface of the ground
with body and surface waves being the main
component of microtremors. Microtremors show
specific characteristics of the surface geology, and are
periodic and contain the amplification characteristics
of the soil, which is often referred to as site-effect. The
periodic characteristics of microtremors are similar to
the ones during earthquakes, however, the amplitude of
microtremors is quite small caused by human activity,
machinery, traffic, etc.. Due to the close relation
between the nature of microtremors and the
fundamental dynamic behavior of the surface soil
layers, these small vibrations are useful and also well
known in the field of earthquake engineering. To assess
Chalk Non-limestone Recrystallized Rubbly Yellow limestone

1304
the transfer functions, the authors used the traditional
method of Nakamura, the horizontal to vertical spectral
(H/V) ratio.
While studying the characteristics of microtremors,
Nogoshi and Igarashi [8] found a conspicuous
similitude of the horizontal to vertical spectral ratios
(H/V) of microtremors to that of Rayleigh waves. This
led them in the first instance to suggest Rayleigh waves
as the main component of microtremor recordings.
This constitutes the origin of the horizontal to vertical
spectral ratio technique applied in the estimation of the
amplification of the horizontal motion in the presence
of surface layers using microtremors [9, 10].
Nakamura [3] revisited this method and brought it back
to the engineering community as non-reference site
technique providing a theoretical interpretation in the
form of his semi-quasi transfer spectrum model
incorporating the effects of Rayleigh and S-waves in
his formulation. Nakamuras formulation of the H/V
spectral ratio departs from the assumption that the
vertical component of motion reaches the surface
without undergoing significant amplification within
the frequency range of interest in engineering, thereby
retaining the characteristics of the horizontal motion at
the engineering bedrock. Nakamura [3] proved the
validity of this crucial assumption at the Tabata and
Kanonomiya sites in Japan for the usual frequency
range of practical interest in engineering, namely, from
0.125 Hertz to 10 Hertz (0.1 s to 8.0 s). The authors
define H
i
(f) and H
b
(f) as the surface and engineering
bedrock horizontal Fourier amplitude spectrum of
microtremors, respectively. If f denotes the frequency
of ground motion, then the authors can express the site
effects function G
i
(f) at a site i, by applying the
following expression:
( ) ( ) ( ) f f f
b i i
G H H = (1)
It seems worth noting that although dealing with
microtremor recordings, Eq. (1) results in a transfer
function formulation quite similar to that proposed by
Borchedt [11] for earthquake ground motion
recordings. In their original formulation, Nakamura [3]
assumed that the energy of microtremors comprises
both body and surface waves, and that the surface
sources generate Rayleigh waves equally affecting the
horizontal and vertical components of motion [9]. If the
authors assume that the vertical motion due only to
body waves undergoes no amplification, then the
authors can express the effect of the Rayleigh waves on
the vertical motion E
S (f)
as follows:
( ) ( ) ( ) f f f
s i b
E V V = (2)
According to this development, E
S
yields 1.0 in the
absence of Rayleigh waves, whereas values over 1.0
indicate the effect of Rayleigh waves. The next step in
this formulation comprises the vertical and horizontal
components of motion assuming a similar effect of
Rayleigh waves on both. On these premises, the
formulation of the horizontal to vertical motion
spectral ratio (H/V) aims at eliminating the Rayleigh
waves effect via calculation of the ratio G
i
(f)/E
s
(f):
( ) ( ) ( ) ( ) ( )
( ) ( ) ( ) ( ) ( )
/
*
/
f f f f f
f f f f f
i i b i b
i i S b b
H H V G H
H V
E V V V H
= = =
(3)

According to the previous assumptions, at the
engineering bedrock, the ratio H
b
(f)/V
b
(f)

equates 1.0
within a relatively wide period range. Accordingly, the
authors can estimate the soil transfer function by taking
the H
i
(f)/V
i
(f)

ratios of the surface recordings.
4. Microtremors Survey and Data
Processing
The authors performed microtremors survey at
Kingston Metropolitan Area (Fig. 1) in November
2011, June 2012 and November 2012. A total of 218
measurements with an average of 500 m-1 km spacing
was made employing a triaxial Tokyo Sokushin 24 bit
sensor, model CV-374A with a flat response between
0.1 Hz to 10 Hz (Fig. 2) and a recording system of 100
samples per second, the sensors measured micromotion
in terms of acceleration.
The following six steps were adopted to perform the
surveys and to analyse the data (Fig. 3):
(1) The authors tried to make the measurement
whenever in a silent environment for at least 5 min


1305

Fig. 2 Transfer function for the Tokyo Sokushin Sensor CV374-A (Courtesy of Isamu Yokoi).

Fig. 3 Flowchart showing the methodology for data collection and digital signal processing.

at each location (trying to maintain the survey, interval,
however there are some locations where the authors
had to collect in the closest possible location relative to
this interval), since the instrument can easily record
surrounding noise such as heavy traffic. These are
reflected in spikes on the records that can perturb the
periodic features of the microtremors. The horizontal
sensors were located with north-south and east-west
orientations (magnetic north);
(2) Samples of 20 s of the stationary parts of the

1306
recording were selected initially for processing;
(3) For each sample, the authors applied a baseline
correction that targets the elimination of the noise
associated with the unknown zero-level line associated
with long period components, this serves to remove the
signal offset responsible for constant shifts of all
acceleration values. The Fourier transform was then
applied to the records and with the band pass raised
cosine filter. The authors selected the low and high
cutoff frequencies in the filter according to the dynamic
amplification factor (flat response) provided by the
sensor manufacturer (Fig. 2);
(4) The authors applied the inverse Fourier
transform to obtain the corrected acceleration time
history for each record;
(5) For each selected stationary part, the authors
computed the resultant Fourier acceleration amplitude
spectrum and the correspondent uncertainties for the
horizontal and vertical components of motion. The
authors smoothed the spectra applying a Parzen
Window with a bandwidth of 0.4 Hz;
(6) Finally, the authors calculated the horizontal to
vertical spectral ratio (H/V) employing the resultant
vector of the orthogonal north-south and east-west
components of motion and averaging the results for all
the stationary parts selected for each record, the
maximum and minimum ratios were computed as well.
The authors identified the peak in the H/V ratio and
located it in the geographical information system. They
plotted the spectra for 0.1 s to 8.0 s coinciding with the
period range of interest for earthquake engineering
practice.

Fig. 4 Horizontal to vertical spectral ratio (H/V) for different lengths of sampling data: microtremor measurement recorded
at 2011/11/20 13:38:50 with coordinates 1759.301' N, 7647.855' W (Top); microtremor measurement recorded at 2011/11/28
11:28:34 with coordinates 1759.6082' N, 7646.5924' W (Bottom). The maximum, minimum and the mean of the H/V ratios
are presented for each recording.

1307

It should be noted that an iterative procedure is
sometimes necessary to improve the resolution and to
reduce the uncertainties in the results especially when
long period ground motion is predominant in the
spectrum (Fig. 4). Stationary samples of 20 s
sometimes are not enough for the resolution of the
spectrum above periods of 1.0 s: in this case, the
authors increased the duration of the samples to 60 s
and repeated the procedure for (ii) to (vi) in Fig. 3. In
other cases, the authors repeated the measurements
recording for 15 min in those locations where long
period ground motions appeared and increased the time
of the samples and also employing 60 s to make the
signal processing scheme.
4.1 Analysis and Interpretation
The authors present in Fig. 5 the horizontal wave
motion of microtremors for the transverse section from
north to south depicted in Fig. 1. It is clear that the
characteristic of microtremors varies considerably
along KMA in terms of amplitude and period of motion.
Generally, the amplitude and the period increase from
the mountain region in the north toward the south at the
shore in the port area, the amplitude varies from 0.1
cm/s
2
to 2.0 cm/s
2
and the period from 0.1 s to 3-4 s.
The authors present the plots of the H/V ratios for the
same points in Fig. 6 and plot the predominant periods
for the whole city in Fig. 7. From east-west, there is a
minor change in the periods of the unit.
Along the Liguanea Basin and at the eastern part of
the waterfront, the authors observe an average period T
of 2.0 s confirming the presence of the thick alluvial
deposits on KMA basin (Fig. 7). The average shear wave
velocity (V
S
) of the fan sediments is estimated from well
logs to be 320-495 m/s (410 m/s) [5]. Taking the
fundamental period T in seconds of a soil profile equal to:
4
( )
S
H
T s
V

(4)

Inverting Eq. (4) for H yields an average depth of
200 m in the Liguanea Plain above the Miocene
Limestone (see depth of the boreholes in Fig. 1), which
is considered here as the engineering bedrock. The
microtremor results primarily coincide with the general
geology setting of the basin where poorly consolidated
alluvial deposits with the deepest boreholes down to
depth at least 200 m, Aspinall and Shepherd [12]
suggest layers of sand retained in the shallower parts
with clays comprising deposits of the deeper parts.
The shear wave velocity V
R
for the limestone is equal to:
R
V

(5)

where, is the rigidity modulus and is the density.
Taking typical values for the limestone of = 24 GPa,
= 2.7 g/cm
3
yields a V
R
= 943 m/s. Employing an
optional Eq. (6) to find the depth of the bedrock H
employing microtremors is as follows [13]:

4
R
S g
V
H
A F
(6)
where, A
S
is the ratio V
R
/V
S
and F
g
is the predominant
frequency based on microtremors. Setting V
R
= 943
m/s for the limestone and taking A
S
= 943/410 = 2.30
and F
g
as 0.50 Hz (T
2
= 2.0 s) yields a depth H = 205 m.
Note that Eq. (6) is equivalent to Eq. (4), however, the
computed A
S
ratio determines the contrast between the
rock and the soil that is related to the sharp peak and the
through observed in the H/V ratios (Fig. 6c).
The longest periods of about 3.0 s to 4.0 s are
observed in the port area to the west of KMA and the
sand spit that connects Portmore and KMA, presumably
reclaimed land areas with the water table is commonly
close to the surface. The results coincide with a soil
profile depth of about 310-410 m as a result of natural
sedimentation and landfill. Also, Aspinall and Shepherd
[12] suggest that the deepest part may exceed 300 m in
this area. The general trend of the increasing depth of the
sediments from north to south in KMA is also confirmed
by the gravimetric survey performed by the National
Disaster Research [5] yielding thickness of the alluvial
deposits ranging from 100 m to 600 m.
The authors found along the Palisadoes spit different
periods of vibrations of the soil profiles, at the western
part in Port Royal area the periods yield 1.0-2.0 s


1308

-0.2
0
0.2
-0.2
0
0.2
-0.4
0
0.4
-0.4
0
0.4
-0.8
0
0.8
-0.8
0
0.8
-0.8
0
0.8
-2
0
2
-0.8
0
0.8
A
c
c
e
l
e
r
a
t
i
o
n

(
c
m
/
s
2
)
-0.8
0
0.8
-2
0
2
-2
0
2
-0.8
0
0.8
-2
0
2
(1) 2011/11/22 17:22:13
(2) 2011/11/22 16:57:02
(3) 2011/11/21 15:49:34
(4) 2011/11/21 15:23:35
(5) 2011/11/19 18:32:34
(6) 2011/11/19 18:06:42
(7) 2012/11/27 16:20:32
(8) 2012/11/27 15:52:47
(9) 2011/11/19 13:56:54
(10) 2011/11/20 16:13:10
(11) 2011/11/25 14:17:51
(12) 2012/11/29 17:42:58
(13) 2011/11/20 17:10:16
(14) 2012/11/29 17:15:36
-0.4
0
0.4
-0.8
0
0.8
-0.4
0
0.4
0 4 8 12 16 20
Time (s)
-0.4
0
0.4
(15) 2011/11/24 18:35:41
(16) 2012/11/28 18:41:47
(17) 2012/06/23 18:04:57
(18) 2011/11/24 18:04:12

Fig. 5 Wave motion microtremors for the N-S component inside the polygon shown in Fig. 1.


1309

suggesting a loose intermediate soil depth profile of
about 100-200 m. The shortest periods in the range of
0.3-0.6 s were found at the Norman Manley
International Airport possibly due to compaction works
related to the construction of the airport, however, soft
soil conditions were found at the western edge of the
runway with a period of 1.5 s, suggesting a different
degree of soil compaction during the construction
process of the airport. At the eastern edge of the spit in
the Harbour View, the authors found again period of
1.5 s related with the sediments deposited by the Hope
River.
The spectral shape of the H/V ratios and the absolute
acceleration Fourier spectra introduce an insight of the
wave propagation of microtremors (Fig. 8): the
sediments above bedrock behave as a high-pass filter
allowing the Rayleigh waves to propagate in the
surface layers, however, the Rayleigh waves can not

(a)

(b) (c)
Fig. 6 Horizontal to vertical spectral ratio (H/V) for the points inside the polygon depicted in Fig. 1, the numbers next to the
ratios correspond to the same numbers depicted in Fig. 5, the authors computed the geometrical mean for the horizontal
component of motion, T
1
is nearly 1/2T
2
indicating a high contrast between the sediments and the basement rock in KMA.
1,000
100
10
1

1310

propagate in the period range of the predominant
period of the surface layers T
2
but can transmit the
energy peak around the period of minimum group
velocity ( of T
2
corresponding to the trough period T
1

in Figs. 8b-8d) which constitutes an Airy Phase. Note
that through period T
1
is nearly half of the peak period
T
2
in the H/V spectral ratios presented in Figs. 6 and 8.
As a conclusion, the effect of multiple reflections of the
S-waves is composed mainly around the predominant
period T
2
and the period of maximum energy
transmission of the Rayleigh waves is about a half T
2

T
1
[14].
The sharp peak (T
2
) and a sharp trough (T
1
) suggests
a high velocity contrast between the basement rock (V
R
)
and the velocity of the surface layers (V
S
) yielding
V
R
/V
S
2.5 [10]. It is noted that the V
R
/V
S
ratio yields
2.3 between the limestone and the alluvium. Anomalous
H/V ratios above 100 are observed at some sites (Fig. 7),
the authors explain this phenomenon in Section 5.
A further examination of the H/V ratio for the
harbour area (port) is presented in Fig. 9. The H/V ratio
reflects three peaks at 3.0 s, 1.0 s and 0.4 s, which
presumably constitutes the fundamental mode and the
harmonics of the soil profile in the port. An important
characteristic of this quasi transfer function is that the
peak observed in the second period of vibration is
clearly caused by the trough in the vertical component
physically representing the change from retrograde

Fig. 7 Predominant period of soil based on horizontal to vertical spectral ratio (H/V) for the 218 points in Kingston
Metropolitan Area.
Chalks Non-limestone Recrystallized Rubbly Yellow limestone

1311

Fig. 8 Rock site (a) and sediments sites (b-d) characterized by the effect of multiple reflections of the S-waves around the
predominant period. Left: Fourier amplitude spectra for the horizontal and vertical components of microtremors. Right: H/V
ratios, the horizontal motion is taken as the geometric mean of the N-S and E-W components.

(a) (b)
Fig. 9 A further examination of the H/V ratio for the harbour area (port): (a): Fourier amplitude spectra for the horizontal
and vertical components of microtremors; (b) H/V ratios, the horizontal motion is taken as the geometric mean of the N-S and
E-W components. The site is located in the harbor area with H/V ratios showing the fundamental mode and the harmonics.
0.1
1
10
0.2
0.3
0.5
2
3
5
H
/
V

r
a
t
i
o
0.1 1
0.2 0.5 2 5
Period (s)
0.1 1
0.2 0.5 2 5
Period (s)
10
100
1000
A
m
p
l
i
t
u
d
e

(
c
m
/
s
2

*

s
)
Graph 1
N-S
E-W
Vertical
2011/11/29 17:42:58
(a)
(b)
(c)
(d)
1,000
100
10

1312

Fig. 10 Fourier amplitude spectra for the horizontal and vertical components of microtremors at Portmore area (Left); H/V
ratios, the horizontal motion is taken as the geometric mean of the N-S and E-W components (Right).

to prograde particle motion at the surface, in other
words, the ellipticity of the fundamental modes of
Rayleigh waves explain such peak at the second mode
of vibration, but is clearly not related with the resonant
S-wave fundamental period in the soil profile. This
feature is also observed within the municipality of
Portmore (Figs. 10a-10c) with the peaks in the period
range of 0.3 s to 1.0 s caused by the trough in the
vertical component, however, the shapes of the
absolute spectra and the H/V ratios yield different
features for the wave propagation in comparison with
the Liguanea Plain, the harbour area and Port Royal. It
is noticed that the Portmore area was part of the
flood-plain of the slow-moving Rio Cobre with the
result of a deposition of great thickness of fine grained
materials and with intercalations of sand deposits [15].
As a consequence of such intercalation of materials, the
authors can suggest that the peak observed might
correspond to the second mode of vibration
constituting the predominant period in this case [16].
0.1
1
10
H
/
V

R
a
t
i
o
0.1
1
10
H
/
V

R
a
t
i
o
0.1 1
0.2 0.5 2 5
Period (s)
0.1
1
10
H
/
V

R
a
t
i
o
0.1
1
10
H
/
V

R
a
t
i
o
1
10
100
A
m
p
l
i
t
u
d
e

(
c
m
/
s
2

*
s
)
Graph 1
N-S
E-W
Vertical
1
10
100
A
m
p
l
i
t
u
d
e

(
c
m
/
s
2

*
s
)
1
10
100
A
m
p
l
i
t
u
d
e

(
c
m
/
s
2

*
s
)
0.1 1
0.2 0.5 2 5
Period (s)
1
10
100
A
m
p
l
i
t
u
d
e

(
c
m
/
s
2

*
s
)
(a)
(b)
(c)
(d)
2011/11/23 16:41:28
2011/11/23 12:55:02
2011/11/23 18:55:18
2012/06/24 18:56:14
Maximum
Minimum
Mean
(a)
(b)
(c)
(d)

1313
A flat H/V ratio of 1.0 is observed at the foot of the
limestone Port Henderson Hills near the Green Bay
(Fig. 10d) and ratio of 1.0 is observed in the shore of
the city for all frequencies of motion. A period of 1.0 s
is observed in the shore of the city.
Stiff soils or rock site conditions are generally found
on the hills surrounding KMA in the limestone hilly
areas, yielding an H/V ratio 1.0 for periods between
0.1 s and 2.0 s (Fig. 8a), however, the authors observed
soil sediments at some places in Stony Hill at the
northern of KMA yielding fundamental periods of 1.2 s.
The authors also found visible outcrop-rock conditions
toward to the north of KMA at the district of
Roehampton and surrounding areas (i.e., Constant
Springs and Arlene Gardens); these geological
conditions were confirmed with the microtremor
recordings.
At the north and east of Mona Reservoir, the authors
found the most irregular pattern for the period of
vibration between 0.6 s and 1.0 s, there is no clear
indication of a regular soil structure in this area, an
intercalation of coarse gravels and sands are reported
for this region [5].
The authors developed an isoperiod map for KMA
employing the 218 microtremors points (Fig. 7) and
interpolating the period values to a grid of 15 m 15 m
via application of the minimum curvature method
(Fig. 11). This map shows similar patterns for the work
of Wald and Allen [17], yielding average shear wave
velocities in the first 30 m based on topographic slopes
at KMA. In a similar way, the authors developed a 3-D
model sediment depth for KMA derived by inverting
the depth H of Eq. (4) setting an average shear wave
velocity of 410 m/s and using the predominant periods
obtained by each H/V ratio of microtremors (Fig. 12).
The thickness distribution in the city appears to
correlate well with the MM (modified Mercalli)
intensity distribution observed for the earthquake of
January 13, 1993, M 5.5 and with shallow depth of 15
km located in the Blue Mountains [6].
Despite the epicenter was located to the north-east at
a distance of about 15 km from central Kingston, high
intensities of VIII MM were reported in the waterfront
where the thickest sediments are located according to
our model. Another earthquakes located 200 km away
from KMA in the Oriente Fault Zone at the South Cuba
has triggered intensities of IV MM in the Liguanea
Plain.
4.2 Comparison of Earthquake Motion Data and
Microtremors
The authors tried to elucidate the level of
amplification in the KMA employing earthquake data
and comparing them with microtremors, employing the
H/V ratio and an amplification factor developed by
dividing the actual ground motion by the motion
estimated at rock conditions using the
2
model.
Brune [18] proposed a simple model to explain the
earthquake source in the frequency domain. He
considered a simple circular fault of radius r that
ruptures over its whole area at the same time [19]. The
method relates the spectrum of the shear radiation to
the stress released across the fault surface. The high
frequency level of the source spectrum is controlled by
the stress parameter (stress drop) and the low frequency
level proportional to the seismic moment, then the
observed spectra in this model depend on the
moment magnitude and the stress drop [20]. The
salient characteristics of the displacement
spectrum in the low frequency level are given by
Haskell [21]:
u|
t
R
Rv
M
s
o
o
3
4
= O (7)
where, M
o
is the seismic moment in dyne-cm, R
u|
is the
radiation pattern coefficient (0.55 for average radiation
pattern of the double-couple radiation), is the density,
v
S
is the crust shear wave velocity (km/s) and R is the
hypocentral distance. At higher frequencies longer than
the corner frequency f
c
in the spectrum amplitudes falls
as f
2
or
2
, where, (omega) denotes the circular
frequency ( = 2f). The corner frequency can be
found by:


1314
3 / 1
6
10 9 . 4
|
|
.
|
\
| A
=
o
S c
M
v f
o
(8)
where, Ao is the stress drop in bars. Then displacement
spectrum at a distance R is:
( ) (
(
+
=
2 3
/ 1
1
*
4
) (
c s
o
f f
R
Rv
M
f D
u|
t
(9)
McGuire and Hanks [22] suggested incorporating
the quality factor Q
S
(f), to account the free-surface
effect (using a factor of F = 2) and the vectorial
partitioning of energy into two components of equal
amplitude (factor of V = 0.71). Also, they suggested
that the Fourier amplitude spectrum of acceleration can
be obtained by multiplying the displacement spectrum
by (2f)
2
. Then, in a compact form, the Brune
2
model
acceleration spectrum near the source for horizontal
component is Ref. [23]:
( )
/ ( )
2
2
1
( ) (2 ) *
1 /
S S
fR Q f v
o
c
e
Ac f f CM F
R
f f
t
t
(
(
=
(
+

(10)
where,
3
4
s
R V
C
v
u|
t
=
(11)
The stress drop and the seismic moment are used to
define the source spectrum, which is obtained in Eq.
(10) using the expression inside the brackets multiplied
by (2tf)
2
or prescribing R = 1.0. The authors should
remember that this constitutes an apparent source
spectra since it refers to the fact that these
representations are what the authors deduce from
far-field observations [24].
To obtain the seismic moment M
o
(dyne-cm), we use
the moment magnitude M
W
and using the formula [25]
as follows:
7 . 10 log
3
2
=
o W
M M (12)
The authors calculated the amplification factors
from the earthquake strong motion recordings
dividing the observed Fourier amplitude spectra by
the corresponding theoretical spectra employing
Eq. (10) setting 100 bars of stress drop, the Q
S(f)
from

Fig. 11 Isoperiod map for Kingston Metropolitan Area, the units for the period are in s.

760000 765000 770000 775000 780000
Longitude (m)
645000
650000
655000
660000
L
a
t
i
t
u
d
e

(
m
)
0
0.2
0.6
1
1.5
2.5
3.8
L
o
n
g
M
o
u
n
ta
in
Hunts Bay
Caribbean Sea
Stony Hill
Henderson
Hills
Port
660,000
655,000
650,000
645,000
0
760,000 765,000 770,000 775,000 780,000

1315

Fig. 12 A 3-D sediments depth model for Kingston Metropolitan Area based on the period of the soil deposits and an average
shear wave velocity of 410 m/s, the units of depth are in m.

McNamara et al. [26], v
S
= 3.8 km/s at the
correspondent distance R from the earthquake and
compare with both, the H/V ratio derived from
microtremors and the strong motion records; although
originally proposed to analyze microtremor data,
Lermo and Chvez-Garca [27] applied the H/V ratio
technique to earthquake ground motions recorded on
soft sediments in Mexico City, and obtained a good
coincidence with microtremor-based predominant
periods.
Figs. 13 and 14 illustrate the amplification spectra
resulting from the application of this procedure for an
earthquake event on 2011/05/06 09:29:22 UTC and
Mw 4.7 with an epicenter north-east of Kingston
(18.087 N, 76.652 W) and a shallow depth of 5 km. For
the station at the Toll Office in Portmore (SMS1), it is
clear that a very good match is observed for the
predominant peak for H/V of microtremors at 2.0 s and
the amplification factors derived from the
2
model.
Similar characteristics are observed for the strong
motion at the station SMS2 on Portmore Bridge for the
same earthquake at the period of 2.5 s, the sharp peak at
0.65 s derived from the
2
model and the H/V could be
attributed to the structural response being the
instrument located on one of the pillar footings of the
bridge. The authors performed the microtermor
measurement about 25 m away from this station due to
the immediate inaccessibility, being the footing of the
bridge surrounded by water. For both stations, the H/V
obtained by the earthquake recording present peaks in
longer periods, but not so well defined as the ones
obtained by microtermor recordings and the
2
model.
The authors attribute these differences to the fact that
the vertical component comprised of body waves
undergoes no amplification for microtremors as stated
by Nakamura [3], while significant amplification can
take place in the vertical component during
earthquakes with earthquake epicenters located near
the station.
Konno and Ohmachi [10] suggested a simple formula
-380
-360
-340
-320
-300
-280
-260
-240
-220
-200
-180
-160
-140
-120
-100
-80
-60
-40
-20
Stony Hill
645,000
660,000
650,000
655,000
760,000
765,000
775,000
770,000
780,000

1316

0.1 1
Period (s)
0.1
1
10
A
m
p
l
i
f
i
c
a
t
i
o
n
Mean H/V of Microtremors
Max. and Min. H/V of Microtremors
Derived from Omega square model
H/V of earthquake data

Fig. 13 Comparison of transfer functions of microtremors and strong motion data for the Toll Office at Portmore (SMS1 in
Fig. 1).
0.1 1
Period (s)
0.01
0.1
1
10
A
m
p
l
i
f
i
c
a
t
i
o
n
Mean H/V of Microtremors
Max. and Min. H/V of Microtremors
Derived from Omega square model
H/V of earthquake data

Fig. 14 Comparison of transfer functions of microtremors and strong motion data for the Bridge at Portmore (SMS2 in Fig. 1).


1317

(b)
Fig. 15 The harbour area, Port Royal and some areas at the Liguanea Plain have a high liquefaction potential: (a)
Liquefaction index K
g
based on microtremor measurements depicted in Figs. 5 and 6 and the polygon depicted in Fig. 1; (b)
absolute Fourier spectrum and anomalous H/V spectral ratio in the harbor area.

for the amplification factor A
S
using H/V ratio of
microtremors, as follows:
A
S
= R
MB
(13)
where, R
MB
denotes the ratio at the peak. In this case,
we can attribute an amplification factor of 4 at 2.0 s for
SMS1, of 3.0 at 2.5 s for SMS2.
5. Preliminary Assessment of Liquefaction
Potential
Nakamura [13] proposed a simple technique to
investigate the liquefaction potential based on
microtremor measurements, namely the vulnerability
index K
g
for the surface ground, as follows:
-4 0 4 8 12
Distance from Coast Line (km)
0.1
1
10
100
1000
10000
100000
1000000
L
i
q
u
e
f
a
c
t
i
o
n

I
n
d
e
x

(
K
g
)
Harbour Area
Port Royal
Liguanea Plain (Central West)
Mountain region
HIGH LIQUEFACTION
POTENTIAL
LOW LIQUEFACTION
POTENTIAL
10
100
20
30
50
200
300
H
/
V

r
a
t
i
o
0.1 1
0.2 0.5 2 5
Period (s)
0.1 1
0.2 0.5 2 5
Period (s)
0.1
1
10
100
1000
A
m
p
l
i
t
u
d
e

(
c
m
/
s
2

*

s
)
Graph 1
N-S
E-W
Vertical
Harbour Area
Maximum
Mean
Minimum
(a)
1,000,000
100,000
10,000
1,000
100
10
1
0.1
1,000
100
10
1
0.1

1318
K
g
=
A
g
2
P
g
(14)
where, A
g
is the amplification factor referenced to the
engineering bedrock and F
g
is the predominant
frequency of the soil profile (the inverse of the
fundamental period), both values can be taken from the
horizontal to vertical spectral ratio (H/V) of
microtremors, A
g
is considered to be the H/V ratio at
the predominant frequency [10]. Values of K
g
greater
than 20 are considered likely to liquefy.
The authors applied this method to the cross section
in Fig. 1 and H/V ratios presented in Fig. 6. The results
show that the harbour area, Port Royal and some areas
at the Liguanea Plain have a high liquefaction potential
(Fig. 15). It is worth mentioning that anomalous H/V
ratios above 100 for long period components
between 2-2.5 s are observed in the Liguanea and the
harbor area (Fig. 6, H/V ratios number 8, 7 and 11) due
to the very low amplitude and flat vertical absolute
Fourier spectra at these sites indicating a small
contribution of Rayleigh waves in the micromotion,
however, the authors observed the same fundamental
periods in the H/V ratio at other sites where significant
vertical amplitudes appear. Despite the difference in
the energy in vertical component of motion at different
sites, this phenomenon confirms that the quasi-transfer
function provides the fundamental period due to the
multiple refraction of SH waves in the surface ground
layers regardless of the influence of the degree of
Rayleigh waves. These characteristics were observed
also at some points in the waterfront area. As a further
evidence, Nakamura [14] suggested that in the case of a
low effect of Rayleigh waves, it is possible to estimate
both the fundamental periods and the second mode
caused by the multiply reflections of S-waves. These
characteristics were observed also at some points in the
waterfront area.
Performing continuous measurements at these sites
during one or two weeks will help to clarify the
distinction of long period microtremors or microseisms
due to ocean waves excitation and short period
microtermos (Kanais microtremors) due to human
activity, traffic, machinery, etc. [28].
The new Probabilistic Seismic Hazard Assessment
for Jamaica (see the article in the previous issues)
suggests a Peak Ground Acceleration for 475 and 2,475
years return period KMA of 0.25 g and 0.45 g
respectively at rock site conditions in KMA; the
saturated sediments on those areas can be classified
as sand/silty where the water table is located at the
surface. Liquefaction phenomena were observed
during the earthquake of 1907 at Port Royal (Fig. 16).
6. Microtremor Measurments on Buildings
We measured microtremors in the roof and in the
basement of four reinforced concrete buildings in
KMA in order to investigate the translational period of
vibration. The buildings for which we measured the
microtremors were: Ministry of Agriculture, Petroleum
Corporation of Jamaica, Ministry of Health and UDC
(urban development corporation) Office Centre
Building.
In order to eliminate the influence of the soil on the
roof measurements on the buildings, we divided them
by the micromotion recorded on the basement. Fig. 17
depicts the amplification functions of the buildings
showing clear predominant periods of vibration in the
transversal and longitudinal directions (Table 1). As a

Fig. 16 Liquefaction phenomena is still evident in the
Giddy House, an ammunition store at Port Royal during
the 1907 earthquake.

1319

0.1 1
0.2 0.3 0.5 2 3 5
Period (s)
0
10
20
30
40
A
m
p
l
i
f
i
c
a
t
i
o
n
Graph 1
Transversal Direction
Longitudinal Direction
MINISTRY OF AGRICULTURE

0.1 1
0.2 0.3 0.5 2 3 5
Period (s)
0
20
40
60
80
A
m
p
l
i
f
i
c
a
t
i
o
n
Graph 1
PETROLEUM CORPORATION

0.1 1
0.2 0.3 0.5 2 3 5
Period (s)
0
5
10
15
20
25
A
m
p
l
i
f
i
c
a
t
i
o
n
Graph 1
MINISTRY OF HEALTH

0.1 1
0.2 0.3 0.5 2 3 5
Period (s)
0
5
10
15
20
A
m
p
l
i
f
i
c
a
t
i
o
n
Graph 1
UDC OFFICE CENTRE BUILDING

Fig. 17 Transfer function for reinforced concrete buildings based on microtremor measurements at the top and the bottom of
the buildings.


1320

Table 1 Fundamental period of vibration and damping as
percentage of the critical for buildings in Kingston
Metropolitan Area for transversal and longitudinal
directions.
Name of the building Fundamental period (s)
Transversal Longitudinal
Ministry of Agriculture 0.22 0.27
Petroleum Corporation of
Jamaica
0.48 0.58
Ministry of Health 0.76 0.90
UDC Office Centre Building 0.73 0.79

preliminary observation, we note that the amplification
factors between the transversal and the longitudinal
directions differ twice and sometimes three times, the
lowest ones being always in the transversal directions
for which we observe the shortest fundamental period
of vibration, in other words, the microtremor
measurements reveal that the longitudinal direction of
the buildings is more flexible than the transversal
direction. An appropriate seismic coefficient might
have been taken into account during the phase
structural design in accordance with the architectural
building configuration and the stiffness/flexibility
observed in both directions.
7. Conclusions
At the Kingston Metropolitan Area, intensities of
MM VI or greater have been reported at a rate of 20
times per century, constituting the largest rate amongst
all Jamaican cities [29]. The authors clearly attribute
this fact to effects of the surface geology on the
earthquake ground motion in the city yielding average
depth of the sediments ranging from 200-300 m and
periods of about 2.0-3.0 s in the Liguanea basin.
Despite the fact that the predominant period of
vibration based on the H/V of microtremor
measurements coincide well with available geological
information, a more precise level of amplification
during future earthquakes at KMA is still a question to
solve. The authors have elucidated amplification
factors of about 3-4 for periods ranging 1.0-2.0 s
employing a very limited amount of earthquake ground
motion and microtremor data, but such few samples
lead to inconclusive statements for the whole city, even
more for short period components of ground motion
(0.1-1.0 s). In this regard, fundamental future work in
the area to perform microtremors array observation is
recommended in order to retrieve the shear wave
velocity profile information reaching the bedrock
based on conventional methods as the SPAC (spectral
auto correlation). Such arrays might be done in
different parts of the city in order to give proper
amplification factors that are dependent of frequency,
and to scale up the elastic design spectra developed in
the seismic hazard assessment for rock site conditions
presented in another article of the previous issues. The
first microzonation maps for KMA must be done for
both, the level of amplification with its correspondent
seismic loads and the liquefaction potential, which the
authors have demonstrated, represents a high hazard
especially in the Kingston harbour areas and Port Royal.
Kingston ranks as the 7th largest natural harbour in the
world and has a large concentration of infrastructure
through the KMA like oil refineries, power generation
plants and high rise buildings. The seismic hazard
paper presented in this previous issues clearly
demonstrated that a moderate size earthquake can
produce long term economic impact in the country due
to the substantial level of shaking, and the
amplification phenomena caused by the presence of
unconsolidated and saturated soils in the region.
The source of the microtremors can be elucidated if
continuous measurements are performed
simultaneously on rock and soil [28, 30] and compare
their amplitude with those of ocean wave heights or
changes in atmospheric pressure at the harbour. Their
survey indicates that long period microseisms are
present at rock site conditions observing a peak in the
long period components (above 4.0 s) in the absolute
Fourier spectrum that clearly does not correspond to
the presence of sediments at these sites (i.e., Figs. 8a
and 10d). Then the long period microtremors
(microseisms) and short period microtremors (Kanais

1321
microtremors) must be distinguished in future research
with continuous measurements at strategic points in the
city at rock site and deep soil conditions.
The deployment of a dense earthquake strong
motion network in the KMA is a must in order to
validate the results from the microtremors survey
together with systematic boreholes data that can
validate the microtremors array observation cited
above and the amplification factors that would arise
with the earthquake data. A future line of research in
the region is the acquisition of the dynamic properties
of medium and high rise buildings employing
microtremors, namely the fundamental translational
and rotational period of vibration and the damping ratio,
especially in zones where the resonant phenomena is
likely to occur.
Acknowledgments
Maps have been prepared using ESRI Arc Map 10.1
(Arc View) Geographic Information System and
SURFER Golden Software 8.
This study has been funded by the World Bank as a
part of the Risk Atlas Project for the Caribbean under
the supervision of the DRRC (Disaster Risk Reduction
Centre) at the University of the West Indies, Mona,
Jamaica.
The authors thank Paul Williams, Karleen Black,
Raymond Stewart, Stephanie Grizzle, Laurel Choy
(Earthquake Unit, Jamaica) and Omari Graham
(SRC/UWI, Trinidad) for assisting the authors in the
microtremors survey at Kingston Metropolitan Area.
The authors also thank the following institutions that
permitted them to make measurements at their
facilities/buildings:
(1) Kingston Container Terminal;
(2) The Port Authority of Jamaica;
(3) The Airport Authorities of Jamaica;
(4) Jamaica Defense Force;
(5) Urban Development Corporation;
(6) Ministry of Health and the Environment;
(7) Ministry of Agriculture;
(8) Petroleum Corporation of Jamaica.
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Enhanced earthquake risk of Kingston due to wave field
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seismic hazard parameters, in: Jamaica Building Code
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International Cooperation Agency), 1997.


The Idea of Architecture Stage: A Non-material
Architecture Theory
Yuke Ardhiati
1, 2
1. Department of Fine Art and Design, Trisakti University, Jakarta 11440, Indonesia
2. Department of Architecture, Tarumanagara University, Jakarta 11440, Indonesia

Abstract: The purpose of this study is to find the new theory in the process of having quality form in architecture field which is
usually visualized by the ruler through his ideology of his architectural work which is created by his architects. The study is about an
urban design in architectural field related with space-power-knowledge. To reveal the meaning of the architecture objects is need to
analyze the architectural object form as the culture-material, and to reveal the meaning of the objects through the hidden things
related to the presence of the metaphysical data. To find the new theory used grounded theory research, the method is part of
qualitative research which refers to Glaser and Strauss. The achievement study is finding the idea of architecture stage of the ruler,
represented by Soekarno as the first Indonesian President. Through visual observation and spatial experiences in his several
architectural works concerning the Projects Lighthouse as his architectural work in Jakarta in the 1960s the idea of connectedness
was found. He composes his architectures work by inserted the architecture drama analogy as metaphor for representing himself
and his ideologist by exploring the Javanese Ancients as the basic design in the modern architecture at that time the east meet west.

Key words: Architecture stage, grounded theory, khora, the ruler.

1. Introduction

The ideologist is usually visualized by the ruler
through his architectural work which is created by his
architects. The same phenomena of the ideas of
architecture stage abroad were revealed in the
architectural legacies of Adolf Hitler in Germany,
Joseph Stalin in the Soviet Union, Kubitchek in Brazil,
Mao Tze Dong in the Peoples Republic of China, and
Nehru in India, also in Indonesia. However, there are
different types in Indonesia. Soekarnos architecture
tacitly expressed his architectural knowledge in the
manner of eastern meets western, resulting in a
combination of differences between them. Soekarno
has given color as sense of presence in the ideas of
the architecture stage Soekarnoestic by combining
the charm of the Indonesian culture by exploring
Ancient Javanese form, Soekarno distinguished his

Corresponding author: Yuke Ardhiati, Dr., research fields:
architecture work, building conservation, theory and creative
design for architecture and design. E-mail:
yuke_ardhiati@yahoo.com.
architectural style based on Ancient Javanese culture
as the basic design to modern architecture. This was
done at a time when Hitler was composing his
architectural style which is almost similar style when
Stalin was composing the Stalinist Gothic. It also
different when Kubitcheck was designing the capital
city of Brazilia, when Nehru was composing
Chandigarh by Corbusier, and when Shanghai, China
was declared as the Paris of the East by local
architects. The finding ideas of architecture stage in
Indonesia was driven by desire, intervention and a
sense of art of Soekarnos concept by exploring the
Javanese Ancients as the basic design in the modern
architecture.
2. Method
The paper is a part of architecture dissertation
investigation to express the civilization created by the
ruler represented by Soekarno, the first Indonesian
President. The study based on the archival data is a
part of la longue dure historical by Braudel, 1958 [1],
DAVID PUBLISHING
D
The Idea of Architecture Stage: A Non-material Architecture Theory

1324
it is architectural field related space-power-knowledge,
to find the new theory used grounded theory. This
method is also part of qualitative research referring to
Glaser and Strauss. The achievement study is to find
the idea of Soekarno as the ruler, when he creates the
space, through visual observation and spatial
experiences in his architectural works of the Projects
Lighthouse in Jakarta in the 1960s. The data are
collected and named as coding, data analysis and
memoingthe final step to develop a new theory [2].
The research objectives in architecture field are
needed into three methods: (1) visual investigation; (2)
phenomenologys investigation; (3) to reveal the
hidden meaning through the data metaphysical.
3. Results
After investigated in the several Soekarnos work in
the Projects Lighthouse in Jakarta in the 1960s, e.g.,
(1) The Jakarta City Planning; (2) the Gedung Pola; (3)
the Main Stadium of Gelora Bung Karno; (4) the
Hotel Indonesia; (5) the Istiqlal Mosque; (6) the
National Monument; (7) the Wisma Nusantara; (8) the
Sarinah Department Store; (9) the Planetarium; (10)
the Conefos Venue Building, a number of the city
scale scluptures was found [3]:
First, Soekarnos works were inserting his
ideologist as his architectural communication when he
was creating the space of the Lighthouse Project in
order to establishment his power. His works reflect
the idea of architecture stage toward the
architectural form which is similar to characteristic of
khora [3]. Khora or Chora is a Greek term to express a
concept of space designated by Plato in Timaeus
[3-5]; Secondly, the Lighthouse Project looks like
the abstract space referring to Lefebvre, its role to
strengthen the social homogeneity through the
architecture work with characterized: spectacularly,
geometrically and phallic, was shown to the tenth of
the architecture works to beautification of Jakarta
Capitol City. The heritage buildings are contained
with a monad which is the immortality immaterial
principle of life. It is from the Old Javanese of
Indonesian ancient as the basic idea to create the
modern architecture.
3.1 The Jakarta City Planning
The Hotel Indonesia built as the pilot tourism and
as the Indonesians Face during the Jakarta City
Planning projects. Soekarno emphasized the
culturization to dreams Jakarta City which is
equivalent to the International city: Jakarta is as a
beacon that leads directly to participate pushing
development projects! The main idea of the Jakarta
City Planning are composed the eight lines of
Kebayoran Baru-Thamrin road inspired by the
Brazilia City Plan. The Jembatan Semanggi or
Semanggi Brigde is a clover bridge devided the four
directions of the Jakarta. The corridors of
KebayoranThamrin looks like a stage resembled
a big catwalk on architectural work. Fig. 1 shows the
location of the Projects Lighthouse in Jakarta in the
1960s in the main corridor of Jakarta.
3.2 The Gedung Pola Building
The Gedung Pola building is located in the heritage
site of Rumah Proklamasithe House of
Proclamation on Jl. Pegangsaan Timur 56 Jakarta. In
this place, Soekarno read the Declaration of
Independence of Indonesia on August 17, 1945. Now,
the heritage is already ruins of buried foundation and

Fig. 1 The location of the Projects Lighthouse in
Jakarta in the 1960s in the main corridor of Jakarta.

1325
replaced by a big statue as the landmark of Soekarnos
position when his reading the text of proclamation.
The open space building to facilitate the permanent
exhibition for the development project of Semesta
Berentjana Project years 1961-1969 is designed by
Silaban. Fig. 2 shows the Gedung Pola building
proposed by Silaban.
3.3 The Main Stadium Gelora Bung Karno
Soekarnos desire is as the host of the Asian Games
IV on 1962 and must prepare the international venue
standard with capacity around 110,000 people by steel
structure change from concretes name: Temu Gelang
structure of Soekarnos idea as the structure is
designed to follow the athletic activities pattern to
track continuously by the oval geometric shape.
Soekarno also put the ornaments of a realist sculpture
of mythical puppet Sri Rama to make it still be an
archery as the symbol of precision, agility, honesty.
The Gelora Bung Karno resembles a architecture
stage of Indonesia of Soekarnos politician will. The
Main Stadium Gelora Bung Karno Gedung Pola
building is proposed by Russian architect (Fig. 3).
3.4 The Hotel Indonesia Building
In the front of hotel, it is located of statues and a
pool covered with a red lotus pond named Henk
Ngantung Fountain, and the welcoming to the young
men and women statue carrying a bouquette of
flowers, known as the Welcoming Statue as Edhi
Soenarsos work to visualize Soekarnos idea to give
the friendliness impression of Indonesian to the
foreign guests. Soekarno asked Abel and Windy
Sorenson, a couple architect to express his desire, and
adopted all of the name of the islands and the dances
name in Indonesia as the rooms name. Soekarno
ordered a variety of Indonesian artists to beautify the
building faade. A long andesite rock is created by
Harijadi entitling The party in Bali opposite the
statue of Goddess Sri created by Trubus. Under the
Ramayanas big dome, it is found the reliefs color
the Indonesian Women in Floating in Space created
by Soerono. Behind the interior of the walls of dome,
it is filled the mosaic-art created by Dartas name A
Dance of Indonesia. There are also found the realist
painting of Indonesia, Lie Man Fong in the Indonesia
Flora and Fauna. The diversities artworks displayed
at the Hotel Indonesia resembles the Stage of
Indonesian Fine Art. Fig. 4 shows Hotel Indonesia
building proposed by Abel Sorenson.
3.5 The Istiqlal Mosque
The Istiqlal Mosque is the largest mosque in
Indonesia and it is the Soekarnos idea in 17 years
before the first pole in 1961, built as the victory symbol

Fig. 2 The Gedung Pola building.

Fig. 3 The main stadium Gelora Bung Karno.

Fig. 4 Hotel Indonesia building proposed by Abel
Sorenson.

1326
of the Indonesian independence. The visual images of
mosque are dominated by the prime marble and
stained less steel, reinforced concrete structure with
the square pillars rhythmically across the facades. The
building with the giant dome is as a marker of the
grandeur to the Moslems with a tall minarets in the
corners building and as a symbol of the immaterial at
least for 1,000 years.
The Istiqlal Mosque designed to express the
modern architecture style with the solid structure and
rely on the natural ventilation. Fig. 5 shows the
Istiqlal Mosque building proposed by Silaban.
3.6 The National Monument
The National Monument or Tugu Nasional is
located in the center of the Medan Merdeka square.
Yet, it is known as the Champ de Mars or
Koniengsplain. It was built to express the new soul
of Indonesian as the dynamic nation in the modern
age. The monument is designed by National
Competition and held in twice, in 1955 and 1960, and
the both competitions have not been found the
ultimate winner, because its Soekarno is ordered to
Silaban and Soedarsono to develop the idea from the
first and second contest participants as a Final Design
Project. Finally, the Soedarsonos design is accepted
by Soekarno. He design a pair of the giant cup and
phallic as the monuments form and as the ancient
artifact symbol of Indonesia: lumpang and alu.. Refers
to Lobells theory of Spatial Archetype, the
monument shows the Radiant Axes civilization as
Soekarnos unconscious as ruler. He reflected the
world of emperor linked with civilization, space and
psyche. Fig. 6 shows the national monument.
3.7 The Wisma Nusantara Building
The Wisma Nusantara is 29 levels high building to
facilitate the economic relations, trade and
international tourism in Jakarta. The building is
designed by Ciputra, which is as the first skyscraper in
Indonesia role and as the building Trade and Travel
Centre. The presence of the Wisma Nusantara
provided the quality space at the Hotel Indonesia
which resembles the Modern Architectures style, and
it is funded by the Japanese government. At that time
the first skyscraper in Jakarta is also projected as the
tallest building in Asia. Fig. 7 shows Wisma
Nusantara Building.
3.8 The Sarinah Department Store
The Sarinah Department Store now has undergone
changed all of the facades. Sarinah building is Soekarnos

Fig. 5 The Istiqlal Mosque building proposed by Silaban.

Fig. 6 The national monument proposed by Soekarno
himself visualized by Soedarsono.

Fig. 7 The Wisma Nusantara Building proposed by
Ciputra.

1327
idea triggered the establishment of economic growth
as shopping, exhibitions, and office building also has
an important meaning as the price stabilizer. The
building is calculated by Roossenos engineer,
covered by ceramic materials, and floored by marble
and framing door and windows by aluminum. The
building is used the vertical transport escalators as the
first in Indonesia, reflected the new of life style during
in 1960s, and it is resembled the Indonesian
merchandise selection, ranging from food and
clothing as the modernities of Indonesia. Fig. 8 shows
the Sarinah Department Store Building.

Fig. 8 The Sarinah department store building.

Fig. 9 The Planetarium proposed by Ismail Sofyan and
Ciputra.

Fig. 10 The Conefos Building proposed by Soejoedi.
3.9 The Planetarium Building
The planetarium designed as the largest in the
world, within 500 people seats as an educational
building to understand the aerospace science, to
eliminate the superstitions of Indonesians by activities
with observatory of the astronomy which is the
progressive symbol when it was still overwhelmed
with superstition regarding astrology. The building
shows the atmosphere of space to watch the stars and
the solar motion through a comfortable room. Fig. 9
shows the Planetarium proposed by Ismail Sofyan and
Ciputra.
3.10 The Conefos Political Venue Building
The Soekarnos ideas to the New World Order
concept are visualized by the venues design to the
Conference Building of Conefo on August 1966 (but
nevertheless done). The Conefos competition is held
in November 1964, won by Soejoedi Wirjoatmodjo
and supported by Sutami. He present a full scale of
architecture model in the unique simetrical dome as
the aircraft wing and as a unique magnificent work.
Fig. 10 shows the Conefos Building proposed by
Soejoedi.
4. Conclusions
Soekarnos architecture tacitly expressed his
architectural knowledge in the manner of eastern
meets western and he has given color as sense of
presence in the ideas of the architecture stage by
exploring Ancient Javanese form as the basic design
of Modern Architecture, and refers to Lobells theory,
the national monuments symbol rays reveal the
Soekarnos unconscious of the produce the
civilization and space linked with his psyche. The
hidden meaning of the Soekarnos concepts of space
was found: The national monument not merely is a
physical immortality of architecture landmark, but also
reflects the timeless of the immortal immateriality by
Soekarnos voice recording at the Amphitheater Room
and also reveal the ide architecture stage.

1328
References
[1] P. Burke, The French Historical Revolution: The Annales
Scholl 1929-1989, Polity Press, Cambridge, 1990.
[2] B.G. Glaser, A.L. Strauss, The Discovery of Grounded
Theory: Strategies for Qualitative Research, Adline
Transaction, London, 2010.
[3] Y. Ardhiati, The stage of Indonesia: Khora charm works
of Architect Soekarno in the 1960s, Dissertation Thesis,
Department of Architecture, Faculty of Engineering,
University of Indonesia, 2013.
[4] A.G. Perez, S. Parcell, Chora 1, 2, 3: Intervals in the
Philosophy of Architecture, Mc Gill Queens University
Press, London, 1994.
[5] J. Derrida, On the Name, Stanford University Press,
California, 1995.

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0 19,000 38,000 9,500 Meters

, and the other along the parallel, namely

, as presented in Fig. 6, are:

=1 cm 0.0003 for all combinations of and

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