�NEGATIVE�&�POSITIVE� SPATIAL PLANNING APPROACH BY MEANS OF GIS

Author: Suman Rana, Co-author: Diego Salmerón

Suman Rana, Researcher and GIS Collaborator, IRL Institute, ETH, Zurich, Switzerland Diego Salmerón, Deputy Project Manager, `TRP1 �Environmental Planning� Kunming, China`, IRL Institute,

ETH Zurich, Switzerland.

ABSTRACT Today the power of GIS in spatial planning is unquestionable. In a situation where potentials and constraints are to be balanced, steered in harmony with environment, GIS has proven a great analytical and synthesizing tool by integrating the spatial entities into a problem-solving environment. This paper presents the fine functionality of GIS in the planning of physical aspects of development based on a multi-criterion decision making process and also the use of a GIS based �Negative and Positive� spatial planning approach, demonstrated by two individual case studies in India (Zoning Atlas for Siting of Industries, Sirmour District, Himachal Pradesh) and China (Local Comprehensive Planning of the New Jincheng Town, Jinning County, Kunming). The approach was locally adapted in each case according to the main issues and objectives that had to be achieved. Both case studies focus on the future sustainable use of available land for basic functions in modern eco-oriented society in developing countries. CASE STUDY I : ZONING ATLAS FOR SITING OF INDUSTRIES, SIRMOUR DISTRICT, HIMACHAL PRADESH, INDIA This study was undertaken in 1998 by Central Pollution Control Board2 under the World Bank funded EMCB3 Project with technical support from GTZ4. It identifies the suitable sites for industrial development at district level based on a GIS approach enabled by ESRI Arc Info software. The Atlas has already been published and is being used by concerned authority as a guideline for taking decisions on industrial siting. Introduction Lying in the outer Himalayan ranges (Shivaliks) in the northern part of India, Sirmour is the eighth largest district of Himachal Pradesh State. Covering a total area of 2825 sq km, the district is predominantly mountainous with deep valleys. The total population (1991 census) is about 400,000, distributed among 10 tehsils/sub-tehsils, 5 community development blocks, 4 towns/urban centres and 968 villages. Based on the need to properly site industries for reducing the risks of pollution and protecting environment and also to simplify decision making process on site clearance for locating an industry, the task of preparation of Zoning Atlas for siting of industries based on environmental considerations, was taken up for the district. The project is one in the series of such studies covering the entire nation. The atlas suggests the possible alternate sites for industries through easy-to-read maps. The specific objectives of the study are:

- to zone and classify the environment in a district; - to identify locations for siting of industries; and - to identify industries suitable to the identified sites.

Assuming that the industry is the best judge in identifying the sites best suitable from economic considerations, the zoning atlas addresses only the environmental considerations, the industries may subsequently evaluate site suitability from both considerations.

1 Training and Research Project 2 An apex regulatory body under Ministry of Environment and Forests, India 3 Environmental Management Capacity Building Project 4 German Technical Cooperation

The atlas is an effective tool in decision making at various levels. It is helpful to the industrial entrepreneur in selecting sites that are environmentally sound, the regulatory authorities in issuing environmental clearances, the Government in taking policy decisions on industrial siting and the public in knowing on the type of industrial development in advance. Approach The study involves identification of characteristics of the district, mapping of sensitive zones, assessment of pollution receiving potential in terms of air and water pollution and finally identification of alternate sites suiting to different types of pollution potential of industries. A negative and positive spatial planning approach has been used. In the negative approach, the areas unsuitable for the development of any kind of industries are striked out and in the positive approach the industries are assigned to the suitable sites according to their pollution receiving potential, which is indicated by risk due to siting of a polluting industry. A set of thematic maps for air, water and groundwater aspects are prepared and overlaid for identification of high, medium and low risk zones for the air, water and groundwater polluting activities. Thus, the zoning (for siting of industries) is achieved through overlaying of thematic maps and by the method of elimination of areas unsuitable for industrial activity due to different environmental conditions of sensitivity. The GIS Model The study employs the remote sensing, GIS and mapping as the important tools in achieving the desired results. The GIS model representing the step-wise methodology of the study is given in Figure 1. The Maps A set of 28 maps is prepared on a scale of 1:250,000 (1 cm=2.5 km). Refer Figure 2 for the maps and their mapping technique (indicating the GIS method used).

S.No. Map Preparation Characteristics of the District (the preliminary study of the district)

1. Base map Digitisation of the essential physical features from the toposheets of SoI5, maps available with planning department and the landuse map, on which subsequent thematic maps, overlays and final maps are prepared.

2. Village reference map Location of the important villages of the District taken from the toposheets of SoI and drawn on a map with the boundaries taken from base map.

3. Land use Developed by NRSA6 from the satellite imageries, the forest boundaries further rectified for the legal boundaries from the Forests Survey of India maps, toposheets of SoI and maps from forest department of the State.

4. Agricultural use and capability map

Extraction of the single and double crop land from the landuse map.

5. Physiography GIS enabled spatial analysis from the SoI topography map.

6. Drainage Extraction of the drainage lines from the SoI topography map and the water bodies from the landuse map.

7. Wastelands Extraction from the landuse map.

8. Existing industries and mines

Digitisation of the available data.

5 Survey of India 6 National remote sensing agency

Physicalcharacteristicsof the District

Air Quality map Surface water use map Ground water use map

Landuse Map

Ground water quality map

Sensitive zones map

Agricultural use and Surface water quality mapcapability map

Ground water potential

Aerial sensitivity map map

Physiography Map

Surface water flow map

Dispersion sensitivity Infilteration rate map

map

Drainage Map

Wastelands Map

Existing industries and

mines map

Sensitive Zones

Sites for industrial estates

Search areas for disposal ofhazardous waste and land

disposal of effluents

Zones for industries/pollutingactivities

Groundwater pollution sensitivity map

Risks due to siting of air Risks due to siting of water Risks due to siting of ground

Ground waterpollution sensitivity

polluting industries polluting industries water polluting industries

Air pollution sensitivity

Air pollution sensitivity map

Surface water pollutionsensitivity

Surface water pollution sensitivity map

Wastelands

Figure 1: The GIS model for industrial suitability

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The positive planning

The overlapping negative and positive planning

Figure 2 contd�

S.No. Map Preparation Unsuitable zones (the preliminary study of the district)

9. Sensitive Zones map Digitisation of the sensitive areas such as reserved forests/protected/other forests, degraded forests, wild life sanctuaries, monuments, high physiography areas, tourism spots, rivers/water bodies, organised bathing areas etc. from available data or extraction from the characteristic maps.

Air pollution related maps (the overlapping negative and positive planning approach) 10. Air quality Digitisation of the low and medium quality zones based on the air

quality levels, sources of pollution, public complaints and field observations.

11. Aerial sensitivity Selection of features from the sensitive zones map, providing desired buffers to those features and designating high, medium and low areas.

12. Dispersion sensitivity Buffering around the dispersion sensitive areas and designating high, medium and low sensitive areas.

13. Air pollution sensitivity Overlay of the Aerial sensitivity and Dispersion Sensitivity maps.

14. Risks due to siting air polluting industries

Superimposition of sensitive zones map on the air pollution sensitivity map.

Surface water related maps (the overlapping negative and positive planning approach) 15. Watershed Derived from the drainage map.

16. Surface water use sensitivity

Assignment of high, medium or low zone to the watersheds based on the factors such as feeding to drinking water sources, organised outdoor bathing, propagation of wild life and fisheries etc., dependance on surface water sources.

17. Surface water quality Manual digitisation of the high, medium zones based on the existing water quality, sources of pollution, public complaints and field observations.

18. Surface water flow Assignment of high, medium or low zone to the watersheds based upon the flow in the rivers they discharge into and the distance from them.

19. SW pollution sensitivity Overlay of the surface water use, surface water quality and the surface water flow maps.

20. Risks due to siting of water polluting industries

Superimposition of the �Sensitive zones map� on the �water pollution sensitivity map�.

Ground water related maps (the overlapping negative and positive planning approach)

21. GW use Demarcation of high, medium and low zones based on the groundwater usage in the area.

22. GW quality Manual digitisation of the high, medium zones based on the existing ground water quality, sources of pollution, public complaints and field observations.

23. GW potential Demarcation of high, medium and low zones based on the groundwater availability. It is prepared with the help of hydrogeomorphological map of NRSA.

24. GW table Demarcation of high, medium and low zones based on the groundwater depth.

25. Infiltration rate Demarcation of high, medium and low zones based on the groundwater infiltration rate.

S.No. Map Preparation

26. GW pollution sensitivity Overlay of the groundwater protection needs (result of the overlay of the groundwater use map, groundwater quality map and groundwater potential map) and groundwater contamination risk (result of the overlay of groundwater table and infiltration rate map)

27. Risks due to siting GW polluting activities

Superimposition of the �Sensitive zones map� on the �ground water pollution sensitivity map�.

Alternate sites/zones (the positive planning approach)

28. Industrial suitability map (based on environmental considerations only)

Overlay of the air pollution sensitivity map and the water pollution sensitivity map that describe the high/medium/low risk zones for location of air/water polluting industries. The result is the risk zones for all possible combination of air and water polluting industries.

Figure 2: The maps included in the Zoning Atlas

Final Outputs The end result is the industrial suitability map (Refer Figure 3), the output of the overlay of risks due to siting of air polluting industries map and risks due to siting of water polluting industries map. Here the sites available for various types of industries (air and water polluting with the possible combinations) have been arrived at on the basis of risks associated with siting of those industries. For the purpose of assignment, the industries (air and water) are classifed into three categories, viz. high (A1/W1), medium (A2/W2) and low (A3/W3) polluting and defined according to the pollution generation potential. The high pollution generating industries are suited to low risk zones and vice versa. The medium pollution generating industries are assigned to medium risk zones. Four types of zones have been identified in the district, which may be considered for locating the categories of polluting industries as below. Zone 1 (AhWh): Suitable for industries with very low pollution potential (A3 and/or W3) based on micro-level studies.

Zone II (AhWm): Based on micro- level studies, siting of industries with very low air pollution potential (A3 Category) and/or medium or low water polluting potential w2/w3 category) may be considered.

Zone III (AhWl): Suitable for industries which are water polluting in nature (W2/W2/W3) but not having any type of air pollution potential (A1/A2/A3), based on local conditions.

Zone IV (AmWm): Suitable for industries having medium and/or low air pollution potential where impact is not likely to exceed 2 km (A2 category and/or A3 category) and/or having medium or low water pollution potential (W2/W3 category).

Figure 3: The final industrial suitability map Besides above, the risks due to siting of ground water polluting activities map provides the search areas for identification of hazardous waste disposal sites. In continuation of the Zoning Atlas study, the Industrial Estate Planning studies are taken up at a micro-level (1:50,000 and lower) to come up with sites for industrial estates, suggest waste disposal points and provide suggestions on control of surrounding land uses. This study is helpful to the Industrial Development Corporation and the Industrial Department in properly locating the industrial estates and in providing the needed pollution abatement infrastructure.

CASE STUDY II : LOCAL COMPREHENSIVE PLANNING OF THE NEW JINCHENG TOWN, JINNING COUNTY, KUNMING, CHINA This study was undertaken in 2003/2004 by IRL7, ETH Zurich, in the context of the KUDPTM8. It develops a local comprehensive plan for a new town aimed as a prime touristic city of regional importance. It devises a judicious use of land and its resources integrating urban area with its rural hinterland. The project has already completed and the final draft report submitted to the concerned planning authorities in December 2004. It is foreseen to serve as a guiding tool for the local Chinese planning authorities for the elaboration of corresponding Masterplan. Introduction Kunming, a national level historic town and the capital of Yunnan Province in southwestern China, tends to develop towards a "megacity" with typical pressures. For dealing with the urban challenges of Kunming, the Kunming Authorities adopted a concept of "One Lake and Four Cities" (figure 4), where four high density towns - Kunming, Chenggong, Jincheng and Kunyang/Haikou around Dian lake, will be developed along a Rapid Sub-urb Railway system. Under the above concept, Jincheng, the old historic town, located at about 39 kms from Kunming and well connected with the neighboring areas, is envisioned to be developed as a new type tourist resort town with a group development mode depending on the convenient traffic superiority, mountain-and-lake-neighboring natural environment and profound historical cultural background. The project �Local Comprehensive Planning of the new town Jincheng� has been conceived for establishing this town, on a sound planning base, which shall demonstrate the sustainable development and serve as an example for other cities. It aims at preparing a conceptual guiding plan for comprehensive development of the new town.

Figure 4: The new urban concept �One lake and four cities� The specific objectives of the project are:

to study the existing conditions and evaluate with respect to the strengths and weaknesses of the area. to devise an optimal land function layout, an overall arrangement of each function of the city, with best utilization of

the available resources. to develop a land use control plan at sub-regional level, so as to have a guided development in the region and avoid

any incompatible landuses in the vicinity of the new town. to develop the local guiding plans for landuse structure, transportation, tourism, water management and communal

facilities, supporting the introduction of practical, non-conventional and innovative practices for urban management. to develop guidelines for further planning and integration of the plan into higher level plans. to introduce innovative and practical techniques for adoption at all levels. The town is planned to accommodate a total population of 750,000 in 2020. The overall identity is conceived as a sub- city network where the town will be a network of sub-cities with an efficient linkage and a spatial cohesion. In the study, the new innovative and practical approaches are complemented with the latest mostly realistic analysis techniques and presentation skills. Approach A simple and straight forward method is adopted that involves a detailed study of the existing situation for identification

7 Institute for Spatial and Landscape Development 8 Kunming Urban Development and Public Transportation Masterplan (under Kunming-Zurich partnership)

of potentials and constraints and available opportunities alongwith the risks associates, assessment of the future needs, development of a landuse control plan at sub-regional level and five local guiding plans for settlement structure, transportation, water management, tourism and communal facilities at local level, and finally recommending the next steps. Again as in the first study, a negative and positive planning approach is followed. In the negative approach, all the areas which can be attributed to exclusively to one certain zone and which should be spared from development are defined first such as agricultural land, environmentally sensitive areas, etc. and the remaining areas, generally suitable for development are further considered in the positive approach, where all the areas and locations which are particularly adapted to a certain kind of function (e.g. settlement zone, industry zone etc.) are attributed to respective zones according to the suitability and the adopted planning principles, in a second step. In addition to this negative and positive approach, a more scientific - the problem and goal oriented approach has been chosen. The detailed study of the area for problems and constraints make a basis for the proposal for future development of the GKA, hitting the goal directly. The Geographical Information System (GIS) has been employed for analysis and presentation of the information. The method includes building an extensive database from available data, satellite maps & digitization, designing the data and establishing relationships (topology), presenting results of analysis in the form of maps, integrating maps with photos, graphs etc. and finally incorporating them into the report. The range of GIS functions used in the study are as below. Data capture

Digitisation, scanning, conversion, editing etc. Building a GIS data base

Data structuring Grid based vs. triangulated (TIN) alternatives Vector and raster manipulations Cartographic generalization

Analysis Map algebra in suitability analysis Reclassification and overlays Multicriterion evaluation Mathematical and statistical operators Quantitative analysis of points, lines, areas, surfaces etc. Distance and buffer function Transformation of data Data classification Digital terrain analysis � topographical functions Derived mapping � gradient, aspect, zones of visibility etc. Querying of data bases

Modeling Landuse zoning

Site Suitability Analysis A site suitability analysis (the negative planning approach) is performed as a first step to demarcate the suitability zones for development and the protection zones at a sub-regional level. The objective is to save the agricultural land from development as much as possible and claim the best suitable land for development causing least ecological damage. The site suitability analysis is a six stepped procedure given below. 1. Identification of the layers of input data, defining the set of geographic features

Basing on the availability of information and a general understanding of the area with regard to the available landform, geological structure and natural calamities, the parameters influencing the selection of land for settlement development are selected.

2. Creation of a data base The electronic data base is created for the selected parameters through:

Collecting data from a variety of sources and formats Constructing the data where required Converting all the data sets into raster form Creating various layers of information Making sure that all the layers are of adequate quality and are in the same coordinate system.

3. Adjustment of the dataset The spatial analyst functions are applied to derive datasets in the desired form for suitability analysis e.g. the slope is derived from elevation set, distance from the important inclusions derived from the location map of the inclusions, distance from touristic spots from the location map of touristic spots, etc.

4. Reclassification of the datasets In order to combine the various datasets are set to a common scale. That common scale is how suitable a particular location is to the development. Each dataset is reclassified within the range 1-8, giving higher values to attributes within each data set that are more suitable for development of the new town.

5. Weighing and combining datasets Since all the datasets are not equally important, they have been weighted, given a percentage influence. The higher the percentage, the more influence a particular dataset has in the suitability model.

6. The selection of the suitable zones The result of the above steps is the suitability map for settlement development with suitability values ranging from 1 to 8. The higher the value, higher is the suitability. The values ranging from 5-8 are selected for considering the development, the zones with values 7-8 indicating the most suitable areas (dark green color in map), with values 6-7 indicating moderately suitable areas (medium green color) and the ones with values 5-6 indicating the less suitable areas (light green color). Refer the last step in figure 5.

Figure 5: The GIS Model for site suitability

The zones identified as suitable as per the suitability model are further analyzed for assignment of suitable areas for various types of development in the positive approach of planning, which has lead to the final outputs. Final Outputs I Landuse Control Plan for Jincheng Sub-Regional Area: At sub-regional level, a land use control plan (figure 6) is built as an instrument towards protection of the new town from incompatible uses and conservation of the important resources. Six broad zones are demarcated as below. Urban development zone: demarcated based on the site suitability analysis, suitable areas further rectified according to qualitative judgement of various aspects.

Sub-Development Zone � Industry: demarcated from within the demarcated urban development zone, based on the spatial, economic (accessibility etc.) and environmental considerations.

Sub-Development Zone � Tourism: demarcated based on tourism potential analysis and environmental considerations.

Development Fee Zone: Interception of buffers (2-3 kms) between the sub-cities with a purpose to prevent from merging in future.

Ecological Resource Protection Zone: Encompassing the environmental resource areas needing protection such as forest, mountains, lakes, minerals etc.

Buffer Zone: Desired buffers are given around/along certain specific features outside the Ecological Resource Protection Zone

Agricultural Protection Zone: Encompassing the prime and other agricultural land

Figure 6: The landuse control plan II Local Guiding Plans:

Five local guiding plans are prepared as given below.

1 Settlement Structure Guiding Plan The settlement structure guiding plan lays down the spatial development of the sub-cities in their urban context as well as the planned urban tourism development areas until 2020. It demarcates and coordinates the different space relevant functions in the urban development areas. Refer figure 7. The settlement area for the three sub-cities are already demarcated under development zone in landuse control map. Various landuse zones are marked according to the adopted planning principles and parameters using arcgis

Figure 7: The settlement structure guiding plan (2005-2020)

spatial analyst functions such as buffers, distance analysis, and editing tools for more refined and accurate demarcation of the boundaries. 2 Transportation Network Guiding Plan

The transportation network guiding plan devises how the planned sub-cities and tourism areas, as well as the existing rural settlements are going to be tapped and interconnected phase-wise until 2020. The delineation of the railway line is based on the multi criteria evaluation enabled by cost weighted analysis of arcgis spatial analyst. Various influencing factors such as topography, landuse etc. are considered for the alignment. The grid layout of the roads is laid with the help of diverse editing tools for the more accurate alignment of the roads and interception of desires areas between two roads. 3 Tourism Guiding Plan

The tourism guiding plan presents an overview on the spatial allocation of the existing and future potential tourism spots and shows how they are going to be developed, interconnected and linked with corresponding tourism areas, the three sub-cities and existing rural settlements in the four project communes during the two development phases I (till 2015) and II (2015-2020).

The integration of tourism spots into coherent tourism areas, the laying of the landscape corridors along water channels, the assignment of preference order to the tourist spots, the phasing of tourism areas, alignment of tourist bus line, etc. are all enabled by various editing, analysis, spatial analyst, statistical and linear referencing tools of arcgis 9.0.

Figure 8: The tourism guiding plan (2005-2020)

4 Infrastructure Guiding Plan

The infrastructure guiding plan presents the spatial allocation of main water and wastewater treatment facilities in the urban and rural areas of the four study communes (electricity and gas excluded). The water mains and sewer lines are aligned using the editing functions, distance analysis functions of spatial analyst, buffering, etc. The placement of water treatment and waste water treatment facilities is utilising basically the editing tools and a few analysis tools for distance measurements.

5 Communal Facilities Guiding Plan

The plan allocates and coordinates communal facilities of sub-regional and local importance in Majinpu, Jincheng and Shangshuan sub-cities. The location of various facilities (sub-regional and local level) is marked using the editing tools and analytical tools. Conclusion As is evident from the above descriptions, GIS functionality has made both the case studies very effective and proven a great help in not only carrying out the analysis for desired results in a more accurate and realistic manner, but also in putting the information in a easy to understand way. Though there have been limitations of GIS as well such as the various analytic functions of GIS used in the studies as the conversion of data from one form to another (vector to raster, rater to vector, etc.), derivation of one data from another, overlaying of the spatial information etc. are

inadvertently associated with certain loss of information accuracy, yet looking at the benefits, the GIS contributions far outweigh the losses. Further, both studies base on a similar planning approach and match in their use of GIS technology, thus, also symbolise a unity in diversity and imply the importance of GIS in the world of spatial planning on a global level. The ability of GIS program to overlay spatially referenced data sets and contrast and compare their attributes is the common and important utility tool for the two studies. References Dr. B. Sengupta, Mr. N.K. Verma, Mr. N. Raghu Babu, Mr. Anand Kumar, Mr. Ajay Raghava, Ms. Suman Rana; Zoning Atlas for Siting of Industries, Sirmour District, Himachal Pradesh; ISBN No. : 81-86296-81-1; Central Pollution Control Board, Delhi, India, October, 1999

The manual on industrial estate planning study; Central Pollution Control Board, Delhi, India.

Dr. Jacques P. Feiner, Mi Shiwen, Diego Salmerón, Barbara Schultz; Risks and chances of spatial planning in the People`s Republic of China; Division for Landscape and Environmental Planning, LEP, ORL Institute, ETH Zurich, Switzerland, July, 2002.

Diego Salmerón, Suman Rana and Dr. Jacques P. Feiner; Local comprehensive planning- The new town �Jincheng�, Kunming, China

GKA Development Vision, Revised report, 1999

Greater Kunming Area, Regional Development Scenarios� (ORL, 2000)

International Competition Document on Conceptual Planning Proposals for Southern and Western New Towns, Kunming City Planning Bureau, October, 2003.

Concept Design of Kunming`s South & West New Cities Beyond 21st Century, Stantec Consulting International Limited, December, 2003

ESRI Manuals on ArcGIS9.0 for spatial analyst and 3d analyst H.N.Vanlier, P.D. Taylor; New challenges in recreation and tourism planning; ISBN: 0-444-89849-2; Developments in landscape management and urban planning, 6D; Netherlands, 1993. Biography of the author

Suman Rana is a researcher at the Division of Landscape and Environmental Planning (LEP) of the Institute for Spatial and Landscape Planning (IRL) at Swiss Federal Institute of Technology (ETH) in Zurich. Her academic, professional and research interests include urban and environmental planning and management, the sustainable development issues, landuse planning and geographic information systems (GIS). She holds a Masters degree in town planning with specialization in environment from School of Planning and Architecture, Delhi, India and a B.Tech degree in Civil Engineering from Regional Engineering College, Kurukshetra, India. In the nine years of her professional career (starting from 1997), she has a diverse experience of working with private, public and non government organisations (NGO), on various environmental and socio-economic sustainability related projects at regional, sub-regional and local levels. A major part of her experience collates from working with Central Pollution Control Board, an apex regulatory body under Ministry of Environment and Forests, Delhi, India, where she was heading a project implementation group for Zoning Atlas programme (a nation-wide spatial environmental planning programme) in the northern and western parts of India. For some time, she was also as an independent consultant to Sardar Sarovar Punarvasahat Agency (SSPA), a rehabilitation agency for one of the biggest dam projects in India, the Sardar Sarovar project. Her exposure even includes working as a civil engineer and a lecturer though for a brief period.

Since last two years, she has been working with IRL Institute of Swiss Federal Institute of Technology, Switzerland as technical and GIS collaborator on their Swiss and China projects.

Contact:

Division for Landscape and Environmental Planning Institute for Spatial and Landscape Planning ETH Hoenggerberg CH - 8093 Zurich e-mail: rana@nsl.ethz.ch Tel: 004116333788