Essay 4 - Project Implementation

ESSAY4 PROJECT IMPLEMENTATION Conflict of Interests in Urban Renewal Real Estate Development in Lao Cheng Xiang, Shanghai

FEILIU HUANG MPhil in Architecture and Urban Design Department of Architecture Girton College University of Cambridge

CONTENTS

Glossary, Abbreviations and Acronyms List of figures 0. Introduction

6

1. Strategic Overview of Project 1.1 Project Proposal 1.2 Implementation Overview

8 9

2. Social and Political Background 2.1 Development of China ‘s Real Estate Industry 2.2 Housing Affordability 2.3 Spatial and Social Segregation

11 12 16

3. Existing Planning Constraints 3.1 City Scale Planning and Conservation Policies 3.2 District Planning of Lao Cheng Xiang 3.3 Regulatory plan of the site (Plot 221b-01)

21 25 27

4. Alternative Development Models 4.1 Public Finance (Chongqing model) 4.2 Public-Private Partnership (Beijing Model) 4.3 Private Finance (VANKE Model) 4.4 Community Land Trusts

30 31 32 33

5. Project Delivery Strategy

34

6. Project Design Brief 6.1 Schedule of Accommodation 6.2 Shared Space Organization 6.3 Material Suggestion

39 40 41

7. Conclusion

42

Bibliography Appendix

1

GLOSSARY, ABBREVIATIONS AND ACRONYMS

CCP City Comprehensive Plan CDP Constructive Detailed Plan CLT Community Land Trust EAH Economic and Affordable Housing FAR Floor-Area Ratio FYP Five Year Plan HPF Housing Provident Fund Hukou Residence Permit Lao Cheng Xiang a historic district in central Shanghai LIHTC Low-Income Housing Tax Credit LRH Low-Rent Housing m2 square meters PIR Price-to-Income Ratio PPP Public-Private Partnership PRH Public Rental Housing RDP Regulatory Detailed Plan RMB renminbi SUPDRI Shanghai Urban Planning and Design Research Institute UDRUR Urban and Resilience Management Unit UPLRB Urban Planning & Land Resources Bureau VANKE A private housing development company Yuyuan A historic Chinese Garden

Currency Equivalents Exchange Rate Effective March 12, 2017 Currency unit = renminbi (RMB) British£ 1.0 = RMB 8.42 British£ 0.12 = RMB 1

2

LIST OF FIGURES

fig.1

Location of the site

fig.2

Triangle of Interests

fig.3

Urban Fabric in Central Shanghai

fig.4

Isometric diagram

fig.5

Implementation diagram

fig.6

Urban Housing System Changes and Reform Policies

fig.7

Existing Affordable Housing Schemes in Shanghai

fig.8

PIR of selected cities in 2013

fig.9 PIR in Shanghai, 1995–2008, by income category fig.10 Property information of gated communities in Lao Cheng Xiang fig.11 Tenure-based segregation in Lao Cheng Xiang fig.12 Social and Spatial Implications of Urban Upgrading fig.13 Vanishing of street life in Lao Cheng Xiang fig.14 The comprehensive plan of shanghai metro-region (1999-2020) fig.15 Twelve historic and cultural districts in central Shanghai fig.16 Zoning Plan of Huangpu District fig.17 Regulatory Plan of the Site fig.18 Proposed project on the site fig.19 Comparison between four development models fig.20 Project roles diagram of Chongqing Model fig.21 Project roles diagram of Beijing Model fig.22 Project roles diagram of VANKE Model fig.23 Project roles diagram of CLT Model fig.24 Project Plan of Work fig.25 Massing Studies on plot area ratio fig.26 Project Technical Index fig.27 Schedule of Accommodation fig.28 Diagram of shared space organization fig.29 Facade concept fig.30 "designed to live together"

3

Yuyuan Metro Station

City God Temple Site

Shanghai Old Street

4

Shanghai Tower

The Oriental Pearl Tower

The Bund Yuyuan Garden

fig.1 Location of the site

Huangpu River

5

0. INTRODUCTION

Being one of the most expensive cities in China, Shanghai’s housing affordability always attracts much concern of researchers and the public. According E-House China R&D Institute, the Housing-Price-to-Income Ratio of Shanghai reached 22 in 2016, which fell in the category of severely unaffordable according to the UN-Habitat standard. Due to the rocketing housing market, more and more Shanghai dwellers, especially the lower-income groups and urban migrants are challenged by continuously rising housing prices (Sun, 2011).

At the same time, the local government’s revenue is highly dependent on the real estate industry due to china’s unique Land bidding and Auction system (Ding et al., 2011). It results in a strong interest link between the municipality and developers. The municipal government is often criticized to be profit-driven and the interest of the general public has been largely neglected (Shin, 2009). In the triangle of interests, the municipality tends to tilt the balance in favour of the developers for its own benefit as shown in fig.1.

When it comes to urban regeneration in the city centre, the conflict of interests becomes more intense. Due to the high cost of the land transfer, the developer often tends to develop high-end residential communities at the market rate to maximise the profit. In general, the Local authority does not provide developers any financial subsidies to encourage them to include affordable housing in the new projects (Man, 2011).

In many cases, it is nor affordable at all for the original residents (mostly from the lower-income group) to purchase or rent housing at the same location that they used to live prior to the renewal projects in spite of the substantial relocation compensation that they received (Sun, 2011). As a result, the newly-built developments leads to both physical and social segregation in central Shanghai (fig. 2).

The site of the project is located in Lao Cheng Xiang, a historic area in central Shanghai, which is under the process of urban renewal. The project is proposing a new residential typology that serves mixed-income groups with retails and community space, which also integrates with the historic urban fabric.

With the review of four existing development mechanisms, the essay proposes a public-private partnership model, which aims to negotiate among the interests of the community, the developer and the municipality under the existing planning policies and municipal Public Rental Housing (PRH) scheme.

With both public rental housing and commodity housing, the model attempts to be financially feasible considering existing and potential funding strategies.

6

Residents

Municipality

Developer

Residents

Architect

Municipality

fig.2 Triangle of Interests

Developer

fig.3 Urban Fabric in Central Shanghai

7

1. STRATEGIC OVERVIEW OF PROJECT

Residential Block

Retail and Communal Space

Urban Context

fig.4 Isometric diagram

1.1 PROJECT PROPOSAL The project is proposing a mixed-use living typology located in Lao Cheng Xiang, central Shanghai, which provides public rental housing as well as commodity housing for a wide range of income groups. At the same time, the project also contains a certain level of public character and provides communal facilities to the residents and surrounding neighbourhoods.

The first objective of the project is to create an inclusive living environment of good quality, which provides various types of units and multi-functional shared space. Regarding the urban aggregation of population and the large demand of housing supply, the project aims to explore the challenges and possibilities brought by high density.

The second objective of the project is to deal with the gradual disappearance of the urban life on the site due to the urban renewal process and newly-built high-end real estate developments. Through the case study of the alleyway house - a historic living typology once dominant in Shanghai, it shows that one essential element for the vibrant urban activities is the shop house facing the urban street. The second character is the different layers of alleyways that allow access to each house with a progressive level of privacy. Therefore, the project tries to learn from this traditional typology and proposes a vertical mixed-use neighbourhood with various levels of shared space.

Although traditionally urban activities mainly happen on the Located in such a central location with tourist attractions in ground level, the project tries to bring them up. The project a walking distance, the project aims to provide a certain char- aims to provide a possibility that a residential community can acter of openness and sociality, which serves not only its own also be a form of public infrastructure. residents, but also the whole neighbourhood and the general public.

Through the overall analysis of historic transformation of living forms in China, it can be seen that there has been a long tradition of collective living in China. However, the dominant residential model now, the gated community, has lost the core value of close-knit neighbourhood, in spite of its enclosed physical form, which has also caused social and spatial segregation in urban environment. It is a residential form neither friendly to its residents nor beneficial to the whole city. The newly published suggestion stating “no more gated communities� from the state council demonstrates an urgent need for a new residential typology.

8

Policy making and overall planning

development and construction

Municipal Land Resource and Housing management Bureau

Private Developer

Private Developer

Municipal PPR Administration Bureau

commission

commission

commission

commission

Design Team

Design Team

Property Management Company

PPR Management Company

consultation

consultation

monitor

Community

Community

Residents' Executive Committee

Daily Management

fig.5 Implementation diagram

1.2 IMPLEMENTATION OVERVIEW Due to the close-knit benefit relationship between the municipality and developers, the local authority tends to make policies biased towards the interests of developers. As a result, the current mechanism of urban renewal in central Shanghai tends to neglect the interest of the urban residents, especially the lower-income group with absence of community involvement in the whole process.

in charge of the daily management while a state-owned PRH management company is commissioned to run the PRH, including tenant selection and rent collection. Both companies are functioning under the monitoring of the residents' Executive Committee.

The core objective of the implementation model is to get the community, the developer and the municipality involved in In order to balance the interests of the community, the devel- each stage to ensure the interest of each side’s. The design team oper and the municipality, the essay is proposing a public-pri- acts as the link in the middle, using the power of planning and vate partnership model combining urban regeneration and af- design to provide a better living environment. fordable housing, which as a result provides both public rental housing and commodity housing with communal functions and public space.

The municipality is in charge of the overall planning and policy making, which can fit in the existing regulatory plan of Lao Cheng Xiang and the district scheme of PRH. The design team is commissioned to provide urban design guideline with consultation of the community. Then the private developer gets the land through normal land auction procedure with governmental subsidies to develop the plot under the supervision of the municipality. The design team is then commissioned to provide a design proposal with consultation of the community. Afterwards, a private property management company is 9

2. SOCIAL AND POLITICAL BACKGROUND

Years

Main Policy Document

Socialist Welfare Housing Provision: 1949-1977

Policies and Orientation

1949-1957

Various

Regulation of the private rental market, rent control and confiscation of properties owned by warlords

1958-1977

Various

Nationalization of properties owned by large landlords; development and distribution of public housing by the government through work units as a welfare service.

Reform Experiments with Commercialization: 1978-1993 1978-1987 Various

Major period of expansion of public housing, particularly workunit housing. Pilot urban housing experiments in selected cities, aimed to diversify the welfare housing provision by restoring private property rights and encouraging individuals to share housing costs

1988

State Council 1988, Document No.11

Turning point of housing reform from pilot experiments to comprehensive implementation in all urban areas, aimed to realize housing commercialization according to the principles of a socialist planned market economy. Reform policies included rent increases in the public sector coupled with housing subsidies and the sale of public housing.

1991

State Council 1991, Document No.73

Aimed at increasing the housing investment from different sources, focusing on rent reform in the public sector, encouraging sales of public housing, increasing housing construction.

Move from Welfare Provision to Housing Market: 1994-1998 1994

1998

State Council 1994, Document No.43

State Council 1998, Document No.23

For the first time, policy aimed to establish an urban housing market: to change the housing investment, management, and distribution systems and to establish a two-track housing provision system, with social housing for middle- and low- income households and commercial housing for high-income families.

Ended direct housing distribution by employers and introduced housing cash subsidies to new and essential employees; created a diversified housing supply system with state-supported affordable housing as the main form.

Housing Market Formation: 1999~2006 2003

State Council 2003, Document No.18

Adjusted the affordable housing approach and promoted an extreme market system based on so-called ordinary commercial housing, in which majority of the urban population would rely on the market

2005-2006

Various

Housing affordability problem emerged, particularly among low-income groups; housing problems began to cause social and economic instability in cities; policies focused mainly on stabilizing urban housing prices through taxation and land and planning policies

Multiple Housing Provision Systems: Since 2007 2007

10

State Council 2007, Document No.24

Adjusted to the extreme market approach and re-emphasized the requirement of social housing provision.

fig.6 Urban Housing System Changes and Reform Policies

2.1 DEVELOPMENT OF CHINA ‘S REAL ESTATE INDUSTRY

Type

Target Group

Eligibility Requirement

For sale Economic and Affordable Housing (EAH)

Low-income “house-poor” urban households

residence permit (Houkou), income and asset threshold, living space per person threshold

Capped–Price Housing (CPH)

Low-to-middle-income and middle-income urban households

residence permit (Houkou), income threshold, without owned-home

For renting Low-Rent Housing (LRH)

Lowest-income “house poor” urban households

residence permit (Houkou), income and asset threshold, living space per person threshold

Public Rental Housing (PRH)

Wide range of urban population, including new migrants

no residence permit required, loose or no income threshold fig.7 Existing Affordable Housing Schemes in Shanghai

Since the establishment of People’s Republic of China in 1949, especially after the policy of reform and opening-up, China’s real estate industry has made a rapid development. The development of China’s real estate industry can be divided into the four stages according to the implementation of different housing policies during each period (fig. 5).

The housing reform in 1998 abolished work-unit housing, when the development of a market-oriented housing sector started to expand in urban China. Since then, the Chinese housing sector has experienced a building boom that has lasted until the present time (Chen et al., 2013). During the period 1998–2011, 9.3 billion square meters of housing were completed in urban areas of China (EIU, 2011). Thanks to the vast increase in housing supply, housing conditions for average households in urban China experienced significant improvements (Yang et al., 2014). According to statistics from China Statistics Yearbook, the average living floor space per capita in urban China had reached 32.7 square meters by the end of 2011, more than 4 times of that in 1978.

However, the successful growth of the urban housing stock through the market has been accompanied by a rocketing housing prices, making home purchase increasingly unaffordable for low- and middle-income households and, in particular, for urban migrants and young graduates (Chen et al. , 2010; Yang and Shen, 2008). At the same time, property wealth between different tenures and socioeconomic and demographic groups is also polarized by the housing market (Logan et al.

2010; Man 2011).

In order to deal with the problems of overheating real estate investment and escalating housing prices, the central government began to carry out a series of interventions to regulate the housing market (Hui, 2009). Since 2009 the Chinese central government has been delivering construction tasks to all municipalities of large-scale public housing projects (Wang and Murie, 2011). In spring 2011, the State Council announced ‘the 12th Five-Year Plan (FYP)’ (2011-2015), which promised to deliver 36 million units of public housing during the period. Within this trend the PRH programme has become a national housing policy priority (Chen, 2014).

As shown in fig.6, among major affordable housing schemes in Shanghai, the PRH programme is the only scheme open to non-hukou holders, but still with an eligibility condition of possession of a long-term residence permit. Regarding the inclusiveness of the project and the focus of the city's housing policy, the PRH will be the adopted affordable housing scheme included in the project proposal.

It is to be addressed that according to the current policy, PRH rental rates in Shanghai are only slightly lower than private rental market prices. From this aspect, PRH is a very selective programme with little consideration of the affordability problems of low-income group (Chen et al., 2014). Therefore, the effectiveness and affordability of PRH in Shanghai is to be questioned.

11

2.2 HOUSING AFFORDABILITY

20

Cities in China Cities outside China

10 7.3

0 Atlanta

Chicago

Dublin

Tokyo

Hohhot

Changsha

Chongqing

London

12

Chengdu

The housing price-to-income ratio (PIR) is one of the basic affordability measure for housing in an urban area that is used internationally. It is generally defined as the ratio of the median house price to the median family income. While there is no official indicators developed by the Authority in China, this essay mainly uses PIR as the approach to measure housing affordability in Shanghai. In the Global Urban Observatory Databases of UN- HABITAT , a ratio between 3 and 5 is considered normal or satisfactory. Figure 8 shows a comparison between a sampling of Chinese cities and some other metropolitans in the world in 2013, which indicates that Chinese cities are highly unaffordable. According E-House China R&D Institute, the PIR nationwide was 7.3, which fell in the category of “severely unaffordable”. Due to the market boost in 2016, the number increased dramatically and reached 7.6.

Auckland

Nanjing

Melbourne

Sydney

San Francisco

Vancouver

Shanghai

Hong Kong

Beijing

Shenzhen

In China’s largest cities, residential property prices rose by as much as 86 percent from 2008 to 2014 (Woetzel, 2015).

Although these figures fuel investment, they also signal an overheated industry and an affordable housing crisis in China’s cities. 60 percent of households in urban areas of more than 7 million people cannot afford basic housing at market rates in China (Woetzel, 2015).

fig.8 PIR of selected cities in 2013

Year

Mean

1995 1996 1997 1998 1999 2000 2001 2002 2003

8.0 8.6 8.0 8.0 6.6 6.7 6.8 7.9 8.1

2004 2005 2006 2007 2008

9.1 8.6 8.1 8.4 7.4

bottom 10%

40-60%

60-80%

80-90%

Top 10%

11.0 11.8 10.7 10.8 9.2 8.7 10.1 11.3 12.8

9.0 9.5 8.7 8.9 7.2 7.4 8.0 8.8 9.4

7.4 7.7 7.2 7.3 6.2 6.1 6.2 7.3 7.4

5.9 6.4 5.9 6.0 5.0 5.0 5.0 6.0 5.6

4.3 4.6 4.4 4.4 3.2 3.5 3.0 3.4 3.5

bottom 20%

20-40%

40-60%

60-80%

Top 20%

19.8 19.6 18.2 18.3 16.4

14.3 13.3 12.5 13.2 11.2

10.7 10.3 10.2 9.7 8.7

7.9 7.6 7.3 7.2 6.7

4.7 4.4 4.1 4.4 3.9

17.1 17.9 17.0 17.5 12.6 11.9 13.2 16.2 19.2

10-20% 13.0 13.9 12.9 12.9 10.4 11.0 11.2 13.5 15.3

20-40%

fig.9 PIR in Shanghai, 1995–2008, by income category

Shanghai has always been the most expensive housing market in China, which at the same time suffers severer housing affordability problem. Table 5 suggests that, throughout the period 1995–2008, market housing remains inaccessible for the overwhelming majority of residents. In 2010, the average residential price in the city reached RMB 20,995 per square meter and average housing unit price was RMB 2.6 million (Sun, 2011). In contrast, the average household disposable income per annum was only RMB 79,277. Given the 90-square-meter unit size, a typical family in Shanghai have to save all of their annual family incomes without any consumption for 11 successive years only to cover a down payment for a market-rate housing unit (Sun, 2011).

To be more specific about the site, fig.10 demonstrates the housing prices of residential communities in Lao Cheng Xiang. Thanks to the central location, it's one of the most expensive areas in Shanghai. However, the urban dwellers that used to live here in old housing units before demolition can never afford the newly built luxurious apartments.

13

Xin di Yuan 新地苑

Forte eLegant garden 复地 雅园

Shi Lin hua Yuan 士林华苑

shI lIn hua yuan 士林华苑

XIn DI yuan 新地苑 2

14

forte elegant garDen 复地 雅园 2

Average Property Value ¥55653 /m Housing Type one-bedroom - five-bedroom Unit Size 60 m2 - 248 m2

Average Property Value ¥53168 /m Housing Type two-bedroom - five-bedroom Unit Size 76 m2 - 300 m2

Average Property Value ¥58686 /m2 Housing Type one-bedroom - five-bedroom Unit Size 76 m2 - 300 m2

Construction Year 2007 Total Number of Households 721 Total Site Area 54500 m2 Total Floor Area 166819 m2 Plot Ratio 2.80

Construction Year 2001 Total Number of Households 465 Total Site Area 24415 m2 Total Floor Area 105000 m2 Plot Ratio 4.10

Construction Year 2004 Total Number of Households 480 Total Site Area 29800 m2 Total Floor Area 74200 m2 Plot Ratio 3.00

Jia ri apartment 佳日公寓

Sun CitY garden (South diStriCt) 太阳都市花园（南区）

sun cIty garDen (south DIstrIct)

Sun CitY garden (north diStriCt) 太阳都市花园（北区）

Jia Cheng apartment 佳成公寓

sun cIty garDen (north DIstrIct)

太阳都市花园（南区）

JIa rI aPartment 佳日公寓

太阳都市花园（北区） 2

2

Average Property Value ¥47497 /m Housing Type one-bedroom - five-bedroom Unit Size 70 m2 - 280 m2

Average Property Value ¥55808 /m Housing Type two-bedroom - five-bedroom Unit Size 81 m2 - 336 m2

Average Property Value ¥48356 /m2 Housing Type two-bedroom - three-bedroom Unit Size 70 m2 - 140 m2

Construction Year 1999 Total Number of Households 236 Total Site Area 9616 m2 Total Floor Area 34000 m2 Plot Ratio 4.50

Construction Year 2003 Total Number of Households 654 Total Site Area 13030 m2 Total Floor Area 43000 m2 Plot Ratio 3.30

Construction Year 1999 Total Number of Households 368 Total Site Area 12100 m2 Total Floor Area 24000 m2 Plot Ratio 1.98

fig.10 Property information of gated communities in Lao Cheng Xiang 15

2.3 SPATIAL AND SOCIAL SEGREGATION In Lao Cheng Xiang, the old traditional housing is often considered dilapidated due to the over-crowded living condition and the lack of kitchens and toilets. The units are often let out to migrants and low-income households (Wu, 2006). Despite their poor condition, these units are desirable options as they are the only affordable choice located within the urban core of Shanghai. However, they are also the primary targets for demolition under the inner-city upgrading program (The World Bank, 2014).

owners of old housing units already as a huge financial burden for the municipality, let along providing funds to include affordable housing in the new developments. As a result, even with substantial relocation compensation from the government, the original residents can never afford the housing price at the same location where they used to live (Sun, 2011). On the contrary, they are relocated to appointed places, which are normally in the suburbs (Wang, 2010).

Besides, almost all the newly built housing in Lao Cheng Xiang adopts the form of gated communities and it shows no spatial consideration to the existing historic urban context. The once lively streets full of food stalls and pedestrians have now becomes back alleys behind the new developments (fig. 11).

The urban upgrading tends to cause the vanishing of vibrant urban life and a trend of gentrification.

In Shanghai, 700 million square meters of houses were replaced and 280,000 households were relocated during the large scale urban regeneration between 2000 and 2005 (Sun, 2011). However, housing affordability is rarely in the concern of the urban renewal projects. Developers acquired the land or projects at the market rate, which were generally expensive due to the central location. Besides, the local government didn’t propose any policy to encourage developers to include afforda- In the long run, social stratification will be reinforced due to ble housing in the new projects (Sun, 2011). Moreover, the housing tenure-based segregation in China. Different social overheated real estate market increases the cost of relocating groups in urban China have began to concentrate in different 16

fig.11 Tenure-based segregation in Lao Cheng Xiang

housing areas (Li and Wu 2006; Wu 2007). During the process of urban regeneration, lower-income groups and migrants are forced to move from city centre to the periphery due to the demolition of old traditional housing (fig. 12). Neighbourhoods of old housing with poor quality are mainly lived in by residents of low social status such as urban migrants; in contrast, neighbourhoods of commodity housing mainly attract those with higher social status and better educational background. Those who are able occupy a better position in the distribution of market resources, such as intellectuals and professionals, will obtain a better residential status, while those marginalised, such as migrants and lower-income groups, will experience a decline in their residential status (Li and Wu, 2008).

Demolition of old traditional housing

New Commodity Housing

City Centre

low-income group and migrants

Suburbian

high-income group

fig.12 Social and Spatial Implications of Urban Upgrading 17

18

fig.13 Vanishing of street life in Lao Cheng Xiang 19

3. EXISTING PLANNING CONSTRAINTS

20

fig.14 The comprehensive plan of shanghai metro-region (1999-2020)

3.1 CITY SCALE PLANNING AND CONSERVATION POLICIES

According to the Urban and Rural Planning Law of the People’s Republic of China, urban planning is delivered through two levels of planning, Comprehensive Plan and Detailed Plan (National People’s Congress, 1989). The Comprehensive City Plan (CCP) is prepared by the municipality and sets out overview targets for the city’s urban planning objectives, typically with a horizon of 20 years. The objective of the plan is to “further control and define the use of land and determine the scope and capacity of each plot and to coordinate the construction of various items of public infrastructure and public facilities” (National People’s Congress, 1989).

Under the leadership of the Shanghai Municipal Government, "The comprehensive plan of shanghai metro-region (19992020)" was formulated by Shanghai Urban Planning and Design Research Institute (SUPDRI) in 1999 and was approved by the State Council in 2001 (Shanghai Municipal People ‘s Government, 2001).

"The comprehensive plan of shanghai metro-region (19992020)" is a legal document to guide urban development and construction of Shanghai. It is also the fundamental basis of implementation of urban construction and urban management. All the construction activities in Shanghai, formulation of zoning planning, regional planning and regulatory planning should be conducted according to the plan.

21

Historic and Cultural Districts Core Protected Area Protected Neighbourhood River

22

fig.15 Twelve historic and cultural districts in central Shanghai

Within the framework of CCP, the “Preservation Regulations of Historic and Cultural Districts and Historic Buildings of Shanghai City” was carried out on January 1, 2003, which confirmed twelve historic and cultural districts in central shanghai and put under them legal protection. The whole area of Lao Cheng Xiang was included under protection to preserve “traditional local culture” (Shanghai Municipal Planning and Land Resources Bureau, 2004).

This is the first local law regarding protection and adaptation of historic buildings in China (Ling, 2007). The regulations made clear the responsible executive departments and the general rules, which should be obeyed when any changes are made to districts under protection (Tsai, 2008).

However, when the protected areas is located in the city with high land value, the local government is under great pressure of the overwhelming development and new construction in the city. Resolving the conflict between development and preservation presents a large challenge, especially when the policy maker lacks the knowledge of the historic significance of historic heritage (Tsai, 2008) and the fiscal revenue of the municipality is bonded with the interests of developers.

23

24

fig.16 Zoning Plan of Huangpu District

3.2 DISTRICT PLANNING OF LAO CHENG XIANG

In the Chinese urban planning system, the CCP plans are further articulated within the Detailed Plans, which have two stages, the Regulatory Detailed Plan (RDP) and the Constructive Detailed Plan (CDP). This planning stage will stipulate comprehensive conditions for individual plots including building densities, heights, layouts and boundaries coordinates (Ladyman, 2012).

This top-down system with predefined development conditions attached to systematically catalogued development land enable the state to accurately control and supervise the production of an ordered urban environment (Ladyman, 2012).

However, the implementation of the planning policies are not possible without effective supervision of the municipal authority, especially when the local government heavily relies on land leasing fees for revenue to finance infrastructure and economic development.

In the late 1990s, Shanghai started to focus on urban regeneration in the city centre, which led to large scaled demolition and relocation. In order to finish the regeneration task from the central government as soon as possible, the municipality made huge concessions regarding planning regulations, which was the major cause of the disordered real estate developments with outrageous height and density in Lao Cheng Xiang (Wang, 2010).

25

26

fig.17 Regulatory Plan of the Site

fig.18 Proposed project on the site

3.3 REGULATORY PLAN OF THE SITE (PLOT 221B-01) The site of the project, Plot 221B-01 has been evacuated by the municipality for urban redevelopment since 1993. A Hong Kong real estate company once proposed a commercial project (fig. 18) on the site and the Yuyuan Garden station of metro line 10 was supposed to connect to the underground of the project but it has never been built. As a result, the site has been left empty until now for over 20 years.

Regarding the proposed project on the site, it can be seen that the requirement of PAR and height is not enough to ensure a project that gives enough concerns to the urban texture. The developer tends to maximise their profit, which results in ignorance of urban scale and the community’s needs. Therefore, in the implementation proposal, it suggests that the government provides a more detailed urban design guideline with consultation with the community to control and monitor the According to the DRP of Lao Cheng Xiang, the slot which development. used to be residential will be redeveloped for commercial uses, which will reduce the amount of housing supply in the city centre. It tends to aggravate the housing shortage in the area.

The project questions the rationale behind the zoning plan and proposes a mixed project with housing, retail and public infrastructure.

27

4. ALTERNATIVE DEVELOPMENT MODELS

28

Development model

Public finance (Chongqing Model)

Public-Private Partnership (Beijing

Planning Body

Municipal Land Resource and Housing management Bureau

Municipal Land Resource and Hous management Bureau

Development body

Specified State-owned Developer

State-owned or Private developer

Land Supply

Government Allocation

Land Auction

Fund Raising strategy

Central Government Funding Municipal Government Revenue Housing Provident Fund

Market Fund Raising Bank Loans Commercial Loans

Rental rate

60% of Market Rate

Market Rate Subsidies of 50%, 25% and 10% acco income

Eligibility

No housing or per capita housing area of less than 13m2 Loose or no income No Urban or Rural Hukou required

No housing or per capita housing are than 15m2 Strict restrictions of income and total Beijing Urban Hukou required

Management body

Municipal PPR administration Bureau

Municipal PPR administration Bure

Form of development

Cluster centralized development

Mixed with Commodity Housing

Housing tenure

Renting only for first 3-5 years, then can be sold with Restricted property rights

Renting only

Location

Mostly in the suburban area

Various

g Model)

ing

rding to a of less assets

au

Private finance (Vanke Model)

Community Land Trusts

Private developer, not included in the Municipal PPR scheme

CLT

Private developer

Various (housing associations, developers or self-built)

Land Auction

Gifted or Bought by community

Market Fund Raising Bank Loans Commercial Loans

Social investment fund Government grand Private finance

Monthly rent RMB 400/unit

Linked with local wages

Monthly income below RMB 2600 Without housing or car

Vary from community to community including how long a person has lived locally whether they have family or employment connections in the community whether they can afford the property

Self-organized Management Committee

CLT

Centralized construction

Various

Renting only

Shared ownership Equity Loan Resale Price Covenant Sales Renting Mutual Home Ownership

In the suburban area

Various

fig.19 Comparison between four development models 29

4.1 PUBLIC FINANCE (CHONGQING MODEL)

Policy Making and Overall Planning

Development and Construction

Daily Management

Municipality

State-owned Developer

Municipality

Municipal Land Resource and Housing management Bureau

Chongqing Land Group

Municipal PRH Administration Bureau

Chongqing City Construction Investment Group Chongqing Liangjiang New Area Development & Investment Group

fig.20 Project Role Diagram of Chongqing Model

selection, rent setting and collection (Zhou, 2012). The organized management can make sure the fairness of PRH distribution. Once purchased, the PRH can not be rented out or transferred to another individual or household. It can only be reclaimed by the PPR administration Bureau at the original rate plus interests. This restriction prevents PRH entering the Since 2003, the municipality has established a government-led housing market to secure its affordability. land supply mechanism and has reserved enough land for affordable housing and public infrastructure (Zhou, 2012). The Chongqing model requires the active involvement of the Thus, not like some other cities with shortage of land supply, municipality and adequate land supply. The form of large clusall the land required for the PRH construction are allocated by ter development can also lead to social segregation.

Chongqing municipality, which ensures the speed of development process. However, due to economic reasons, the location of the land is normally in the suburbs.

In Chongqing, the whole development process of PRH is restricted in the public sector, from the overall planning, development and construction to the daily management afterwards to ensure the affordability and effectiveness of PRH.

In terms of fund raising, the majority of the cost is covered by the central government fund and the fiscal revenue of the local municipality. Also, loans from banks, commercial organizations and Housing Provident Fund are also supporting the project. Thanks to the tenure policy that people can purchase the property after five years of renting, it takes less time to recover the construction cost. According to the planning, there will be 10% retail space of total area, which will help to reach the break-even point.

In 2010 the municipality established the PRH administration Bureau, which would be in charge of application review, tenant 30

4.2 PUBLIC-PRIVATE PARTNERSHIP (BEIJING MODEL)

Planning

Development and Construction

Daily Management

Municipality

State-owned or Private Developer

State-ownd Public Housing Agency

Municipal Land Resource and Housing management Bureau

State-owned or Private Construction Company

PRH company

fig.21 Project Role Diagram of Beijing Model

The development model of Public-Private Partnership is wide- try to lower the quality of the project in pursuit of maximum ly used in several cities in China such as Beijing and Dalian benefit (Zhou, 2012).

(Zhou, 2012).

Due to the shortage of land supply, Beijing Municipality includes PPP development model in the PRH to obtain the required number of units (Liu, 2012). Normally the municipality directly includes the percentage of PRH in the development requirement of a particular plot at the planning stage. In return, the developer will receive density bonus or tax credit. The land is acquired by a developer through the normal land bidding and auction process.

After the developer complete the development of the plot, the government will purchase the PRH units back at the cost rate and the units are managed by the state-owned PRH company.

It is a development model especially suitable for cities lack of land supply. The municipality avoids the huge loss in Land transaction and the process is less time consuming. At the same time, the mixed-class developments tend to avoid social stratification and the location of PRH can be various in the city with better supporting facilities and infrastructure.

However, it is argued that it is hard for the municipality to supervise the process of construction and the developer may 31

4.3 PRIVATE FINANCE (VANKE MODEL)

development and construction

daily management

Private Developer (not included in the municipal PRH scheme)

Private Developer

Tenant

Municipal Land Resource and Housing management Bureau

VANKE China

Self-organized Management Committee

Planning

fig.22 Project Role Diagram of VANKE Model

In year 2006, VANKE China started the Commune project in western Guangzhou, as an attempt to devise a feasible, sustainable, and replicable model for housing low-income people using resources from the private rather than public sector�

(Chen et al., 2013).

The project offers a particularly interesting case: a private-sector initiative, a new low-cost housing model, and proximity to a high-profile commodity housing estate. The municipality did not provide any subsidies for the project and VANKE obtained the land via normal land acquisition process by bidding and auction. The developer was also in fully charge of fund raising for the project.

In order to reduce the running expense, the tenants have established a Management Committee. The duty includes tenant selection and daily management (Cui, 2011). It also tends to create a stronger sense of community and creates a social bond among residents.

According to VANKE’s project appraisal, the total construction cost of the project was nearly RMB 46 million (lump-sum capital from the VANKE Corporate Citizenship Fund and revenue of the Guangzhou Branch Company). It is expected to take 25 years to reach the break-even point. VANKE set a target to make the Commune achieve financial self-sustaina32

bility at the end of 2008 (Chen et al., 2013).

The reason that few real estate developers invested in low-income housing is because of the limited profitability or even non-profitability (Cui, 2011). Such investment would contradict commercial tenets. For a private sector company, such development model seems unsustainable in the long term. This project is regarded more like a social experiment to examine the power of private sector to provide social housing (Peng et al., 2014).

4.4 COMMUNITY LAND TRUSTS

Planning

development and construction

daily management

Non-profit Community Corporation

Various

Non-profit Community Corporation

CLT

Housing associations Developers

CLT

Self-built

fig.23 Project Role Diagram of CLT

Community Land Trusts are a form of community led housing, where local not-for-profit organisations set up and run by ordinary people to develop and manage homes. The main objective of CLT’s is to make sure these homes are genuinely affordable, based on what people actually earn in their area.

out the whole process of PRH development. Nevertheless, it provides a good example how a community based non-profit corporation can get involved in the PRH supply. It shows possibilities of a more bottom-up approach to deal with the issue of housing affordability.

There are various funding sources for land acquisition, construction and daily management of the property including Government grand, local authority loans, social investment fund and private finance (National CLT Network).

Normally a design team or housing association is commissioned to design and construct the project. It can also be selfbuilt. Rather than large-scaled PRH developments in China, CLT usually conduct several different projects within a neighbourhood. Thus, there is little tendency for social segregation (Qiao et al., 2009).

The CLT is also responsible for daily management of its properties. The rental rate is set according to its local wage standard and the CLT aims to keep all the properties affordable to local people in perpetuity, rather than ever been sold onto the private market (National CLT Network).

There is no such model existing in the Chinese urban context since the involvement of the community is missing through33

5. PROJECT DELIVERY STRATEGY

Studies and Feasibility Analysis

Urban Design Guideline

Design Team

Municipality

Developer

Community

Fund raising

Land acquisition

Tender

Construction

Design Team

Municipality

Developer

Community

Design Team

Municipality

Developer

Community

34

Implementation Strategy

Schematic design

Sale, letting and marketing

Business Planning

Outline Construction Strategy

Handover and close out

Commissioning and Brief

Technical design

After-sale service

fig.24 Project Plan of Work

35

DEVELOPMENT MODEL The existing PRH developments in Shanghai are mainly in the form of public finance and cluster centralized construction.

Similar to other models in China, the top-down development approach lacks of community involvement.

Considering the feature of the site, the project proposes a PPP development model which combines urban upgrading and PRH scheme.

The Project is proposing a mixed tenure development in the large scheme of PRH under the lead of Shanghai municipality, when the government provides the developer Low-Income Housing Tax Credit and PAR bonus, the developer is in charge of land acquisition fee and construction a certain proportion of PRH within the development. After construction, the state-owned PRH company takes over daily management.

FINANCING STRATEGIES The development of the project is funded by both the public sector and the private sector. The central government provides special fund for affordable housing and the local municipality supports the project with its fiscal revenue. Housing Provident Fund can also be a financing source.

At the same time, the developer is responsible for the majority of fund raising through private financing. Bank loans and commercial loans are the major sources for real estate developments.

Normally it takes a rather long time for PRH project for capital recovery. In regards of this issue, the commercial retail within the project programmes is a sustainable means of profit.

At the same time, learning from the Chongqing Model, the PRH can be purchased at cost rate after five years of renting, which tends to make it faster to achieve the break even point.

LAND ACQUISITION Different from public financing PRH, when the land for construction use is directly allocated by the municipality, the developer obtains the land through bidding and auction as usual in this development model.

The “pepper potting� way of PRH construction is an effective approach to prevent social segregation, which also provides possibilities for affordable housing to be in the city centre.

36

URBAN DESIGN GUIDELINE One important stage of the project development is providing urban design guideline for the municipality as a monitoring approach for the project design at next stage.

As discussed before, the current planning system only provide index requirement such as PAR and height restrictions without spatial and programme guidelines. At the same time, the voice of the community is not counted either.

Within the framework of existing regulatory detailed plan, the design team is commissioned to provide a more specific instruction regarding the elements such as urban context, internal organizations, target groups, facade requirement and material selection to help integrate such project in the existing historic and social narratives.

RENTAL RATE AND APPLICATION ELIGIBILITY As discussed before, the current rent rates of PRH in Shanghai are only slightly lower than the market rates, which shows no concerns on the affordability of low-income groups. It also indicates why there is not a large demand for PRH regarding application numbers (The World Bank, 2014).

According to Wang, the residents that lived in the central city before relocation were generally low income households, 12.3% of which had a monthly income of less than RMB 1,000, 67% between RMB 1,000 to RMB 3,000 and 7% between RMB 3,000 to RMB 4,000 (Wang, 2010).

In order to provide possibility for in-place relocation, the rent rate is set to be 50% of the market rate taking Chongqing’s policy as reference. At the same time, there’s no restrictions of Hukou to include urban migrants in the target group.

DAILY MANAGEMENT The municipal PRH Bureau is in charge of PRH application, tenant selection management of the PRH property. Bureau is in charge of subletting, transferring and keeping the PRH property affordable without going into the housing market.

All the residents and retail owners together form the residents’ committee representing the right of the property users. A property management company is commissioned by the committee to take care of the daily operation of the buildings.

37

6. PROJECT DESIGN BRIEF

Building Height 144 stories Total Floor Area 129,600 m2 Plot Ratio 4.98

Building Height 90 stories Total Floor Area 129,600 m2 Plot Ratio 4.98

Building Height 56 stories Total Floor Area 129,024 m2 Plot Ratio 4.96

Building Height 45 stories Total Floor Area 129,600 m2 Plot Ratio 4.98

Building Height 28 stories Total Floor Area 129,024 m2 Plot Ratio 4.96

Building Height 15 stories Total Floor Area 126,360 m2 Plot Ratio 4.86

Building Height 33 stories Total Floor Area 128,304 m2 Plot Ratio 4.93

Building Height 25 stories Total Floor Area 129,600 m2 Plot Ratio 4.98

Building Height 40 stories Total Floor Area 129,600 m2 Plot Ratio 4.98

Building Height 20 stories Total Floor Area 112,320 m2 Plot Ratio 4.32

Building Height 16 stories Total Floor Area 124,416 m2 Plot Ratio 4.79

Building Height 13 stories Total Floor Area 126,360 m2 Plot Ratio 4.86

Building Height 50 stories Total Floor Area 129,600 m2 Plot Ratio 4.98

Building Height 27 stories Total Floor Area 127,332 m2 Plot Ratio 4.90

Building Height 19 stories Total Floor Area 127,224 m2 Plot Ratio 4.89

Building Height 15 stories Total Floor Area 126,360 m2 Plot Ratio 4.86

Building Height 13 stories Total Floor Area 124,488 m2 Plot Ratio 4.79

Building Height 25 stories Total Floor Area 126,900 m2 Plot Ratio 4.88

Building Height 19 stories Total Floor Area 127,224 m2 Plot Ratio 4.89

Building Height 15 stories Total Floor Area 127,980 m2 Plot Ratio 4.92

Building Height 12 stories Total Floor Area 121,824 m2 Plot Ratio 4.69

Building Height 16 stories Total Floor Area 126,720 m2 Plot Ratio 4.87

Building Height 12 stories Total Floor Area 122,256 m2 Plot Ratio 4.70

Building Height 14 stories Total Floor Area 122,976 m2 Plot Ratio 4.73

fig.25 Massing Studies on plot area ratio 38

6.1 SCHEDULE OF ACCOMMODATION

Total Site Area Total Floor Area On Ground Underground Building Base Area Building Height Number of Floors

21,630 m2 108,150 m2 17,500 m2 17,300 m2 30 m - 72m 2 - 24

Plot Ratio Site Coverage Intensity Green Area Green Area Ratio Number of Vehicle Parking Space Number of Bicycle Parking Space Number of Residential Unit

5% 80% 3,245 m2 15% 500 200 900

fig.26 Project Technical Index

Category

Spaces

Area (m2)

% of Total Area

Accommodation

Studio (35 m2) One-bedroom Apartment (60 m2) Two-bedroom Apartment (90 m2) Three-bedroom Apartment (120 m2)

64,890

60%

Assembly/Communal

Lobby Lounge Library Fitness Club Mahjong/Chess Room Day Care Centre

10,815

10%

Commercial

Restaurant Convenient Store Bookshop Cafe Bar Bakery Tea House Barber's Shop Grocery Store Pharmacy Dry Cleaner Beauty Shop

16,222

15%

Cultural/Tourism

Tourist Centre Suvenir Shop Gallery Youth Hostel Cinema Traditional Art School Exhibition Space Creative Incubator

16,222

15%

108,150

100%

Total Built-up Area (on ground) fig.27 Schedule of Accommodation

39

6.2 SHARED SPACE ORGANIZATION

fig.28 Diagram of shared space organization

In the existing form of residence the public and communal public space organization in the high density urban environspace is normally at the ground level. There is a clear function- ment. Nevertheless, the vertical circulations for residents and users of public space is separate for privacy. al separation between residential and other spaces.

While the project is proposing a high-density living typology, the shared space goes vertical as well. Regarding the spatial organization of public functions, they are constructed around vertical transportation core for easy access. Different public functions are also spatially connected themselves.

Actually, such functional structure already exists in Shanghai, while some residents informally replace the original residential function to commercial functions. A tea house can be located on the 11th floor while there is a beauty shop one level above.

As Airbnb gets popular worldwide, anyone’s home can also be a hotel room. The boundary between private and public space is becoming vague over the time.

The insertion of public space in the residential block gives mixed character to the tower, which shows a possibility of

40

6.3 MATERIAL SUGGESTION

fig.29 Facade Concept

In regards of building materials, the project is proposing recy- should find an architectural way to demonstrate its past in a converted new form. cling of used bricks for the construction.

Due to the large scale demolition for urban upgrading in Lao Cheng Xiang, there is a large amount of used bricks from old traditional houses. In terms of sustainability, it is environmentally friendly to recycle the used bricks. It is also an efficient way of dealing with demolition waste.

Due to the various conditions of the used bricks such as age and quality, they also present different texture. With composition of the material, the building facade tends to present a special character of materiality.

Furthermore, the representation of used bricks can also remind people of the history of the site. The process of urban renewal in Lao Cheng Xiang is inevitable, but it also means elimination of old memories and relocation of thousands of people.

As the original root of Shanghai city, Lao Cheng Xiang has its rich cultural and historic connotation. The new development

41

7. CONCLUSION

The real estate industry experienced rapid development after the privatization of the housing market in 1998 and has now become a pillar industry in China. At the same time, Due to the implementation of the new bidding and auctioning system of land transfer, the municipality has established its financial reliance on the real estate market and thus bonded itself closely with the developer.

While the overheated housing market leads to rocketing housing prices in urban China, it becomes severely unaffordable for most urban dwellers. However, the central government and the municipalities have not yet come up with a sustainable affordable housing model to provide enough housing for the majority of the population.

The essay defines a site in Lao Cheng Xiang in central Shanghai where is experiencing large scale urban development accompanying with demolition and relocation. On one hand, the rich culture and history of the area requires careful conservation. On the other hand, the increasing land value with great development pressure is also challenging the municipality. As a result, the amount of traditional housing is gradually decreasing, with the lower income groups used to live inside being forced to move out to the suburbs while they can never afford the new development at the same location. The urban renewal process indicates spatial social inequality between different income groups.

This essay proposed a PPP frame to combine the urban upgrading process and PRH supply in the historic area of Lao Cheng Xiang. The power of community is also introduced in the model, when the architect acts as the coordinator among the municipality, the developer and the community. With financing from both public and private sectors, this model runs in a sustainable way in the economic aspect.

However, the municipality’s initiative plays an magnificent role in the implementation of the process. Only with the strong control and supervision from the local government and the continuous participation and consultation of the community, the project can be developed to integrate with the historic context, while is inclusive to all groups of urban dwellers.

42

fig.30 "designed to live together"

43

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FIGURE CREDITS

Fig.3 http://media.gettyimages.com/photos/rooftops-of-old-neighborhoods-near-xintandi-in-central-shanghai-is-pictureid528829032 Fig.6 Sun, Linyun. "In search of an affordable Housing system for Shanghai, China." PhD diss., Massachusetts Institute of Technology, 2011.

Fig.7 Chen, Jie, Stephens, Mark, and Man, Yanyun. The Future of Public Housing: Ongoing Trends in the East and the West.

Springer Berlin Heidelberg, 2014. https://books.google.co.uk/books?id=Rt_vngEACAAJ. Fig.8 http://www.newgeography.com/content/004576-housing-affordability-china Fig.9 Chen, Jie, Qianjin Hao, and Mark Stephens. “Assessing Housing Affordability in Post-Reform China: A Case Study of Shanghai.” Housing Studies 25, no. 6 (November 1, 2010): 877–901. doi:10.1080/02673037.2010.511153.

Fig.11 http://map.baidu.com/ Fig.14 Shanghai Municipal Planning and Land Resources Bureau http://www.shgtj.gov.cn/xxgk/ghjh/201503/t20150306_649258.html Fig.16 Shanghai Municipal Planning and Land Resources Bureau http://218.242.36.250/News_Show.aspx?id=9496&type=1 Fig.17 Shanghai Municipal Planning and Land Resources Bureau http://218.242.36.250/News_Show.aspx?id=8016&type=1 Fig.18 http://www.cube-architects.com/UserFiles/image/DownFile/20141213140755449.JPG

47

APPENDIX I DEMOGRAPHICS

>

20000 people / km2

5000 - 20000 people / km2 PoPulatIon DensIty 人口密度

48

1000 - 5000 people / km2 <

1000 people / km2

>

50%

40% - 50% ImmIgrant PoPulatIon 外来人口

20% - 40% <

20%

49

>

40%

20% - 40% Permanent PoPulatIon growth rate 常住人口增长率

50

0% - 20% <

0%

APPENDIX II HOUSING PRICE AND SUPPLY

>

¥50000 /m2

¥20000 - ¥50000 /m2 new housIng PrIce 新房房价分布

¥10000 - ¥20000 /m2 <

¥10000 /m2

51

>

¥50000 /m2

¥20000 - ¥50000 /m2 seconD-hanD housIng PrIce 二手房房价分布

52

¥10000 - ¥20000 /m2 <

¥10000 /m2

>

500

200 - 500 seconD-hanD housIng suPPly 二手房供给量

100 - 200 <

100

53

>

¥100 /month /m2

¥50 - ¥100 /month/m2 gross rental PrIce 租金分布

54

¥20 - ¥50 /month/m2 <

¥20 /month/m2

>

500

200 - 500 rental housIng suPPly 出租房供给量

100 - 200 <

100

55

Feiliu Huang March 2017 5491 words fh344@cam.ac.uk Department of Architecture Girton College University of Cambridge

48

An essay submitted in partial fulfilment of the requirements for the MPhil Examination in Architecture & Urban Design (2015-2017)