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1 PROMOT ING GREEN ROOFS IN CHINA: A COMPARISON OF GREEN ROOF POLICIES IN THE U NITED STATES (U.S.) AND CHINA By HE MIAOMIAO A THESIS PRESENTED TO THE GRADUATE SCHOOL OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DE GREE OF MASTER OF SCIENCE IN ARCHITACTURAL DESIGN UNIVERSITY OF FLORIDA 2011
2 2011 He Miaomiao
3 To my family
4 ACKNOWLEDGMENTS F irst, I would like to thank my parents for their love and support to me S econdly, I wo uld like to thank my chair, Dr. Dawn Jourdan, and my co chair, Prof. William Tilson. T hey have both provided abundant advice which has been highly beneficial for my educational development N ext, I would like to thank all my previous teachers. W ith their g uidance, acknowledge, wisdom, and patience, I b e came the student that I am today. L astly, I would like to thank my classmates and roommates who have accompanied me as I grow up.
5 TABLE OF CONTENTS P age ACKNOWLEDGMENTS ................................ ................................ ................................ .. 4 LIST OF TABLES ................................ ................................ ................................ ............ 7 LIST OF FIGURES ................................ ................................ ................................ .......... 8 LIST OF ABBREVI ATIONS ................................ ................................ ............................. 9 ABSTRCT ................................ ................................ ................................ ..................... 10 CHAPTER 1 INTRODUCTION ................................ ................................ ................................ ..... 12 Research Territory ................................ ................................ ................................ .. 12 S ignificance of G reen R oof P olicy ................................ ................................ .... 12 Previous Research ................................ ................................ ........................... 14 Gaps of Previous Research ................................ ................................ .................... 15 Research Question ................................ ................................ ................................ 16 Purpose ................................ ................................ ................................ ............ 16 Chapter Breakdown ................................ ................................ .......................... 16 2 LITERATURE REVIEW ................................ ................................ ........................... 18 Green Roof ................................ ................................ ................................ ............. 18 Green Roof Definition ................................ ................................ ....................... 18 Early and Recent History ................................ ................................ .................. 19 Green Roof Benefits ................................ ................................ ......................... 20 Barriers to Promoting Green Roofs ................................ ................................ .. 23 Green Roof Policies: An Overview ................................ ................................ .......... 25 US Green Roof Policy ................................ ................................ ...................... 25 Chinese Policy Examples ................................ ................................ ................. 29 3 METHODOLOGY ................................ ................................ ................................ .... 35 Descriptive Research ................................ ................................ .............................. 36 Applied Research ................................ ................................ ................................ ... 36 4 COMPARISON AND CASE STUDY ................................ ................................ ....... 38 Lump sum Subsidies ................................ ................................ .............................. 38 Long term Fin ancial Incentives ................................ ................................ ............... 40 Mandatory Regulation ................................ ................................ ............................. 42 Incentive Regulation ................................ ................................ ............................... 43
6 Othe r Tools ................................ ................................ ................................ ............. 44 Coordination of Green Roof Policies ................................ ................................ ....... 46 5 ANALYSIS AND CONCLUSION ................................ ................................ ............. 55 Lessons Learned ................................ ................................ ................................ .... 55 Application of Green Roof Policy: Wuhan, China ................................ .................... 55 Discussion and Conclusion ................................ ................................ ..................... 58 LIST OF REFERENCES ................................ ................................ ............................... 62 BIOGRAPHICAL SKETCH ................................ ................................ ............................ 67
7 LIST OF TABLES Table page 2 1 Comparison of e xtensive and i ntensive g reen r oof s ystems (Peck & Callaghan, 1999) ................................ ................................ ................................ .................. 33 2 2 Policy examples to encourage green roof ................................ ............................ 34 4 1 Types of lump sum subsidies ................................ ................................ ............... 50 4 2 ................................ 51 4 3 Types of lon g term financial incentives ................................ ................................ 52 4 4 Types of mandatory regulation ................................ ................................ ............. 52 4 5 Types of incentive regulation ................................ ................................ ............... 53 4 6 Rates of green roof area counted into green land area in Hangzhou ................... 53 4 7 Types of other tools ................................ ................................ .............................. 54 4 8 Types of green roof policy in Chicago and Chengdu ................................ ............ 54 5 1 Steps to promote green roofs ................................ ................................ ............... 61
8 LIST OF FIGURES Figure page 2 1 Extensive green roof ................................ ................................ ............................ 32 2 2 Intensive green roof ................................ ................................ ............................. 3 2 4 1 Chicago city hall ................................ ................................ ................................ ... 49 5 1 Flooding in Wuhan ................................ ................................ ............................... 60
9 LIST OF ABBREVIATION S BAIGR Beijing Association for the I ntroduction of G reen R oofs BMPS Best Management Practices CWA Clean Wat er Act EPA Environmental Protection Agency GDP G ross D omestic P roduct LID Low Impact Development NGO N on G overnment O rganization NPDES National Pollutant Discharge Elimination System PDC Portl and Development Commission SLR Shanghai Landscaping Regulations U.S. United States USGBC U.S. Green Building Council WCED World Commission on Environment and Development
10 Abstract of Thesis Presented to the Graduate Sc hool of the University of Florida in Partial Fulfillment of the R equirements for the Degree of Master of Science in Architectural Design A POLICY TO PROMOTE GREEN ROOFS IN CHINA: A COMPARISON OF GREEN ROOFPOLICIES IN THE U S AND CHINA By He Miaomiao December 2011 ABSTRCT Chair: William Tilson Cochair: Dawn Jourdan Major: Architecture This paper seeks to answer the question, how policies contribute promoting green roofs in China ? Since the U S has abundant explorations developing green roofs, one feasible way is that by studying US previous experience and effective strategies, lessons will be learned to China. G reen roof policies are categorized into five types including lump sum subsidies, long term financial incentives, mandatory regu lation, incentive regulation, and other tools B ased on this categorization, U.S. policy and Chinese policy are compared to analyze the advantage and disadvantage of policies and find the useful lessons to China. T he principle findings are: f irst, lump sum subsidies help to implement green roofs, while long te rm financial incentives are more effective for the roof maintenance and plant conservation ; s econd mandatory regulation s result in a dramatic increase of green roofs in a short period, but tend to fai l at promoting public awareness thus the low quality of roofs and the lack of plant conservation ; t hird, there is a lack of green roof incentive regulations in most Chinese cities specifically through stormwater management policy; f o rth, demonstration pro jects help to provide technical support and generate public awareness ; f urthermore,
11 comparison of green roof policies in Chicago and Chengdu shows that there is an absence of details to form a comprehensive policy mech a nism, such as data collection, media coverage, and the criteria standard of subsidies. Then in the applied research approach, a Chinese city Wuhan serve s as a case to explain the process of establishing a green roof policy system. F our steps are recommended for this process, including genera ting awareness, providing technical support, encouraging implementation, and roof maintenance and plant conservation. Finally the last section will emphasize that the potential strategies would not only help to encourage green roof industry but also promo te sustainable urban development.
12 CHAPTER 1 I NTRODUCTION Sustainability has tight connections with society, ecology, the environment, and the economy. Green roof technology is recognized as a significant tool which plays a contributing role in improving c ity dweller life and the urban environment, thus supporting urban sustainable development. Although the concept of sustainable development is widely supported, due to the lack of detailed strategies, many sustainable policy approaches fall short of putting this comprehensive concept into practice in China There are numerous barriers to developing green roofs Researching practical and innovative policy approaches is the key to promoting green roofs. Research Territory Since the 1960s, Germany has conducted abundant research to establish green roof policy approaches. As more and more people have realized the advantages of green roofs, European, North American, and Asian count ries have successively begun develop ing this industry, and also have researched the relative policies. In 1994, the Sichuan provincial government formulated the first green roof policy in China. Seventeen years ha ve passed; however, few Chinese cities have established green roof policies and this industry developed slowly S ignificance of Green Roof P olicy In thinking about urban development in China, several issues impose restrictions however, urban development is hindered by the energy shortage. On July 21, 2011, Hunan province faced a new power restriction after just having faced one in May. Yuanlin Tong, the manager of Tianxin Technology Company issued a statement saying
13 that, except for emergency power and household power, all industrial power must be cut off (Jiang, 2011) As summer is the peak of power consumption, Juyuan Company found in a survey of power consumption in office buildings that on average 56.2% of power used was for air conditioning, with nearly half of thi s consumption was caused by solar radiation (Yi, 2008) Urban heat island effect is another issue to which cities should pay attention. The Environmental Protection Agency ( EPA ) notes that because of the lack of vegetation, re stricted air flow, and excessive heat emitted, a number of U.S. cities have air temperatures up to 10 (5.5 ) higher than the surrounding suburban or rural lands (EPA, 2007) In addition, many cities have to deal with the prob lem that large amount s of impervious surface cover causes flooding and pollution. Based on research, 95% of stormwater penetrates the soil in forested areas while only 25% does in urban areas (Getter & Rowe, 2006) Green roofs fit closely within the scope of solving these energy and urban environmental problems. For instance, if 100% of available green roof areas in the city on Toronto were used, it would bring $313 million initial cost savings and $37 million annual cost savin gs including the benefits from improvement of urban heat island, stormwater management, building energy, air quality, and combined sewer overflow (Banting, Doshi, Li, & Missios, 2005) F rom a perspective of sustainable developm ent, a green roof is one of the tools to put this concept into practice. T he term sustainable development is to express the relationship between the carrying capacity of the natural environment and economic development. The definition of sustainable develo pment is development that meets the needs of the present without compromising the ability of future generations to meet their
14 needs and aspirations (WCED, 1987) Low Impact Development (LID) which is a sustainable stoemwate r management strat e g y for land planning and engineering design approach, could serve as a part of sustainable development. Numerous practices support LID, such as rain gardens, rain barrels, green roofs, previous concrete, grassed swales (EPA) Green roof, as its improvement to the environment, is recognized as one of the Best Management Practices (BMPs) (EPA) Germany has experienced a dramatic increase of green roof constructio ns. This example proves that relying on the consciousness of building owners is not enough; it is necessary to introduce a green roof policy for cities interested in promoting this industry (Landskron, 1998) Previous Research A great deal of governmental and scholarly research on green roof policies has been conducted. Ngan (2004) studied four Germany green roof policy cases by dividing these policies into five categories: direct financial incentives, indirect financial incentives, ecological compensation measure, integration into development regulations and other policy initiatives and tools. Based on these case studies, Ngan discussed how the different types of policies work, and summariz ed ways to develop and manage green roof policy. Differing from Ngan s German policy studies Miller (2008) focused on three North American cities including Chicago, Toronto and New York City, and provided several foca l points for cities to refer when promoting green roofs. Her recommendations focus on implanting policy based on according to local condition. Furthermore, Carter and Fowler (2008) evaluated existing federal, municipal, and community green roof policies. Then they proposed three recommendations for Athens, GA, including identification of green roof overlay zones, offering financial incentives and
15 constructing demonstration project. In addition to this, a lot of reports were prepared to give recommendations to governments. For example, Peck and Callaghan (1999) researched green roof benefits and barriers t o green roof technology diffusion in Canada, and recommended a national action plan to Canada Mortgage and Housing Corporation, which involved generating awareness, government procurement support, direct program support, and financial incentives. In China, numerous scientific and technical research studies of green roof s were conducted yet very little has been done about policies. Yang and Huangpu (2009) discussed the barriers to promoting roof greening in China, and em phasized raising the penetration rate of green roofs through enhancement of publicity, and establishment of mandatory targets and incentive policy. Moreover, Zhao and others have investigated the possibility of transplanting other countries green roof pol icies to china; however, there is a lack of details of the research (Zhao, Jin, Hu, & Ma, 2008) Gaps of Previous Research As numerous US cities have comprehensive policies to encourage green roof industry, much information can be gathered by comparing the current green roof all US policy can be implanted directly to China. To explore potential green roof policies, which are appropriate for C US previous experience and analyzing effective strategies in detail. None of previous research has covered this issue. In addition to detailed policies, there is a lack of research in how diff erent types of policies are coordinate d and form a more effective implementation mechanism. A comprehensive green roof policy system has more power than dozens of single policies.
16 Research Question Purpose This thesis seeks practical and innovative poli cy approaches for promoting green roofs as well as sustainable urban development in China, specifically focuses on different types of policies coordinating together as an organic construction. Through a series of detailed comparisons of the existing green roof promoted policies in the US and China, advantages and disadvantages will be analyzed in order to search potential policy thesis is to give recommendations about how to impl ement a green roof initiative in China. Chapter Breakdown Chapter two is an extensive literature reviewing green roofs and its policies. The first part includes green roof definition, history, benefits and barriers to promoting green roofs. This background will support the main research question by explaining why promoting green roofs is important. The second part is a green roof policy overview including the federal, state, and local policies in the US, and Chinese policy examples. The third chapter, the m ethodology, will outline the research design including descriptive research and applied research. In the next chapter, green roof policies will be divided into five categories: lump sum subsid ies long term financial incentives, mandatory regulation, in cen tive regulation, and other tools. Based on these categories, comparison of green roof promoted policies in the US and China will be conducted. This descriptive research will also contains numerous case studies. Specifically, this chapter will analyze the p ractical and effective experiences in detail.
17 Finally, chapter five, the applied research approach, a Chinese city Wuhan will serve as a case to explain the process establishing a green roof promoted policy system. It includes generating awareness by demon stration projects, government support for green roof technology, direct financial subsidy, indirect financial incentive, and education and technology research support. Furthermore, the last section will emphasize that the potential strategies would not onl y help to encourage green roof industry but also promote sustainable urban development.
18 CHAPTER 2 LITERATURE REVIEW Green Roof Green Roof Definition A green roof is a roof covered with a vegetated surface layer. A green roof layer includes roof structure waterproofing membrane, drainage system, root barrier, growing medium, and plants (Peck & Callaghan, 1999) Green roofs are distinct from old style roof gardens either relaying on containers and planters or using a layer of o rdinary soil spread onto a roof surface, which would add excessive weight (Dunnett & Kingsbury, 2008) (Wikipedia, 2008) Green r oof is also called living roof emphasizing not all vegetated roofs are green. There are generally two categories of green roofs, which are intensive and extensive. This categorization depends on numerous characteristics including load capacity, soil depth, pedestrian accessibility, irrigation and drainage system complexity, maintenance, and vegetation (Ngan, 2004) Extensive green roofs are lighter in weight with thin planting medium which is between 2 and 15 cm (0.8 and 6 inch ) (Dunnett & Kingsbury, 2008) The plants are mosses, succulents, herbaceous plants and grasses. These species are selected for the reason that they are able to maintain and regenerate by themselves in harsh environment such as drought and wind (Ngan, 2004) It is not necessary to design and set up irrigation system for extensive green roofs. In addition, they are often not accessible to the public, so that they require fewer accessories such as guar drails.
19 Intensive green roofs have greater medium depth, which is generally at least 15 cm (6 inch) deep (Ngan, 2004) A w hole range of vegetation types may grow in intensive green roofs, such as lawn, shrubs, and trees. They a re often accessible to the public and need to be supported by more comprehensive systems, such as irrigation and drainage systems. Intensive green roofs are generally expensive than extensive green roofs, both in implement and maintenance. Early and Recent History Green roof has a long history, and it has experienced a rapid growth in the recent several decades. The earliest uses of vegetation on roofs can be tracked back to Mesopotamia. Specifically, the Hanging Gardens of Babylon, where gardens were plant ed on terraced stone roofs to imitate mountains, is considered the most famous early roof garden (Dalley, 1993) As the excellent effect cooling buildings, Ancient Greek and Roman also used roof gardens (Snodgrass & Snodgrass, 2006) The Vikings laid turf on roofs of their homes to protect against harsh weather (Peck & Callaghan, 1999) During the Renaissance, green roofs were popular in the city of Genoa (Gorse, 1983) In 16 th 17 th century, roof gardens existed in pre Columbia Mexico (Goode, 1986) India (Flower, 1937) and Russia (Titova, 1990) Le Corbusi er indicated roof gardens as his fifth point in Towards An Architecture, and he formulated urban areas with roads on roofs amid vegetation (Curtis, 1986) In 1913, he designed La Maison due Diable with a green roof (Peck & Callaghan, 1999) Frank Lloyd Wright also frequently included roof gardens in his designs in order to meet building makes the landscape more beaut (Phieffer & Nordland, 1988)
20 landscape. He incorporated green roofs into several building projects such as the Hollyhock House, the Cheney House, Falling Water, and the Hillside Home School. Since the 1960s, European, North American, and Asian countries successively have begun to develop green roof industry. Abundant research and experiments were conducted to enhance green roof techno logies, including studies on waterproof membranes, roof repelling agents, drainage system, light weight media, and plants. Germany is considered the world leader in green roof industry. The development 15 20% annual increase on average. By 1989, the areas of green roofs were 1 million square meters, while this number had exploded to 10 million square meters by 1996. A most significant reason of this trend was state legislation and municipal government g rant (Peck & Callaghan, 1999) Other countries have adopted similar policy to support green roof development. As the result of government policy support, In France, Austria, Norway, Switzerland, the U.S, Canada, Japan, and Sing apore, green roof industry including plants and material suppliers, roofing professionals, installers and maintenance crews has been created and developed well. Green r oofs have become a welcome feature in the design and construction. Green Roof Benefits G reen roofs can result in multifarious benefits range from environmental to ecological, from economic to aesthetic. With these organic contributions, green roofs serve as a unique effective approach in supporting sustainable development. These benefits inc lude: Reduction of energy consumption Stormwater management Moderation of urban heat island effect
21 Improvement of air quality Urban biodiversity Roof maintenance Aesthetic and amenity value Stormwater management is one of the most frequentl y studied green roof benefits. EPA classifi ed green roofs as one of stormeater BMPs and differing from other BMPs, this practice can moderate not only quantity but also the quality of stormwater (Banting, Doshi, Li, & Missios, 2005) Green roofs can retain stormwater in the medium, so that this construction reduces stormwater volumes. Green roof with grasses and 8 40 cm) thick medium can reserve 4 15 cm) depth water (Minke & Witter, 1982) Du e to retaining large amount of stormwater, green roofs provide the potential to prevent combined sewer overflows and pollution which caused by large rainfall events (Doshi, 2006) Moreover, green roofs also filter heavy metals (Johnston & Newton, 1996) and nutrients from rainwater. The excess water which is filtered by a green roof can be stored for irrigation. In Germany, due to this technology, buildings with green roofs have no storm sewer s ystem (Ngan, 2004) Urban heat island effect is a common problem for many cities and is increasingly important as urban expansion and global warming. The EPA notes that because of lack of vegetation, restricted air flow, and ex cess heat emitted, a number of U.S. cities have air temperatures up to 10F higher than the surrounding suburban or rural lands (EPA, 2007) Green roofs can help to reduce the heat island effect by increasing the vegetatio n area in high density urban centers. Vegetation and media store moisture, and the evaporation of water absorbs heat, so that the moisture takes heat away. This process cools the surrounding area (Banting, Doshi, Li, & Missios, 2 005) based Organization for Landscape and Urban Greenery Technology Development
22 estimates that if half of the roofs in the city were planted with gardens, daytime high (Trautlein, 2003) Green roofs bind dust and filter pollution in air. One s tudy showed that urban streets with trees have only 10 15% of the total dust particles in similar streets without trees (Johnston & Newton, 1996) Furt hermore, the plants uptake common greenhouse gases such as NOx and CO 2 (Clark, 2005) Therefore, green roofs provide the potential to improve air quality. Green roofs can help to maintain urban biodiversity. In Europe, green r oof habitats are categorized into two types to serve as part of wildlife corridors in urban areas (Peck & Callaghan, 1999) The first type is stepping stone habitat which connects natural isolated habitats together. Because the height difference prevents most living beings from reaching the green roofs, this habitat is connection only for air borne seeds, birds, In 1914, a green roof, as h abitat for 10,000 orchids including some rare species, was constructed near Zurich (Brenneisen, 2003) In addition to these environmental and ecological benefits, green roofs can bring several economic benefits. Green roofs red uce heat flow across the roofing system, so that less energy is required to cool the interior space in summer and heat it in winter. Research shows that plants and four inches of medium in hot weather can reduce 6 to 8 degrees of indoor temperatures, as we ll as save 25 to 50 percent in air conditioning costs in single story buildings (LiveRoof, 2011) And a green roof can prevent 70% of the heat from leaving the building at night in winter (Liu, 2002)
23 Another economic benefit to individual owners is about roof maintenance. Green roofs moderate the temperature, prevent ultraviolet radiation, protect against the damage of hail, thus providing protection to waterproof membrane (Ngan, 2004) (2006) shows that with the protection of green roofs, the life of a roof can be doubled from 15 years to 30 years. It is commonly believed that green roofs need less times of maintenan ce than conventional roofs. Finally, it is apparently that green roofs have aesthetic and amenity value. Most of intensive roofs with green open space are accessible for aesthetic and amenity purpose. Extensive roofs also have aesthetic value, specifically offering a better view to the dwellings of the surrounding buildings. In Vancouver, Canada, the new public library was designed with a green roof to beautify the view to the surrounding towers (Thompson, 1998) Furthermore, be cause of the aesthetic and amenity value, green roofs have positive effect on real estate values, and German has researched how to quantify this increased value (Ngan, 2004) Barriers to Promoting Green Roofs Though green roofs result in numerous benefits, there are a lot of barriers to promoting this technology, such as cost based barriers, lack of awareness, and lack of research. Cost based Barriers The most significant barriers are cost based. The cost includes initial invest ment and maintenance cost, which differs between intensive and extensive green roofs. Generally, extensive green roofs are less expensive to build and maintain than intensive ones. Based on the City of Portland demonstration project, Bureau of Environmenta l
24 Services estimates that the investment of a new green roof is $1 6 higher than a standard roof (Krupka, 2001) T he question is whether the benefits of green roofs are greater than the costs. Cost benefit analysis should cover t he full life cycle. N umerous researches have studied this issue. G enerally, intensive and extensive green roofs have higher initial cost than conventional roofs. B ut considering the full life cycle, the life cycle costs of extensive green roofs including i nitial cost and maintenance cost are lower than conventional roofs; even it is with or without consideration for energy savings. W hile the life cycle costs of intensive green roofs including initial cost, maintenance cost, and energy cost are no less than conventional roofs (Wong, Tay, Wong, Ong, & Sia, 2003) Clark and others (Clark, Adriaens, & Talbot, 2008) summarized the steps for the cost benefit analysis with consideration for stormwater manage ment, energy savings, and air quality improvement. In addition, as related in chapter 1.3, the cost benefit analysis should includes not only the usual cost analysis components but also aesthetic and amenity value A s it is expensive to repair and replace a green roof structure, deficiencies should be avoided (Ngan, 2004) E xtra vigilance is required at the life cycle process including design, material selection, plants selection, construction, and maintenance. Lack of Awareness I n China, even in the cities with established policies promoting green roofs, most of dwellings still use conventional roofs. T his is some evidence that they are not aware of the policies and benefits associated with green roofs. T hree reasons result in t his lack of awareness: First, they are afraid that the roots of vegetation will cause the roof to leak. S econd, the moisture tends to nourishing mosquito s thus spreading diseases.
25 Finally plant conservation management may cost an extra fee (Baiduwenku, 2011) More information is needed to present to dwellings about not only the social, environmental, and economic costs and benefits of green roofs but also the new technology which can decrease positive impact. Lack of Research A nother significant barrier is the lack of detailed design guidelines, standards, and low price technology. F or example, a technical barrier is how to install a green roof on an existing building. D ue to the previous design load constrains of the existin g building, an extensive green roof is the only option for some buildings. I f the additional weight requires extra roof load capacity, it will cause an extra cost for the construction (Apul, 2008) I n addition, in many roof ret rofit projects the roofs will leak between two and three years after it is completed. T he lack of technical research avoids the development of green roofs. In Shanghai, when retrofitting flat roofs, residents would change the flat roofs into sloped roofs rather than transform them into green roofs. A report shows that expensive cost, and worrying about leaking are reasons why dwellings tend to not utilize a green roof (Zhu & Qiu, 2005) Green Roof Policies: An Overview US Gree n Roof Policy T he U.S. has established plenty of green roof policy. The policy framework generally implement at two levels which are federal level and municipal level. F ederal Legal Foundation A s green roofs are one excellent tool for green building framew ork, various federal policies encourage green roofs through green building requirement. I n 2003, all new federal buildings were required to be LEED certified, and were encouraged to achieve
26 the LEED Silver by the U.S. General Service Administration B efore long, the Department of Defense required all new building projects to meet the demands of the LEED Silver standard (Carter & Fowler, 2008) LEED standing for Leadership in Energy and Environmental Design was developed by the U .S. Green Building Council (USGBC). I t originally served as a voluntary standard providing third party verification of sustainable strategies. Sustainability on sustainable sites, water efficiency, energy and atmosphere, materials and resources, and indoor environmental quality is required and involves 100 base possible points. Moreover there are 10 additional possible points for innovation in design and regional priority (USGBC, 2011) B ased on this evaluation, the certificati on is awarded from low points to high points at four levels which are certified, silver, gold, and platinum. U nder sustainable site credit 7.1, LEED requires to reduce heat island to minimize impacts on microclimates and human and wildlife habitats (USGBC, 2011) I t requires that 50% of parking space is covered and the roof must have a solar reflectance index at least 29 with a vegetated green roof recommended (USGBC, 2011) LEED also requires wate r use reduction, minimum energy performance and encourages habitat restor ation, maximize open space, stormwater quantity and quality control and water efficient landscaping Using green roofs can help a project gain up to 15 points under the LEED system depending on how well the roof s are integrate d into the building (Kula, 2005) T he Federal Water Pollution Control Act or Clean Water Act (CWA) requires stormwater management which could be supported by green roofs. A s authori zed by CWA, the National Pollutant Discharge Elimination System (NPDES) permit program
27 requires municipal and industrial stormwater runoff to be treated by management practice before it discharges (U.S.C., 2011) A nd one of the best management practices is to use green roofs (Carter & Fowler, 2008) For example, a green roof can reduce up to 18% of combined sewer volume (Banting, Doshi, Li, & Missios, 2005) I n addition to this, there are several other sections of CWA relat ed with stormwater, such as section 303 and section 319. G reen roofs may play an important role in reducing pollutant loading in stormwater runoff. Municipal Polic y B ased on federal legal foundation, a variety of policies were established at municipal leve l, including direct financial subsidies, indirect financial incentives, integration in development policies, and other tools. Direct financial s ubsidies D irect financial subsidy is a straightforward way to promote green roofs. T his policy, which is availa ble to property owners and developers who construct green roofs, provides the potential to overcome the cost based barriers. I n Germany, the subsidies is calculated by the unit cost ( DM / ) of green roof constructions in general, while in the U.S., the dire ct subsidies are provided by green roof grant programs which offer lump sum payment (Carter & Fowler, 2008) I n the city of Chicago, the 2005 Green Roof Grant Program provides funding to more than 20 green roofs of residential a nd small commercial projects. T hese lump sum payments were awarded through a competitive selection process based on project location, visibility, and environmental benefit. B ased on the popularity of the program, the city of Chicago Department of Environme nt extended this program in 2006 and 2007, and covered 52 additional projects (CityofChicago) N ot only government but also private
28 foundations provide grant programs to green roofs. Provided by a lawsuit settlement and oversee n by the Chesapeake Bay Foundation, a small grants program supported 7 green roof projects covering 20% of the cost of the green roof constructions (Johnson, 2007) I n addition, the Home Depot Foundation has provided funding to the education and research of green roofs (Carter & Fowler, 2008) Indirect financial i ncentives A popular indirect financial incentive is credit towards stormwater utility fee. T here is economic and environmental advantage of stormwater utility fee. F urthermore, it is fairer fro m a social perspective. I t encourages single families controlling stormwater to reduce stormwater volume and peak flows entering the public sewer system. I n Portland, the Clean River Incentive and Discount program allows up to a 35% reduction of the city s base stormwater charge. T his credit depends on the effectiveness of the private stormwater management. R eports show that if 70% of the rooftop is covered by a green roof, the owner could gain the total available credit (Liptan, 2003) Minneapolis, Minnesota provides up to a 100% credit of stormwater utility fee for stormwater management which includes green roof systems (Welch, 2007) Integration in development p olicies L ocal government may integra te green roof s as a tool in their development regulations such as green building guideline land use plan, and stormwater management standards I n Portland, Oregon, the green building policy guideline mandates that all new city owned facilities utilize a g reen roof with 70% of rooftop if the green roof is available (PDC) Several cities provide the potential of building density bonus to building which installed a green roof (Carter & Fowler, 2008) Th e policy designates the eligible areas of city or building, and
29 formulates the role of the bonus. I n Portland, for green roofs that cover up to 30% of the roof area, one sq ft of bonus is allowed for each sq ft of green roof ; f or green roof coverage of up to 60% of the roof area, two sq ft of bonus is allowed for each sq ft of green roof ; f or green roof coverage of greater than 60% each sq ft of green roof will allow three sq ft of bonus (Carter & Fowler, 2008) I n addition, a number of states have established stormwater management standards for future development. Pennsylvania New Jersey, and North Carolina have specified green roofs as a stormwater best manageme nt practice (Carter & Fowler, 2008) Other t ools Demonstration projects, c ompetitions, media coverage and performance rating s are also way s to promote green roofs. T hese tools may improve public awareness that utilize green ro ofs. Portland, Oregon, which is the first city to have passed eco roof regulations, has built two demonstration eco roofs to encourage the eco roof technology (Earth Oledge, 2005) T he funding of the roofs was taken from the spl it stormwater fee. A s a result of the success of the demonstration projects, the city began adopting a series of policy mechanisms to promote eco roofs throughout the city (Earth Oledge, 2005) Chinese Policy Examples C hina has begun encouraging green roofs in recent years with a number of cities establishing policies to promote this industry. Shanghai In 2002, the government of Jing an District, Shanghai offered 10 for each sq meter of green roofs. T his is the first green roof policy in Shanghai. I n 2006, the Shanghai People s Congress passed Shanghai Landscaping Regulations (SLR) which
30 came into force from May 1, 2007. T he SLR provides support of law to encourage green roofs. I t mandates that new public buildings which are sui table for green roofs should implement this technology (SLR, 2007) I n 2010, the Shanghai Landscaping Administration published Specifications of Green Roof Technology, which provides technical support including roof load, water proof membrane root resistant, drainage layer, filtration layer, substrate, and type of plants (ShanghaiGovernment, 2011) S hanghai aimed to build additional 300 thousand (3.2 million sq ft) green roofs between 2009 and 2011 (Baiduwenku, 2011) Beijing I n 2005, the Department of Parks and Forests adopted Specifications of Green Roofs in Beijing. This manual provides basic demands, type of roofs, design of vegetation, selection of plants, and green roof technology for constructions in Beijing area (BeijingGovernment, 2011) Integral the preparation of the 2008 Olympic Games, the Beijing municipal government had set a target of 40 million (430 million sq ft) of green roofs with 50% of costs supported by government (Dunnett & Kingsbury, 2008) I n addition, 2004 2008 Beijing Urban Environment Plan mandates that 30% of roofs of high rise buildings and 60% of roof s of low rise buildings must be covered by green roofs. A t the same time, the government provides several financial incentives to support this policy. By April, 2008, 1 million roofs had been green. Shenzhen I n 1999, Shenzhen municipal government issued Shenzhen Guideline of Roof Greening and Beautifying. I n March, 2004, Shenzhen held the first national Planting in
31 Architects seminar I n the same year, the demonstration project of Meishanyuan housing estate was built, and it achieve s a cooling effect. I n November, 2005, the government began promoting green roofs. T he Garden and Forest Technology Institute assist the government to research green roof technology. T he area of green roofs had exceeded 1 million sq meters by May, 2008 (Baiduwenku, 2011)
32 Figure 2 1 Extensive green roof Figure 2 2 Intensive green roof
33 Table 2 1 Comparison of e xtensive and i ntensive g reen r oof s ystems (Peck & Callaghan, 1999) Extensive Green Roof Intensive Green Roof Brief Description thin soil little or no irrigation stressful conditions for plants deep soil irrigation system more favorable conditions for plants Advantages L ight weight suitable for large areas suitable for roofs with 0 30 slope low mainte nance often no need for irrigation and drainage systems relatively little technical expertise needed often suitable for retrofit projects can leave vegetation to develop spontaneously relatively inexpensive looks more natural easier for planning authority to demand green roofs be a condition of planning approvals greater diversity of plants and habitats good insulation properties can simulate a wildlife garden on the ground can be made very attractive often visually accessible diverse utilization of roof (i .e., for recreation, growing food, as open space.) Disadvantages more limited choice of plants usually no access for recreation or other uses unattractive to some, especially in winter greater weight loading on roof need for irrigation and drainage system s hence, greater need for energy, water, materials, etc. higher cost more complex systems and expertise required
34 Table 2 2 Policy examples to encourage green roof Types of green roof policy U.S. example Chinese example Federal legal foundation LEED Clean Water Act Municipal policy Direct financial subsidy Chicago: Green Roof Grant Program Shanghai: Governmental Subsidy Indirect financial incentive Portland: reduction of base stormwater charge Shenzhen: reduction of tax I ntegration in develop ment policies Portland: building density bonus Hangzhou: calculation into greening rate O ther tools Chicago: Demonstration Project Shanghai: Specifications of Green Roof Technology
35 CHAPTER 3 METHODOLOGY This thesis studies the issue of establishing eff ective green roof policy in China. How to research this question? Since the U S has abundant explorations developing green roofs, one feasible way is that by studying U S previous experience and effective strategies, lessons will be learned to China. A lt hough Germany also has built a comprehensive policy to promote green roofs, there are two reasons why I choose the U.S. Most of German green roof policy was established in the 1980s; while the U.S. policy is developed with more detailed tools based on othe r countries previous experience so that the U.S. policy serve more details to be referred. G erman policy is strict while both U.S and Chinese policies are more incentive, so that there is more comparability of U.S. and Chinese policies. However, a barri er which can not be ignored is that US policies would not fit context A s related in chapter 2, t he policy framework in the U.S. generally implement at two levels which are federal level and municipal level. T he federal legal foundatio n of green roofs is about green building and stormwater management. B ased on this foundation, most of the municipal incentives are adopted by means of green building and stormwater management policies. I n China, the national policy which is related with gr een roofs is building energy efficiency. B ased on this policy, the national Technical Specification of Roofing Project requests the performance of thermal protective layer; a green roof is recommended as a practice for thermal protection (China National Standard, 2010) B ut most of the municipal green roof policy is independent of national policy. As China s national policy plays an unimportant role in promoting green roofs, and the municipal policy is more effective, This thesi s focuses
36 on comparison of municipal policies and utilizes descriptive research and applied research. Descriptive Research The descriptive research involves two approaches which are comparison and case study. The comparison is evaluating advantages and di sadvantages of existing green roof policies in the US and China. To implement the comparison, policies are categorized. Due to the effective time, the targeted people, and the scope, green roof policies fall into five categories: lump sum subsid ies long t erm financial incentives mandatory regulation, in centive regulation, and other tools. The comparison is undertaken to discuss potential strategies for China to gain green roof initiative. In addition, another comparison of coordination of green roof polic ies is conducted to discuss the more effective mechanism through an appropriate regulatory process. Furthermore, a number of case studies support the comparison in detail. Portland, Chicago, New York City, Chengdu, Shanghai, Shenzhen and Beijing serve as cases. Portland is the first city establishing a municipal green roof policy in the US. (Miller, 2008) Chicago has built a relatively complete green roof policy system. In New York City non government al organization has done g reat contribution to green roof development. In Chi n a, Chengdu, Shanghai, Shenzhen and Beijing are the cities which have paid attention to green roof development. Policies are examined by these case studies, specifically compared by category to analyze th e positive and negative effects. Applied Research In order to apply the lesson learned from the comparison, a Chinese city Wuhan serves as the case to explain the appropriate process of establishing green roof
37 promoted policy organic system. Why Wuhan is s elected? There are three particular reasons. First, in 2010, the gross domestic product (GDP) of Wuhan exceeded 550 billion ($84 billion), which took the twelfth place of Chinese cities (Pei, 2011) This city has the economic capacity to develop green roof i ndustry. Second, few existing polic ies focus on green roofs in Wuhan It is necessary for Wuhan to research the regulatory process. Finally, due to the previous blank of green roof policy in Wuhan, this applied research app roach can show a complete process of the establishment. The applied research contains review of the city site, current construction situation, and built policy infrastructure, and recommendations. The recommendations involves generating awareness by demons tration projects, public exhibition and discussion, government procurement support, indirect financial incentive, direct financial subsidy, indirect regulation, and educational and technological research support.
38 CHAPTER 4 COMPARISON AND CASE STUDY A ccor ding to the effective time, the targeted people, and the scope, green roof policies fall into five categories: lump sum subsid ies long term financial incentives mandatory regulation, in centive regulation, and other tools. B ased on this categorization, gr een roof policy in the U.S. and China will be compared and analyzed In addition, another comparison of coordination of green roof policies is conducted to discuss the more effective mechanism through an appropriate regulatory process. L ump sum Subsid ies L ump sum subsidy is the funding which government or non governmental organization offers by one time to cover total or part of the cost of a green roof. it includes grant programs, governmental direct subsidies, and awarding of competitions ( Table 4 1 ). A s described in chapter 2, in the U.S., most of the lump sum subsidies are supported by grant programs. A famous example is Chicago s Green Roof Grant Program which covered 72 green roof projects between 2005 and 2007. Table 4 2 illustrates how different typ es of buildings can get public assistance by Chicago s building green/green roof policy. A s a result of solving part of the cost based barriers, this program is a strong push to green roof development in Chicago. N ot only government provides grant, but als o non government organization (NGO) can help. T he Chesapeake Bay Foundation has also provided funding for green roof projects. I n addition, the Home Depot Foundation has provided funding not for green roof construction but for conferences, workshops, and r esearch projects which would promote the green roof industry.
39 There are two modalities of lump sum subsidies in China. T he most popular one is based on green roof area. D epending on different cit ies and the period s there are enormous difference s of the s ubsidies. I n 2002, the government of Jing an District, Shanghai offered 10 for each sq meter of green roofs. W hile in 2008, Zhengzhou Government provided up to 100 for each sq meter of green roofs. T he Department of Parks and Forests in Wuhan reported th at the cost of each sq meter is between 200 and 500 in 2008 (Hanwang, 2008) S ince there is not detailed policy which can estimate a green roof similar with green building/ green roof policy in Chicago, it is difficult to ju dge what subsidy amount is appropriate and effective. A nother modality of lump sum subsidy is awarding. T he government selects a number of projects by competition and offers money award. I n 2005 Chongqing Government conducted a competition for Outstanding Roof Gardens, offering awarding instead of subsidy. A s a competition, this policy promotes not only the quantity but also the quality of roof gardens. I n addition, cooperating with media coverage, this competition could arouse both the dwelling s and the developers awareness of roof gardens. T he advantage of lump sum subsidies is that it funds green roofs directly ; it is beneficial to solve the initial cost based barrier of green roofs. While the disadvantage is that it increases the local finance burden. T here are three lessons learned by the comparison First, U.S. NGOs such as t he Chesapeake Bay Foundation and the Home Depot Foundation play an important role in promoting green roofs. T hrough NGOs, private grant could be the strength to push green roof development, and relieve the burden of local finance. F urthermore, as the flexibility of policies of NGOs, t hey could conduct the grant for various approaches, for example, they not only provide funding for
40 green roof implementation, but also support resea rch and public education. C ontrasted with U.S. NGOs, Chinese NGOs has paid little attention to green roofs. S everal barriers have stunted the growth of NGOs in China, such as governmental limitation to material transportation and donation collection (China Daily, 2009) A s the significance of NGOs, Chinese government should offer easier conditions to raise NGOs. Second, Chicago has established plenty of roles for green roofs (Table 4 2), and based on these roles, it is easier to select the eligible green roofs to fund. W hile for the lack of detailed performance standard for green roofs in China, it is difficult to calculate which green roof should be funded and how much the funding should be. It is necessary to formulate detailed policy assessing the subsidy amount. F inally, according to Chongqing s experience, awarding by competition instead of subsidy is an effect measure to use less money and do more things. T hrough solve the cost based barriers; it can promote both quantity an d quality of green roofs. F urthermore, it is beneficial for improve the lack of awareness. Long term Financial Incentives Long term financial incentives affect green roofs in a long period even covering the whole life cycle of a green roof. It includes cr edit towards stormwater utility fee, governmental subsidies, and tax preference (Table 4 3). N umerous U.S. cities such as Chicago, Portland, and Minneapolis have promoted green roofs by credit towards stormwater utility fee S tormwater utilities are calcu lated by the amount of impervious surface in a given site. G reen roofs, being a measure to mitigate for impervious surface, are given credit towards stormwater utility fee (Carter & Fowler, 2008) T his measure provides the potential to encourage single families controlling stormwater by green roofs s base stormwater utility fee is $ 14.26
41 per month for single family residences. A nd policy al lows for up to 35% reduction for private stormwater management (Carter & Fowler, 2008) T hat means a green roof may help to save $ 5 of stormwater utility fee per month. T he saved stormwater utility fee may balance the maintenanc e for roof gardens. N one of Chinese cities charge s stormwater utility fee for single families. I nstead, long term financial incentives in China include governmental subsidy and tax preference. A ccording to Beijing Association of the I ntroduction of G reen R oofs (BAIGR) report, Beijing Department of Parks and Forests established that the maintenance subsidy for extensive green roofs is 10 per sq meter per year, and for intensive roof gardens is 20 per sq meter per year (BAIGR, 2010) I n addition, in Shenzhen Municipal Government s several conferences, reports indicat ed that credit towards tax rate may be a measure to promote green roofs. B ut there has not been detailed policy adopting this measure so far. A long term financial subsidy is beneficial for a green roof s owner to maintain the roof and conserve the plants. S ince many Chinese owner worries about the cost of roof maintenance and plant conservation, a long term financial subsidy provides the potential to building confidence of implementing a green roof. But there are shortages of China s long term financial incentives: governmental subsidies increa se the local financial burden; tax preference is only a concept without detail ed rules to support it T he U.S. has a comprehensive policy to manage stormwater, and through the adjustment of stormwater utility fee, green roof development may be promoted. A s related in chapter 1 there is a lack of stormwater management practice in Chinese cities, such as Wuhan. A lesson learned is that stormwater management should be
42 enhanced in China, and the stormwater utility fee is a practical tool which can be reference d for China. Mandatory Regulation M andatory regulation forces target buildings to use green roofs (Table 4 4) I n the U.S., few of cities have adopted this type of regulation. s green building policy mandates that all new city owned facilities i nclude a green roof with 70% coverage unless the green roof is impractical (Carter & Fowler, 2008) T he city owned facilities are pioneers to use green roof technology. T hey could be example s of technology and performance to be refer red by commercial and residential investers C ontrast to the U.S., China has numerous mandatory regulations. A ccording to policy in Chengdu, new constructions with flat roofs which is below 12 stor eys or is lower than 40 meters (131 ft) must implement green roofs. 2004 2008 Beijing Urban Environment Plan mandates that 30% of r oofs of high rise buildings and 60% of roofs of low rise buildings must be covered by green roofs. Shanghai s SLR mandates that new public facilities including governmental, institution, cultural, and physical constructions which are suitable for green roo f s should implement green roofs (SLR, 2007) I n 2007, Hangzhou established a policy which mandates that all new buildings should implement green roofs, and the green roofs are calculated into the greening rate. F rom these China s mandatory regulation experience, the quantity of green roofs increases dramatically in a short period. B ut as the result of the lack of awareness, there is an absence of the maintenance and conservation. U.S. mandatory regulation focuses on providing t echnical support and generating awareness through public demonstration projects. W hile Chinese mandatory regulation focuses on increasing the quantity of green roofs directly. I f a new building does not
43 reach the demand of mandatory regulation, it will be forbidden to come into practice. T he developers are forced to implement this construction. B ut as the lacks of awareness and low cost technology, the result is producing low quality green roofs and the lack of maintenance. L esson learned from U.S. case is that recur to the demonstration effect of city owned facilities, experience of technology is acquired, th e benefits of green roofs are proved and the awareness of green roofs is improved. In centive Regulation T here are several modalities of incentive reg ulations (Table 4 5) O ne of them is that l ocal government s define green roof area s in their development regulations such as land use regulation. I n addition compensation for higher density) can be integrated int o development plans accord ing to the Land (Drr, 1995) A s related in chapter 2, Portland provides density bonus for green roofs, for green roofs that cover up to 30% of the roof area, one sq ft of bonus is all owed for each sq ft of green roof ; f or green roof coverage of up to 60% of the roof area, two sq ft of bonus is allowed for each sq ft of green roof ; f or green roof coverage of greater than 60% each sq ft of green roof will allow three sq ft of bonus (Carter & Fowler, 2008) Similar policy is conducted in China, including density bonus and credit of greening rate. Chengdu awards the developer 1 sq meter bonus for each sq meter of green roofs with the total bonus not exceeding 20 % of the total floor area (ChengduGovernment, 2005) Greening rate is an index of land use plan. I f the design of a target building does not reach the demanded greening rate, it can not acquire the permission of construction. A ccording to Beijing s policy established in 2011, 20% of green roof area is counted into greening rate. Hangzhou also counts the area of green
44 roofs into green land area. T able 4 6 is the rates of green roof area counted into green land area in Hangzhou. I n most of residential projects, both the developers and the residents tend to not implement green roofs. Several residents having the joint ownership of one green roof while the residents of top floor enjoying the most benefits, divergence caused for the p roblem how much should each of the owners pays for the green roofs. I n addition, if one of the owners hopes not to implement a green roof, this installation is impracticable. F urthermore, residents have several misgivings. Firstly, they are afraid that the roots of vegetation will cause the roof to leak. S econdly, the moisture tends to nourishing mosquito thus spreading diseases. Finally the conservation of plants may cost an extra fee (Baiduwenku, 2011) A s a result, most of residents tend to not implement a green roof. In addition, as green roofs increase the investment of construction; few developers tend to build green roofs on their own initiative. The lump sum subsidies and the long term financial incentives may solve the cost based barrier of initial invest, roof maintenance, and plant conservation for the owners. W hile the density bonus and the greening rate bonus provide the potential to enhance value of the real estate projects so that th is incentive regulation stimul ates the developers to utilize green roofs. Other Tools Demonstration projects, C ompetitions, media coverage, exhibitions, seminars, and performance rating are also methods to popularizing green roofs (Table 4 7) I n 2001, Chicago took an ambitious project to propagandize green roofs. T hey constructed a famous demonstration green roof on Chicago City Hall. (Earth Oledge, 2005) T hey collected data showing the benefit of green roof compared with a standard roof on Cook County Adm inistration Building located near the City Hall. I t shows that the
45 temperatures of the City Hall s green roof are an average 78 degrees Fahrenheit cooler than the compared one. (Earth Oledge, 2005) T he city also took public ed ucation campaigns. I n 2002, the city put Guide to Rooftop Gardening on city s public website. I n 2003, the city held a series of seminars about Green Roofs for Homeowners A ll of these aimed to e ncouraging private owner constru cting green roofs. S ome tools are conducted by NGO s I n New York City, a NGO named Earth Pledge Foundation has done great contributions to green roof development. Through demonstration projects and research, Earth Pledge assists the government to assess the cost and benefit of gr een roofs to local district and formulate policies to promote green roofs. Earth Pledge invests funding to support analysis of green roofs; this foundation promotes public education to spread green roof knowledge; and it also constructs green roofs directl y. I n China, specifications of green roof technology and demonstration projects are popular tools to promote green roofs. N umerous cities such as Beijing, Shanghai, Chengdu, and Shenzhen have formulated specifications as guides for green roof construction. A problem is that as the development of technology, some of the specifications appear unadvanced. I n addition to specifications, demonstration projects also works. I n Chengdu, a series of demonstration projects has been conducted. C ontrasted to Chicago s demonstration project of the City Hall, there is a lack of date collection, benefit analysis, media coverage, and public education of the demonstration projects in Chengdu. T he lack of awareness which is a significant barrier to promoting green roofs in China is usually ignored In Shanghai, when retrofitting flat roofs, residents would
46 change the flat roofs into sloped roofs rather than transform them into green roofs. A report shows that cost of irrigation, worrying about leaking, and trouble of bugs a re reasons why dwellings tend to not utilize a green roof (Zhu & Qiu, 2005) I n fact, through appropriate technology and plant selection, these barriers could be avoided or improved. O n China, as little data was collected to pr ove the avoiding of barriers and the benefits to the public, most of dwellings care about the barriers while know little about the benefits of green roofs. F rom U.S. cases, lessons are learned that a comprehensive process to improve public awareness is mor e effective than a single tool. S pecifically, the Chicago case shows that the process including demonstration project, data collection and analysis, seminar and exhibition, and media coverage generate the awareness successfully. Coordination of Green Roof Policies I n 2005, Green Roofs for Health Cities reported that Chicago had the largest completed green roof square footage in the U.S., which is 27,500 sq meters ( 295,600 sq ft ) Chicago has taken a series of green policies (Table 4 8) T he first step is g enerating awareness. A series of tools were carried out. I n 2001, Chicago constructed the famous demonstration green roof on Chicago City Hall. (Earth Oledge, 2005) Data was collected showing the benefit of green roof compared with a standard roof on Cook County Administration Building located near the City Hall. I t proves the benefit of improving microclimate. F ollowed with the demonstration project, t he city also t ook public education campaigns i n 2002 and 2003 including put ting Guide to Rooftop Gardening on city s public website and holding seminars about Green Roofs for Homeowners
47 T he second step is to encourag e the construction of green roofs by a comprehensive policy mechanis m. I n 2002, Chicago established a new en ergy code as the beginning towards green roofs, which required minimum levels of reflectivity for all new roofs, and allows green roofs or solar pan els instead of inappropriate masteries (Earth Oledge, 2005) I n the same year, lump sum subsidy policy is adopted helping to solve the barrier of construction cost. s Department of Planning and Development found a gree n roof regulation mechanism. According to Chicago s building green/green roof policy buildings get public assistance In addition, the Green Roof Grant Program has funded more than 70 green roof projects between 2005 and 2007. M oreover, an incentive regul ation is that the city offer s a density bonus to developers if they construct new project with green roofs. L ong term financial incentive also works. O n January 1, 2008, a new stormwater ordinance was put into effect requiring parcel owners control stormwa ter volumes and peak flows. A green roof is a potential effective tool. In China, Standard of Aqui ferous Soil covered Planting Roof Technology, which is the first green roof policy, was adopted in 1994 in Sichuan province. Chengdu, the capital of Sichuan p rovince, has the largest total green roof area of Chinese cities. A s the beginning of developing green roof industry, a number of demonstration projects have been conducted in 2005. T he Building and Construction Commission, the Department of Urban Planning the Department of Parks and Forests, and the Department of Enforcement coordinated and established a series of policies including lump sum subsidies, mandatory regulations, and incentive regulations. Guideline of Green Roofs and Vertical Gardens was adop ted as a technical guide. New flat roof
48 constructions in Chengdu which is below 12 stor eys or is lower than 40 meters (131 ft) must utilize green roofs. G overnment provided funding for projects with green roofs in 2005. 50/ ( $ 0.73/sq ft) was funded for green roofs and the total was 1 million. I n addition, the developer is awarded 1 sq meter bonus for each sq meter of green roofs with the total bonus not exceeding 20% of the total floor area ( ChengduGovernment, 2005) A s a result of these policies, more than 90% of new building projects had been covered with green roofs, and more than 2 million sq meter green roofs had been constructed by 2006 (Baiduwenku, 2011) T hrough these two cases, l essons learned that setting up a mechanism including generating the awareness of using green roofs, proving the benefits, providing technology support, and adopting financial incentives as an organic system is necessary. D ifferent types of methods coordinate together are more effective. A comprehensive green roof policy system has more power than dozens of single policies.
49 Figure 4 1 Chicago city hall
50 Table 4 1 Types of lump sum subsidies Types of lump sum subsidies U.S. p olicy Chinese policy Grant program Chicago s Green Grant Program: Support 72 projects through a competitive selection process Home Depot Foundation : P rovide funding for conferences, workshops, and research projects Governmental direct subsidy Zhengzhou : provide up to 100 for each sq meter of green roofs Outstanding r oof g arden Competition Chongqing: Award and fund o utstanding r oof g ardens through competition
51 Table 4 2 b uilding g reen/ g reen r oof M m atrix (Miller, 2008) Project Type Public Assistance: RFPs, Negotiated Sales with land write down, TIF, Empowerment Zone Grants, DOH Public Assistance: Bond Issues, Class 6b, SBIF, Enterprise Zone Facility Bonds, Bank Participation Loans No Public Assistance: Planned D evelopments, Lakefront Protection Ordinance Developments RESIDENTIAL Market Rate SF, TH, Multi units < 4 units Energy Star or LEED certification Market Rate => 4 units 50% Green Roof and Energy Star Certification or LEED Certification* 50% Green Ro of and Energy Star Certification* 25% Green Roof* > 20% Affordable Units or CPAN DOH Green Criteria INSTITUTIONAL Hospitals 50% Green Roof or 25% Green Roof and LEED Certification* >25% Green Roof or 10% Green Roof and LEED Certification* 25% Green Roof or 10% Green Roof and LEED Certification* Community Centers & Schools** 25% Green Roof or 10% Green Roof and LEED Certification* INDUSTRIAL 10% Green Roof or Energy Star Roof and LEED Certification >10% Green Roof and Energy Star Roof COMMERCIA L Retail > 10,000 s.f.*** 75% Green Roof or 50% Green Roof and LEED Certification* 50% Green Roof or 25% Green Roof and LEED Certification* 50% Green Roof* Retail < 10,000 s.f. 25% Green Roof or LEED Certification* Energy Star Roof Energy Star Roof O ffice > 80 feet 100% Green Roof 75% Green Roof* 50% Green Roof Office < 80 feet 50% Green Roof or Energy Star Roof and LEED Certification Energy Star Roof Legend: SF= Single family TH= Townhouses
52 RFP= Request for Proposals TIF= Tax Increment Financing SBIF= Small Business Improvement Fund DOH= Department of Housing CPAN= Chicago Partnership for Affordable Neighborhoods Table 4 3 Types of long term financial incentives Types of long term financial incentives U.S. policy Chinese policy C redit towards s tormwater utility fee Portland : A llow for up to 35% reduction for private stormwater management Governmental subsidy Beijing: Provide maintenance subsidy for extensive green roofs is 10 per sq meter per year, and for intensive roof gardens is 20 per sq meter per year T ax preference Shenzhen: C redit towards tax rate Table 4 4 Types of mandatory regulation Types of mandatory regulation U.S. policy Chinese policy C ity owned buildin g Portland: all new city owned facilities include a green roof with 70% coverage unless the green roof is impractical Shanghai: new public facilities including governmental, institution, cultural, and physical constructions which are suitable for green roo fs should implement green roofs A ll building Chengdu: new constructions with flat roofs which is below 12 stor eys or is lower than 40 meters (131 ft) must implement green roofs Beijing: 30% of roofs of high rise buildings and 60% of roofs of low rise bu ildings must be covered by green roofs Hangzhou: all new buildings should implement green roofs
53 Table 4 5 Types of incentive regulation Types of incentive regulation U.S. policy Chinese policy D ensity bonus Portland: for green roofs that cover up to 30 % of the roof area, one sq ft of bonus is allowed for each sq ft of green roof ; f or green roof coverage of up to 60% of the roof area, two sq ft of bonus is allowed for each sq ft of green roof ; f or green roof coverage of greater than 60% each sq ft of gre en roof will allow three sq ft of bonus Chengdu: awards 1 sq meter bonus for each sq meter of green roofs with the total bonus not exceeding 20% of the total floor area Calculation into greening rate (land use regulation) Beijing: 20% of green roof area is counted into greening rate Table 4 6 R ates of green roof area counted into green land area in Hangzhou Roof Level (meter) < 0 .3 0.3 1.5 >1.5 Depth of Media (meter) 0.5 1 >1 0.5 1 >1 0.5 1 >1 Conversion Factor (%) 60 80 50 70 40 60
54 Table 4 7 Typ es of other tools T ypes of other tools U.S. policy Chinese policy D emonstration projects Chicago city hall: collect and analyze data Earth Pledge : through demonstration projects, assess the cost and benefit of green roofs to local district and formulate policies to promote green roofs Chengdu: each of the five distract builds an demonstration project with a green roof larger than 5,000 sq meter M edia coverage Chicago: put Guide to Rooftop Gardening on city s public website Seminar Chicago: h o ld a ser ies of seminars about Green Roofs for Homeowners P ublic education Earth Pledge : promote public education to spread green roof knowledge S pecification establishment Beijing: indicate basic demands, type of roofs, design of vegetation, selection of pl ants, and green roof technology for constructions in Beijing area S hanghai: provide technical support including roof load, waterproof membrane root resistant, drainage layer, filtration layer, substrate, and type of plants Table 4 8 Types of green roof policy in Chicago and Chengdu S tep Chicago, the U.S. Chengdu China G enerating awareness D emonstration project, data collect and analysis P ublic education M edia coverage S eminar D emonstration project Specification establishment E ncouraging implement N e w energy code B uilding Green/ Green Roof Policy G reen roof grant program D ensity bonus S tormwater management G overnmental subsidy C ompetition M andatory regulation D ensity bonus
55 CHAPTER 5 ANALYSIS AND CONCLUS ION Lessons Learned First, lump sum subsidies help to implement green roofs, while long te rm financial incentives are more effective for the roof maintenance and plant conservation Second mandatory regulation s result in a dramatic increase of green roofs in a short period, but tend to fail at promot ing public awareness thus the low quality of roofs and the lack of plant conservation Third, there is a lack of green roof incentive regulations in most Chinese cities specifically through stormwater management policy Fo rth, demonstration projects help to provide technical support and generate public awareness. Furthermore, comparison of green roof policies in Chicago and Chengdu shows that there is an absence of details to form a comprehensive policy mech a nism, such as data collection, media coverage, a nd the criteria standard of subsidies. Application of Green Roof Policy: Wuhan, China W uhan, the provincial capital of Hubei, is the biggest city in Central China with a population of 9.78 million. A s a result of heavy rains in every summer, the urban are a was attacked by flooding every year (Figure 5 1). A ccording to Wuhan Urban Master Plan, the current stormwater management approach focuses on the conservation and improvement of the flood storage function of lakes (Wuhan Depart ment of Land Resource and Urban Planning, 2009) B ased on this plan, W uhan Lake Management Approach mandates several measures whic h are: through enhance the vegetation, strengthen and fix the lake shores with natural environment; clean the garbage and w aste residue in the lake area; demolish illegal buildings around the water body; treatment sewage before it discharged (Wuhan Government, 2011) EPA has noted
56 several best practices for stormwater management, including curb and gutter elimination, grassed swales, green parking design, infiltration trenches, permeable pavement, permeable paves, vegetated roofs, and etc (EPA) B ut Chinese policy lack to relate these potential details. G reen r oofs, as one of the BMPs, are ca pa ble of decrease 50% of annual rainfall volume from roofs (EPA, 2009) I n addition green roofs also filter heavy metals (Johnston & Newton, 1996) and nut rients from rainwater. The excess water which is filtered could be collected and stored for irrigation in sunshine days T here are few existing green roof policy infrastructures. I n 2006, Wuhan set a target of constructing at least 29 new roof gardens eve r year. I n 2008, Wuhan municipal government invested 27.6 million to start roof greening. I t is calculated that the funding can build 90,000 sq meter green roofs. B ecause of the lack of uniform guidance and policy to encourage the implementation of green roofs, green roof industry developed slowly. B y 2009, 10,000 sq meter green roofs had been built in Wuhan (Baiduwenku, 2011) F our steps may promote the green roof industry (Table 5 1) T he first step is to generate awareness. G overnment provides funding to build demonstration project. I n order to have an enormous influence, the demonstration project should be a famous public building, such as the city hall, a museum, or a theatre. B ased on the demonstration project, data is col lected proving the benefit of a green roof. The city holds exhibitions and seminars for public education, then with the aid of media coverage, expands the influence. An example can be referred is Chicago city hall (Figure 4 1). T he city constructed the dem onstration green roof on Chicago City Hall. (Earth Oledge, 2005) F urthermore, Data was collected and compared with a standard
57 roof on Cook County Administration Building which is located near the City Hall. T he data proves the benefit of improving microclimate. F ollowed w ith the demonstration project, t he city also t ook public education campaigns including put ting Guide to Rooftop Gardening on city s public website and holding seminars about Green Roofs for Homeowners T he second step is to provide technical support. U niversities institutes and NGOs assist the government to formulate the specification of green roof technology, as a reference to implement this technology. A U.S. example is that the Earth Pledge. Through demonstration projects and research, Earth Pledg e assists the government to assess the cost and benefit of green roofs to local district and formulate policies to promote green roofs. Earth Pledge also invests funding to support analysis of green roofs. F urthermore, the government conducts grant program to support the research of low cost green roof technology. These two steps are preparation to ensure that the promoting process works well. T he next step is to encourage the implement ation of green roofs. Mandatory regulation indicates that public buildin gs implement green roofs such as s all new city owned facilities include a green roof with 70% coverage unless the green roof is impractical (Carter & Fowler, 2008) T hese projects provide technology support and perf ormance for commercial and residential buildings to refer. L ump sum subsidies and grant programs are conducted to solve the cost based barriers. F or example, based on Chicago s building green/green roof policy (Table 4 2), the city s Green Roof Grant Progr am provided grant for 72 selected green roof projects. A lso a Chinese example is that Zhengzhou municipal g overnment provided up to 100 for each sq meter of green
58 roofs in 2008 I n addition, competition s and a warding improve the quantity and quality of green roofs such as Chongqing s competition of Outstanding Roof Gardens, offering awarding instead of subsid y S pecifically, detailed standard should be formulated defining what a good green roof is (Table 4 2) F urthermore, density bonus and green ing rate bonus are also adopted to encourage the developers to implement green roofs. Portland has adopted this type of policy for green roofs that cover up to 30% of the roof area, one sq ft of bonus is allowed for each sq ft of green roof ; f or green roof coverage of up to 60% of the roof area, two sq ft of bonus is allowed for each sq ft of green roof ; f or green roo f coverage of greater than 60% each sq ft of green roof will allow three sq ft of bonus (Carter & Fowler, 2008) Greening rate bonus also works. F or example, Hangzhou counts the area of green roofs into green land area. F inall y, the last step is roof maintenance and plant conservation. L ong term financial incentives are adopted as a compensation of the cost. Shenzhen s credit towards tax rate may be a n effective tool S tormwater management should be enhanced and regulating and controlling by stormwater utility fee is a practical tool F or example, s policy allows for up to 35% reduction for private stormwater management which includes green roofs (Carter & Fowler, 2008) F urthermore, surveys are conducted for two reasons: collect the performance data to improve the green roof technology, and supervise the maintenance. N one of cities has conducted this policy so far. Discuss ion and Conclusion T o summarize, four steps may promote green roofs by policy, which are generating awareness, providing technical support, encouraging implementation, and roof maintenance and plant conservation (Table 5 1). S pecifically, when comparing th e
59 green roof policies in the U.S. and China, it is demonstrated that there are several gaps of Chinese policy. First, s tormwater management is a significant aspect of sustainable development, while f ew of Chinese cities charge stormwater utility fee for si ngle families. Second, NGOs play an important role in U.S. society, while NGOs need more development in China. I n addition, the lack of detailed policy leads the policy difficult to be carried out. F inally, I want to emphasize the importance of green roof s. G reen roof have comprehensive benefits for sustainable development. Compared with other sustainable strategies, green roofs not only are an effective practice but also have a esthetic and amenity value More and more cities are realizing the significance of green roofs. T his thesis provides the potential policy strategies for municipal government promoting green roofs.
60 Figure 5 1 Flooding in Wuhan
61 Table 5 1 Steps to promote green roofs G enerat ing awareness Providing technical support Encouraging impl ementation Roof maintenance and plant conservation Demonstration project, data collect and analysis Exhibition Seminar Media coverage Establishing Specification Researching low cost technology Mandatory regulation Lump sum subsidies and grant programs Competition and awarding Density bonus Greening rate bonus Long term financial incentives: reduction to stormwater utility fee or tax rate Survey and Analysis: performance and maintenance of green roofs
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6 7 BIOGRAPHICAL SKETCH He Miaomiao graduated with honors from Huazhong University of Science and Technology in 2009 with a Bachelor of Architecture In the same year, s he enrolled the Graduate School of College of Architecture and Urban Planning, Huazhong University of Science and Technology, majoring in a rchitecture She then enrolled the College Design, Construction, and Planning, University of Fl orida majoring in Architecture Sh e is set to graduate in December 2011 from the University of Flori da with a Master of Science in a rchitectural s tudies with a concentration in s ustainable d esign. And she wi ll graduate from Huazhong University of Science and Technology in March 2012 with a Mas ter of Architecture He Miaomiao currently resides in Gainesville, Florida and spends most of her time studying, reading and enjoying the life