Urban Sustainability

Ali Cheshmehzangi
Bao-Jie He
Ayyoob Sharifi
Andreas Matzarakis Editors

Climate
Change and
Cooling Cities
Urban Sustainability

Editor-in-Chief
Ali Cheshmehzangi , Qingdao City University,
Qingdao, Shandong, China
The Urban Sustainability Book Series is a valuable resource for sustainability and
urban-related education and research. It offers an inter-disciplinary platform covering
all four areas of practice, policy, education, research, and their nexus. The publica-
tions in this series are related to critical areas of sustainability, urban studies, planning,
and urban geography.
This book series aims to put together cutting-edge research findings linked to
the overarching field of urban sustainability. The scope and nature of the topic
are broad and interdisciplinary and bring together various associated disciplines
from sustainable development, environmental sciences, urbanism, etc. With many
advanced research findings in the field, there is a need to put together various discus-
sions and contributions on specific sustainability fields, covering a good range of
topics on sustainable development, sustainable urbanism, and urban sustainability.
Despite the broad range of issues, we note the importance of practical and policy-
oriented directions, extending the literature and directions and pathways towards
achieving urban sustainability.
The series will appeal to urbanists, geographers, planners, engineers, architects,
governmental authorities, policymakers, researchers of all levels, and to all of those
interested in a wide-ranging overview of urban sustainability and its associated fields.
The series includes monographs and edited volumes, covering a range of topics under
the urban sustainability topic, which can also be used for teaching materials.
Ali Cheshmehzangi · Bao-Jie He · Ayyoob Sharifi ·
Andreas Matzarakis
Editors

Climate Change and Cooling

Cities
Editors
Ali Cheshmehzangi Bao-Jie He
Qingdao City University Chongqing University
Qingdao, Shandong, China Chongqing, China

Ayyoob Sharifi Andreas Matzarakis

IDEC Institute German Meteorological Service
Hiroshima University Research Centre Human Biometeorology
Higashi-Hiroshima, Hiroshima, Japan Freiburg, Germany

ISSN 2731-6483 ISSN 2731-6491 (electronic)

Urban Sustainability
ISBN 978-981-99-3674-8 ISBN 978-981-99-3675-5 (eBook)
[Link]

© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature
Singapore Pte Ltd. 2023

This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether
the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse
of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and
transmission or information storage and retrieval, electronic adaptation, computer software, or by similar
or dissimilar methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication
does not imply, even in the absence of a specific statement, that such names are exempt from the relevant
protective laws and regulations and therefore free for general use.
The publisher, the authors, and the editors are safe to assume that the advice and information in this book
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Singapore
Ali Cheshmehzangi dedicates this book to all
his recent collaborators from the industry,
governmental organisations, and academia
who have been actively engaged with project
workshops, surveys, data collection, and
stakeholder discussion sessions.
Bao-Jie He dedicates this book to all his
collaborators on urban climate and
sustainable built environment for their
support on questionnaire survey, interview,
workshop, seminars, roadshow, and project
demonstration.
Ayyoob Sharifi dedicates this book to all
researchers and policy makers interested in
taking actions towards urban heat adaptation
and mitigation.
Andreas Matzarakis dedicates this book to
all his collaborators and colleagues at the
Research Centre Human Biometeorology and
the University of Freiburg. Also dedicated to
all young researchers willing to contribute to
this topic.
Lastly, we collectively dedicate this book to
climate change activities around the globe
and we hope they get more attention and
support as they continue their battle against
the current flows.
Acknowledgements

We would like to sincerely thank all authors and contributors for their hard work and
dedication in writing their chapters. While we met some of them online in recent
months, we hope we get the opportunity to meet all of them in person in the near
future. Their support, dedication, and continuous efforts are recognised, genuinely
valued, and highly appreciated.
Ali Cheshmehzangi acknowledges the National Natural Science Foundation of
China (NSFC) for funding project number 71950410760. He also appreciates the
support from the Ministry of Education, Culture, Sports, Science, and Technology
(MEXT) and the Network for Education and Research on Peace and Sustainability
(NERPS) at Hiroshima University, Japan.

vii
About This Book

With ever-increasing climate change impacts on our living environments and contin-
uous calamities and natural disasters around the world, we urge for new approaches,
apt action, and adequate support to boost cooling strategies for the built environ-
ments. To achieve this goal, research, practice, and policy could do much more to
provide us with new pathways to achieve sustainable development. This collection
helps to put together an excellent set of global case studies from regional contribu-
tors, exploring new cooling design, planning, and directions in cities, communities,
and the built environments.
Climate Change and Cooling Cities is a comprehensive collection of theoret-
ical perspectives and global case study examples focused on three core areas of (1)
concepts, theories, and trends, (2) mitigation and adaptation strategies, and (3) poli-
cies. This edited volume provides a solid foundation for future research on cooling
cities, climate change impacts on cities and urban environments, and innovative
mitigation and adaptation strategies. The book will be of use to various stakeholders,
and more importantly to urban specialists, planners and designers, policy makers,
academics, practitioners, and developers. We urge them to mitigate climate change
before it gets too late. We are confident that the book could provide readers with new
ideas, strategies, and directions that could lighten up the path towards new actions,
policies, and innovation.
This volume addresses cooling strategies in cities to combat climate change,
looking at multiple aspects, scenarios, opportunities, and directions in making
cities cooler and mitigating the climate change impacts as much as possible. This
timely book has arisen partly from year-long discussions, activities, dialogues,
and exchanges between all four editors (from China, Japan, and Germany) and
contributing authors from various parts of the world. Through many global case

ix
x About This Book

study examples, its contributors address cooling and explore ways of reducing cooling
demand, heat island effects, etc. We hope this book’s up-to-date materials and case
study examples remain valid and beneficial for many years ahead.

Ali Cheshmehzangi
Bao-Jie He
Ayyoob Sharifi
Andreas Matzarakis
Contents

1 Climate Change, Cities, and the Importance of Cooling

Strategies, Practices, and Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Ali Cheshmehzangi, Bao-Jie He, Ayyoob Sharifi,
and Andreas Matzarakis

Part I Concepts, Theories, and Trends

2 Urban Heat Mitigation Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Jinda Qi and Bao-Jie He
3 Biophilic Design: Pinpointing Nature-Based Techniques
in Urban Areas to Combat Global Warming . . . . . . . . . . . . . . . . . . . . . 45
Abdollah Baghaei Daemei, Masoumeh Mazandarani,
and Mahshid Motamed
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal
Dynamics of Urban Thermal Field Variance Index Under
Rapid Urbanization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Mirza Waleed and Muhammad Sajjad
5 Urban Heat Island (UHI) Implications and a Holistic
Management Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Hafiza Saba Islam, Talib Elahi Butt, Shaker Mahmood Mayo,
Siddiqa Amin, and Maria Ali

Part II Mitigation and Adaptation Strategies

6 Contribution of Bodies of Water to the Mitigation of UHI
Effect in Urban Canyon: A Parametric Study Approach . . . . . . . . . . 99
Nedyomukti Imam Syafii and Masayuki Ichinose

xi
xii Contents

7 The Challenge of Cooling Rapidly Growing Cities: The Case

of Densification and Peri-Urbanisation in Ho Chi Minh City
and Adaptation Responses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Antje Katzschner, Nguyen Kieu Diem, Thanh Hung Dang,
and Nigel K. Downes
8 Traditional Dwellings in Four Middle Eastern Cities:
Adaptation Strategies to Harsh Climate in Privacy . . . . . . . . . . . . . . . 129
Hirou Karimi, Mohammad Anvar Adibhesami,
Maryam Ghasemi, and Borhan Sepehri
9 Urban Thermal Environment Under Urban Expansion
and Climate Change: A Regional Perspective from Southeast
Asian Big Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
Can Trong Nguyen, Amnat Chidthaisong,
Rungnapa Kaewthongrach, and Wijitbusaba Marome
10 Climate-Responsive Designs to Enhance Outdoor Thermal
Comfort in Urban Residential Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169
Tingting Yuan, Hongyun Qu, and Bo Hong
11 Dynamic Annual Solstice Patterns and Urban Morphology:
Bioclimatic Lessons for In-situ Adaptation Measures
within the Warming City of Ankara, Türkiye . . . . . . . . . . . . . . . . . . . . 189
Andre Santos Nouri, José Abel Rodriguez-Algecíras,
and Andreas Matzarakis
12 Comparison of Thermal Indices in Urban Environments
with SkyHelios Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Marcel Gangwisch and Andreas Matzarakis

Part III Policies

13 Urbanisation and Urban Heat Island in a Mekong Delta City:
From Monitoring to Dominant Factors . . . . . . . . . . . . . . . . . . . . . . . . . . 235
Phan Kieu Diem, Nguyen Kieu Diem, Can Trong Nguyen,
and Nguyen Thi Hong Diep
14 A Study on Thermal Comfort Assessment Frameworks
and Models in Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
Hadi Alizadeh and Ayyoob Sharifi
15 Who Benefits More from Urban Cooling Strategies?
Exploring Climate Justice in Vulnerable Groups’ Access
to Blue-Green Infrastructure in Mashhad City, Iran . . . . . . . . . . . . . . 265
Safoora Mokhtarzadeh and Mahdi Suleimany
Contents xiii

16 Urban Biometeorology of Tropical Climate: Af, Am, Aw,

a Propensity of 34 Provincial Cities in Indonesia . . . . . . . . . . . . . . . . . 283
Beta Paramita and Andreas Matzarakis
17 Conclusions and the Way Forward . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297
Ayyoob Sharifi, Andreas Matzarakis, Bao-Jie He,
and Ali Cheshmehzangi
Editors and Contributors

About the Editors

Ali Cheshmehzangi is the World’s top 2% field leader, recognised by Stanford

University. He has recently taken a senior leadership and management role at Qingdao
City University (QCU), where he is a Professor in Architecture and Urban Plan-
ning; Director of the Center for Innovation in Teaching, Learning, and Research;
and Advisor to the school’s international communications. Over 11 years at his
previous institute, Ali was a Full Professor in Architecture and Urban Design, Head
of the Department of Architecture and Built Environment, Founding Director of
the Urban Innovation Lab, Director of Center for Sustainable Energy Technologies,
and Director of Digital Design Lab. He was Visiting Professor and now Research
Associate of the Network for Education and Research on Peace and Sustainability
(NERPS) at Hiroshima University, Japan. Ali is globally known for his research on
‘urban sustainability’. So far, Ali has published over 300 journal papers, articles,
conference papers, book chapters, and reports. To date, he has 17 other published
books.

Bao-Jie He is a Professor of Energy and Sustainable Built Environment at School of

Architecture and Urban Planning, and the leader of the Centre for Climate-Resilient
and Low-Carbon Cities, Chongqing University. Bao-Jie is also the Research Fellow at
Network for Education and Research on Peace and Sustainability, Hiroshima Univer-
sity, Japan. Bao-Jie He was a Postdoc Research Fellow, Research Associate, Ph.D.
researcher, at UNSW Sydney, Australia. Bao-Jie is working on the technologies
of Cool Cities and Communities and Net Zero Carbon Built Environment. Bao-
Jie has published more than 110 peer-reviewed papers in high-ranking and deliv-
ered invited talks in reputable conferences. Bao-Jie has a H-index of 42 (Scopus).
Bao-Jie has been involved in several large research projects on energy and built
environment in Australia. Bao-Jie has been invited to act Topic Editor-in-Chief,
Leading Guest Editor, Associate Editor, Editorial Board Member, Conference Chair,
Sessional Chair, Scientific Committee of a variety of reputable international journals

xv
xvi Editors and Contributors

and conferences. Bao-Jie received the Highly Cited Researcher Title (Clarivate) in
2022, the Sustainability Young Investigator Award in 2022, the Green Talents Award
(Germany) in 2021, and National Scholarship for Outstanding Foreign Students
(China) in 2019. Bao-Jie was ranked as one of the Single-year & Career 100,000
global scientists (2%) by the Mendeley in 2020, 2021, and 2022.

Ayyoob Sharifi is a Professor at the IDEC Institute, Hiroshima University. His

research is mainly at the interface of urbanism and climate change mitigation and
adaptation. He has published over 100 articles on issues related to urban planning,
design, and management. Ayyoob actively contributes to global change research
programs such as the Future Earth and has served as a lead author for the Sixth Assess-
ment Report (AR6) of the Intergovernmental Panel on Climate Change (IPCC).
Before joining Hiroshima University, he was the Executive Director of the Global
Carbon Project (GCP)-a Future Earth core project- leading the urban flagship activity
of the project which is focused on conducting cutting-edge research for supporting
climate change mitigation and adaptation in cities.

Andreas Matzarakis studied meteorology at the Ludwigs-Maximilians-Universität

(LMU) Munich, and completed his dissertation on the bioclimate of Greece in
1995 at the Aristoteles University in Thessaloniki. Between 1995 and 2001, he
served as a research assistant for the Meteorological Institute of the University of
Freiburg. He wrote his habilitation on the ‘thermal component of the urban climate’.
Between October 2001 and July 2015, he was a senior research associate at the
University of Freiburg, and was subsequently appointed an extraordinary Professor in
October 2006. Since August 2015, he has served as the head of the Research Centre
Human Biometeorology of the German Meteorological Service. Between 1996 and
2014, he chaired the commission for climate, tourism, and recreation of the Interna-
tional Society of Biometeorology, and served as the vice-president of the International
Society of Biometeorology between 2006 and 2009. Since 2016, he is the chairman
or the German Society for the advancement of medical-meteorological research. He
is the editor in Chief for the Section of Biometeorology of the Atmosphere Journal.
From 2022 onwards, he has acted as the external member of the Administration
Council of the Democritus University of Trace in Greece.
His publications cover more than 300 review papers and journal articles, many
books and book chapters. Core research interests relay to human bioclimatology and
urban climatology, climatology of tourism and climate change impact research. A
further research focus is the development of models and tools for applied climatology
and biometeorology (e.g. the RayMan model, SkyHelios model, and CTIS [Climate-
Tourism-Information-System]).
Editors and Contributors xvii

Contributors

José Abel Rodriguez-Algecíras Department of Architecture, University of

Camagüey, Camagüey, Cuba
Mohammad Anvar Adibhesami Department of Design for Health, School of
Architecture and Environmental Design, University of Science and Technology,
Tehran, Iran
Maria Ali Department of City & Regional Planning, Lahore College for Women
University, Lahore, Pakistan;
Department of City & Regional Planning, University of Engineering & Technology
Lahore, Lahore, Pakistan
Hadi Alizadeh Department of Geography and Urban Planning, Faculty of Human-
ities, Shahid Chamran University of Ahvaz, Ahvaz, Iran;
Iran Ministry of Road and Urban Development, Office of Housing Planning and
Economies, Tehran, Iran
Siddiqa Amin Department of City & Regional Planning, Lahore College for
Women University, Lahore, Pakistan;
Universiti Technology Malaysia, Johor Bahru, Malaysia
Talib Elahi Butt Faculty of Engineering & Environment, Northumbria University,
City Campus, Newcastle Upon Tyne, UK
Ali Cheshmehzangi Network for Education and Research on Peace and Sustain-
ability (NERPS), Hiroshima University, Hiroshima, Japan;
School of Architecture, Qingdao City University (QCU), Qingdao, China
Amnat Chidthaisong The Joint Graduate School of Energy and Environment, King
Mongkut’s University of Technology Thonburi (KMUTT), Bangkok, Thailand
Abdollah Baghaei Daemei School of Built Environment, College of Science,
Massey University, Auckland, New Zealand
Thanh Hung Dang Department of Architecture, Ho Chi Minh City University of
Architecture, Ho Chi Minh City, Vietnam
Nguyen Kieu Diem College of Environment and Natural Resources, Can Tho
University, Can Tho, Vietnam
Phan Kieu Diem College of Environment and Natural Resources, Can Tho Univer-
sity, Can Tho, Vietnam
Nguyen Thi Hong Diep College of Environment and Natural Resources, Can Tho
University, Can Tho, Vietnam
Nigel K. Downes College of Environment and Natural Resources, Can Tho Univer-
sity, Can Tho, Vietnam
xviii Editors and Contributors

Marcel Gangwisch Research Centre Human Biometeorology, German Meteoro-

logical Service, Freiburg, Germany;
Chair of Environmental Meteorology, Institute of Earth and Environmental Sciences,
Faculty of Environment and Natural Resources, University of Freiburg, Freiburg,
Germany
Maryam Ghasemi Faculty of Architecture, Eastern Mediterranean University,
Famagusta, North Cyprus, Turkey
Bao-Jie He Network for Education and Research on Peace and Sustainability
(NERPS), Hiroshima University, Hiroshima, Japan;
Centre for Climate–Resilient and Low–Carbon Cities, School of Architecture and
Urban Planning, Key Laboratory of New Technology for Construction of Cities in
Mountain Area, Ministry of Education, Chongqing University, Chongqing, China;
Institute for Smart City, Chongqing University, Liyang, Jiangsu, China
Bo Hong College of Landscape Architecture & Arts, Northwest A&F University,
Yangling, China
Masayuki Ichinose Department of Architecture and Building Engineering, Tokyo
Metropolitan University, Hachioji, Japan
Hafiza Saba Islam Department of City & Regional Planning, Lahore College for
Women University, Lahore, Pakistan;
Department of City & Regional Planning, University of Engineering & Technology
Lahore, Lahore, Pakistan
Rungnapa Kaewthongrach Space Technology Research Center, Geo-Informatics
and Space Technology Development Agency (GISTDA), Chonburi, Thailand
Hirou Karimi Faculty of Architecture, Eastern Mediterranean University, Fama-
gusta, North Cyprus, Turkey
Antje Katzschner Department of Geography, Ludwig Maximilian University of
Munich, Munich, Germany;
Department of International Affairs, University of Hamburg, Hamburg, Germany
Wijitbusaba Marome Thammasat University Research Unit in Urban Futures and
Policy, Pathum Thani, Thailand;
Faculty of Architecture and Planning, Thammasat University, Pathum Thani,
Thailand
Andreas Matzarakis Research Centre Human Biometeorology, German Meteoro-
logical Service, Freiburg, Germany;
Chair of Environmental Meteorology, Institute of Earth and Environmental Sciences,
Faculty of Environment and Natural Resources, University of Freiburg, Freiburg,
Germany
Shaker Mahmood Mayo Department of City & Regional Planning, University of
Engineering & Technology Lahore, Lahore, Pakistan
Editors and Contributors xix

Masoumeh Mazandarani School of Architecture, University of Tehran, Tehran,

Iran
Safoora Mokhtarzadeh Department of Urban Planning, Faculty of Architecture
and Urbanism, Daneshpajoohan Pishro Higher Education Institute, Isfahan, Iran
Mahshid Motamed Rahyaft Research and Design Studio, Shiraz, Iran
Can Trong Nguyen Faculty of Engineering, Prince of Songkla University, Hat yai
campus, Songkhla, Thailand;
Space Technology Research Center, Geo-Informatics and Space Technology Devel-
opment Agency (GISTDA), Chonburi, Thailand
Andre Santos Nouri Department of Interior Architecture and Environmental
Design, Faculty of Art, Design and Architecture, Bilkent University, Bilkent, Turkey
Beta Paramita Department of Architecture, Universitas Pendidikan Indonesia,
Bandung, Indonesia
Jinda Qi School of Design and Environment, National University of Singapore,
Singapore, Singapore;
Faculty of Built Environment, University of New South Wales, Sydney, Australia
Hongyun Qu College of Landscape Architecture & Arts, Northwest A&F Univer-
sity, Yangling, China
Muhammad Sajjad Department of Geography, Hong Kong Baptist University,
Kowloon Tong, Hong Kong SAR;
Centre for Geo-Computation Studies, Hong Kong Baptist University, Kowloon Tong,
Hong Kong SAR
Borhan Sepehri Faculty of Art and Architecture, Urban Design, Tarbiat Modares
University, Tehran, Iran
Ayyoob Sharifi The IDEC Institute, Hiroshima University, Higashi-Hiroshima,
Japan
Mahdi Suleimany Department of Urban Planning and Management, University of
Tehran, Tehran, Iran
Nedyomukti Imam Syafii Department of Architecture and Planning, Universitas
Gadjah Mada, Yogyakarta, Indonesia
Mirza Waleed Department of Geography, Hong Kong Baptist University, Kowloon
Tong, Hong Kong SAR
Tingting Yuan College of Landscape Architecture & Arts, Northwest A&F Univer-
sity, Yangling, China
Chapter 1
Climate Change, Cities,
and the Importance of Cooling
Strategies, Practices, and Policies

Ali Cheshmehzangi , Bao-Jie He, Ayyoob Sharifi ,

and Andreas Matzarakis

Abstract Cities, the prominent place of human settlements, face various mega chal-
lenges. Among them, extreme heat challenge, the combined effect of heat waves and
heat islands, is the deadliest disaster (Anderson and Bell in Environmental Health
Perspectives 119(2):210–218, 2011; City of Sydney, Adapting for climate change:
A long term strategy for the city of Sydney, 2015; De Bono et al., Environment Alert
Bulletin, 2:4, 2004). For instance, the extreme heat event in Europe in 2003 killed
about 72,000 people (WMO, United Nations News, 2021), and the extreme heat
event in June–August 2022 caused more than 53,000 deaths.

1 Prologue: Climate Change and Cooling Cities

Cities, the prominent place of human settlements, face various mega challenges.
Among them, extreme heat challenge, the combined effect of heat waves and heat
islands, is the deadliest disaster (Anderson & Bell, 2011; City of Sydney, 2015; De
Bono et al., 2004). For instance, the extreme heat event in Europe in 2003 killed
about 72,000 people (WMO, 2021), and the extreme heat event in June–August
2022 caused more than 53,000 deaths (EU, 2022). Beyond health and lives, extreme

A. Cheshmehzangi (B)
School of Architecture, Qingdao City University (QCU), Qingdao, China
e-mail: [Link]@[Link]
A. Cheshmehzangi · B.-J. He
Network for Education and Research On Peace and Sustainability (NERPS), Hiroshima
University, Hiroshima, Japan
B.-J. He
Centre for Climate–Resilient and Low–Carbon Cities, School of Architecture and Urban
Planning, Key Laboratory of New Technology for Construction of Cities in Mountain Area,
Ministry of Education, Chongqing University, Chongqing 400045, China
B.-J. He (B)
Institute for Smart City, Chongqing University, Liyang 213300, Jiangsu, China
e-mail: [Link]@[Link]
© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 1
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
2 A. Cheshmehzangi et al.

heat is evidenced as the culprit of excessive energy and water consumption, envi-
ronmental deterioration, economic losses, social inequality, biodiversity loss, etc.
(Butters & Cheshmehzangi, 2018; Cheshmehzangi & Butters, 2015; Cheshmehzangi
et al., 2021; He et al., 2021). What’s worse, extreme heat challenges will be more
frequent, severe, and intense, along with climate change and urbanization. Therefore,
addressing global warming or urban warming is urgent to ensure human survival and
prosperity.
Moreover, extreme heat and its impacts are interlinked with many other mega chal-
lenges. Through the lens of Sustainable Development Goals proposed by the United
Nations, extreme heat deteriorates goals of Good health and well-being (Goal 3),
Gender Equality (Goal 5), Clean water and sanitation (Goal 6), Affordable and clean
energy (Goal 7), Decent work and economic growth (Goal 8), Reduced inequalities
(Goal 10), Sustainable cities and communities (Goal 11), Climate Action (Goal 13),
and Peace, justice, and strong institutions (Goal 16) (Khosla et al., 2021). Accord-
ingly, taking action to address urban heat challenges is an approach to promoting
and securing urban sustainability. Such an argument is true since extreme heat is or
will be a new normal for many cities in the coming years.
Since Howard identified the heat island phenomenon in London in 1818, numerous
scholars and experts have made efforts to address heat-related challenges in cities
and have shaped extreme heat studies as a transdisciplinary subject consisting of
urban meteorology, urban physics, landscape ecology, planning and design, urban
governance, and public health (He et al., 2023). For instance, in the 1930s–1980s,
urban meteorologists focused on the confirmation of the heat island phenomenon
across cities in North America, Europe, and East Asia (He et al., 2023), and some
scholars, represented by Oke (1988), explored the surface energy balance model to
explain heat island formation. Afterward, scientific efforts emerged into four clusters,
including (He et al., 2023):
. Heat island impact assessment and cause identification, characterized by the
understanding of the spatiotemporal variations of land surface temperature based
on “remote sensing” techniques and datasets and its relationship between land
use/land cover (Fletcher et al, 2021) or typically local climate zones (Stewart &
Oke, 2012).

A. Sharifi (B)
The IDEC Institute, Hiroshima University, Higashi-Hiroshima, Japan
e-mail: sharifi@[Link]
A. Matzarakis (B)
German Meteorological Service, Research Centre Human Biometeorology, 79104 Freiburg,
Germany
e-mail: [Link]@[Link]
Chair of Environmental Meteorology, Faculty of Environment and Natural Resources, University
of Freiburg, 79085 Freiburg, Germany
1 Climate Change, Cities, and the Importance of Cooling Strategies … 3

. Microclimate regulation and human thermal comfort assessment, characterized by

analysis of microclimatic parameters such as airborne temperature, wind speed,
relative humidity, and mean radiant temperature based on fixed or mobile measure-
ment, and assessment of human thermal comfort based on thermal comfort indi-
cators (e.g., PET, UTCI) (Matzarakis et al., 1999; Mayer & Höppe, 1987; Staiger
et al., 2019) and analytical models (e.g., RayMan, ENVI-met) (Bruse & Fleer,
1998; Matzarakis et al., 2007, 2021).
. Climate-related health impact assessment and adaptation, characterized by the
analysis of heat-related vulnerability, health, mortality, and air pollution based
on long-term data from professional or governmental authorities (e.g., medical
centre, hospitals, statistical bureau, public health department) (Hatvani-Kovacs
et al., 2016; Matzarakis, 2020; Matzarakis et al., 2020; Santamouris, 2020), and the
development of adaptation plans based on an education campaign for awareness
and knowledge enhancement (Kotharkar & Ghosh, 2022; Matzarakis, 2021; Yang
et al., 2021).
. Mitigation strategy and technique development and performance assessment,
characterized by the development of reflective, retro-reflective materials, chromic
materials, super cool materials, and permeable materials based on laboratory
experiments and field experiment (Santamouris & Yun, 2020; Wang et al., 2022),
and the analysis of the energy saving potential based on numerical simulation
(Cui et al., 2017; Santamouris & Kolokotsa, 2015).
However, the arrival of various subjects brings diverse goals and targets, making
the efforts for addressing urban heat challenges isolated and delayed to force the
transformation from research into practice for creating cool cities and communi-
ties on site (Cheshmehzangi & Butters, 2017; Dawodu & Cheshmehzangi, 2017; He
et al., 2023; Matzarakis, 2021). How to eliminate the gaps, conflicts, and disputes that
hinder the integration of cooling strategies and techniques into urban planning and
design is a critical issue for consideration. To achieve so, we are dedicated to main-
stream urban cooling into urban planning, design, construction, operation, and main-
tenance through the collective action of (i) assessment, identification, and projection
of extreme heat, (ii) development and performance assessment of mitigation and
adaptation strategies and techniques, and (iii) piloting projects and promoting the
application of mitigation and adaptation strategies and techniques through addressing
social, economic, technical and policy barriers.

2 The Aim and Objectives of the Book

This book aims to bring together the latest research outcomes on climate change
and cooling cities for a comprehensive framework for urban cooling implementation
in order to address gaps, barriers, conflicts, and disputes in mainstreaming urban
cooling. In particular, the development of such a framework is in alignment with
the Sendai Framework by balancing mitigation and adaptation actions to enhance
4 A. Cheshmehzangi et al.

prevention, mitigation, preparedness, response, recovery, and rehabilitation capacity

on the one hand and to enhance awareness and knowledge of disaster risk, promote
behavioural and operation change, strengthen disaster risk governance, and invest in
disaster reduction on the other. Given this, the objectives of this book include:
. Presenting emerging, innovative and comprehensive thoughts on climate change
and cooling cities;
. Showcasing the applications of mitigation and adaptation strategies in different;
contexts, accompanied by reporting the cooling performance in temperature,
thermal comfort, and energy saving; and
. Exploring drivers to the extreme heat challenges to inform urban development
policy, governmental regulations, planning practice, and design schemes.
Overall, this book is innovative in demonstrating a scientific roadmap to achieving
targets covering emerging concepts, theories, trends, strategies, techniques, methods,
models, policies, and regulations. This book is also advantageous to provide govern-
mental and built environment professionals with insights into actual actions on urban
planning and design by demonstrating practical cases in the context of developing
and developed cities across the world.

3 Structure of the Book

The book is intentionally divided into three parts, addressing key aspects related to
concepts and trends, mitigation and adaptation strategies, and policies. For each part,
we have invited contributors from around the globe, where they present their study
findings, case study work, or specific concepts, strategies, and policies. These three
parts are structured as:
1. Concepts, Theories and Trends;
2. Mitigation and Adaptation Strategies; and
3. Policies (Fig. 1).
PART I: Concepts, Theories, and Trends
The first part looks into four examples of ‘concepts, theories, and trends’, exploring
four key areas of urban heat mitigation strategies, biophilic design and nature-based
techniques, urban thermal field variance index under rapid urbanization, and Urban
Heat Island (UHI) implications. Below is the summary of the four chapters included
in this part.
Chapter 2: Urban Heat Mitigation Strategies
By: Jinda Qi, and Bao-Jie He
Urban heat has been detected in many cities worldwide and has negatively impacted
the urban environment and human well-being. Many strategies have been developed
to mitigate urban heat, collectively called urban heat mitigation strategies (UHMSs).
1 Climate Change, Cities, and the Importance of Cooling Strategies … 5

Fig. 1 Summary of three

parts of the book

Concepts,
Theories, and
Trends

Mitigation and
Adaptation
Strategies

Policies

This study reviewed the four types of passive UHMSs (i.e., greenery, cool materials,
evaporation techniques, and shading devices) from an implementation perspective
to support urban heat mitigation. The definitions, mitigation performance, planning
and design variables, and cost-benefits of these UHMSs are elaborated from three
categories, according to the place of application: private realm, public realm, and
combinations. The results show that green infrastructures have high performance in
cooling and energy saving in private and public realms, and their effectivenesses are
affected by many factors, such as vegetation species. For cool materials, reflective
materials generally have higher cooling potentials and lower costs than heat storage
materials and heat harvesting materials. The predominant planning and design vari-
ables for cooling effectiveness are the colour and construction materials, and coating
materials. The evaporation techniques can reduce ambient temperature significantly
due to the high cooling potential of latent heat. The main variables include water
flow rate, water particle size, area and shape of water bodies etc. To achieve optimal
cooling performance, it is required to properly define the surface temperature of
the evaporative cooling pads for evaporative cooling towers and shading structures
and slat angles for shading. Also, UHMS combinations can have higher mitigation
6 A. Cheshmehzangi et al.

performance than a single one. All these findings help decision-makers better under-
stand the implementation of UHMS in detail, supporting the proper selection and
application of strategies for urban heat mitigation.
Chapter 3: Biophilic Design: Pinpointing Nature-Based Techniques in Urban
Areas to Combat Global Warming
By: Abdollah Baghaei Daemei, Masoumeh Mazandarani, and Mahshid
Motamed
The rate of global warming has increased rapidly in recent decades, and experts
agree that climate change is exacerbating dangerously high temperatures around
the world, which will ultimately lead to an increase in urban heat islands (UHI),
longer warm seasons, and severe health-related issues. This study aims to provide
strategies, exemplars, and approaches to tackle the mentioned problems. Hence, this
research proposed biophilic design elements as a promising technique to mitigate
UHI resulting from global warming, to examine the importance of vegetation and
plants in urban areas. The Rhino software, and Grasshopper and Ladybug plug-
ins have been deployed to simulate UHI; referred to as Urban Weather Generator
(UWG). The humid climate of Rasht was selected as an example of the study area
in this research. Thus, findings showed that adequate vegetation could help drop
the average monthly temperature by approximately 2 °C, and this mean temperature
could vary between 9 and 19 °C annually.
Chapter 4: Warming Cities in Pakistan: Evaluating Spatial–Temporal
Dynamics of Urban Thermal Field Variance Index Under Rapid Urbanization
By: Mirza Waleed, and Muhammad Sajjad
With ~57% of the world population living in cities, the global urban population is
increasing at an alarming rate, which further stimulates the urbanization process.
Consequently, the increasing impervious surfaces in cities and associated variabil-
ities in local/regional climatic characteristics pose several challenges to citizens
(i.e., heat-related health issues, higher energy demands, and flooding among many
others). Currently, cities contribute 75% of Green House Gases emissions, which
is further worsening climate change impacts through global warming. Pakistan, the
6th most populated country globally, with ~220 million people, is among the top
10 most-affected nations vulnerable to climate change. Hence, studies addressing
climate variability in local geographical regions have important implications to
address the adverse urbanization-associated challenges, such as sustainability of
the land resource and mitigating urban heat island (UHI) impacts in the context of
climate change mitigation/adaptation. Due to temperature differences between urban,
suburban, and rural areas, mapping city zones prone to the UHI effect is essential to
provide actionable references. In connection with this, the present study analyses 15
megacities in Pakistan regarding their temperature variability in response to built-up
area increment and highlights heat stress zones using the Urban Thermal Field Vari-
ance Index (UTFVI). The cloud-computing-based Google Earth Engine platform is
employed to explore spatial–temporal variation in Land Surface Temperature (LST),
which further leads to the identification of top-15 cities in terms of LST increase
1 Climate Change, Cities, and the Importance of Cooling Strategies … 7

and the further evaluation of UTFVI for each city. The findings of this study suggest
that the strongest UTFVI zones are concentrated around city-core areas, which are
pure impervious surfaces with little or no green space. Moreover, in the last three
decades (1990–2020), most of the weak and strong-strength UTFVI areas have been
converted into the strongest strength primarily because of a rapid increase in the
built-up areas. The findings of this study can help urban policymakers to identify
priority intervention areas and design/implement strategies to counter the UTFVI
and associated challenges. With proper land-use planning and on-time policy imple-
mentation, people residing in higher UTFVI zone areas can be safeguarded from
noxious heatstroke-like health consequences along with mitigating and adapting to
changing environmental conditions in cities.
Chapter 5: Urban Heat Island (UHI) Implications and a Holistic Management
Framework
By: Hafiza Saba Islam, Talib Elahi Butt, Shaker Mahmood Mayo, Siddiqa Amin,
and Maria Ali
The Urban Heat Island (UHI) effect is one of the most debated phenomena among the
urban researchers and city planners. In addition to fast urbanization, climate change
actors are rendering major cites thermal hubs of the modern global civilization.
Climate models consistently predict that the frequency, severity, and duration of
extreme weather conditions which also include heat wave are on the increase and
would be significantly by the end of the twenty-first century. Therefore, there is
an emergent and urgent need to rethink the assessment and management of the
UHI phenomenon (Cheshmehzangi et al., 2022). This study aims to establish the
existing knowledge regarding UHI implications by categorically identifying and
systematically grouping the factors and sub-factors that contribute UHI phenomenon.
The aforesaid aim is based on the literature review, investigation of models, and the
thematic analysis. Some new insights are produced by categorizing UHI implications
into two main groups climate change and non-climate change related. This leads to
a more comprehensive conceptualization of UHI at different tiers which is discussed
and presented schematically. Founding on this conceptualization a new, integrated
and holistic framework of the assessment and management of UHI is developed. The
UHI framework is also schematically delineated. This UHI framework can be used
as a basis for further research and development in the form of a ready-to-use/off-the-
shelf tool for urban planners, decision-makers, and other associated stakeholders.
The framework can also be communal platform of effective communication between
diverse stakeholders with varying background and interests.
PART II: Mitigation and Adaptation Strategies
In the second part, we focus more on ‘practices’, mainly from the mitigation and
adaptation strategies. We particularly explore best practices that are considered as
urban planning interventions, urban design innovations, and new approaches to either
mitigate or adapt climate change impacts on cities. This part includes seven case
study chapters. These include a wide range of topics such as UHI effect mitigation,
8 A. Cheshmehzangi et al.

densification strategies, traditional dwellings, climate-responsive design, bioclimatic

design, etc. Below is the summary of the seven chapters included in this part.
Chapter 6: Contribution of Bodies of Water to the Mitigation of UHI Effect in
Urban Canyon: A Parametric Study Approach
By: Nedyomukti Imam Syafii, and Masayuki Ichinose
To find effective design solutions for bodies of water for better urban thermal envi-
ronment, a series of comprehensive studies have been conducted utilising an outdoor
scale model canopy in Saitama, Japan, and coupled numerical model. The simple
form of the outdoor scale model has the advantages of enabling the observation of
various physical phenomena under actual climate conditions and conducting compre-
hensive measurements of a relatively uniform area, thus providing results that are
easy to interpret. Meanwhile, numerical modelling allows a series of various bodies
of water configurations to be analysed and compared.
By modifying its basic physical properties, the present study shows evidence of
the positive contribution of water ponds to the urban thermal environment. The pres-
ence of water ponds inside an urban canyon reduced the air and radiant temperatures
throughout the day. The result also shows that, generally, a bigger pond has greater
cooling benefits. A bigger pond tends to absorb more heat and has a more evapo-
ration surface. As shown in the measured air temperature, water temperature and
globe temperature profile, a larger portion of the radiant energy absorbed within the
canyon is dissipated by evaporation rather than converted into sensible heat. This
phenomenon shows the critical role of the bodies of water’s thermal capacity while
also opening the possibility of manipulating these parameters for a better urban
thermal environment. When there is a space constraint within urban spaces, intro-
ducing chilled water may help further improve the cooling benefits of urban bodies
of water bodies.
Chapter 7: The Challenge of Cooling Rapidly Growing Cities: The Case of
Densification and Sprawl in Ho Chi Minh City and Adaptation Responses
By: Antje Katzschner, Nguyen Kieu Diem, Thanh Hung Dang, and Nigel K.
Downes
Climate change and social-economic development are expected to compound climate
changes risks. For southeast Asian cities, the phenomenon of urban heat islands and
extreme heat waves are a current and future concern for public health, well-being
and household energy consumption due to increased cooling demands of urban resi-
dents and limited resources to cope. Urban heat island studies using remotely sensed
imagery have already revealed that Vietnam’s major cities are characterized by strong
temperature differences between urban and rural areas. As a result, implementing
adaptation measures based on solid science is critical to mitigating the negative effects
of heat on urban residents and adapting infrastructure. While different adaptation
measures are currently debated by the political authorities in Vietnam, decision-
making is hampered by multiple scientific knowledge gaps and the lack of practical
tools to support decision-making. This chapter presents methods to investigate and
1 Climate Change, Cities, and the Importance of Cooling Strategies … 9

monitor recent urban development in Ho Chi Minh City, an emerging megacity and
economic powerhouse of Vietnam.
Chapter 8: Traditional Dwellings in Four Middle Eastern Cities: Adaptation
Strategies to Harsh Climate in Privacy
By: Hirou Karimi, Mohammad Anvar Adibhesami, Maryam Ghasemi, and
Borhan Sepehri
Climate change is one of the most serious environmental issues of the twenty-
first century, compelling designers to adapt their work to completely new climate-
change-adapted settings. The Middle East’s dry environment causes issues with
rising temperatures and decreasing humidity. Environmental harmony has long been
a priority in Middle Eastern architecture. Designers changed nature to accommo-
date the limited supply and demand for energy. Concerns about privacy and climate
change influence home construction in areas with similar religious and climatic
conditions. As a result, the purpose of this research is to look into the environmental
and privacy-enhancing characteristics of historic and contemporary buildings. To
accomplish this goal, observations and reviews of relevant literature were used to
collect qualitative data. Analysis from a variety of research and climate-tested data
was used in the following: This study’s data and analysis include traditional homes,
the Koppen climatic classification, and contemporary house design. Furthermore,
research methods have been used in areas with well-established internal residential
characteristics, such as Baghdad, Riyadh, Mukalla, and Kashan. The climate and
isolation of each instance were studied and compared to nearby, modern dwellings.
Our data show that these communities’ older buildings made good use of natural
heating and cooling resources. Summer and winter rooms are available for rent in
historic mansions in Kashan and Baghdad. Summers in these regions are scorching,
and winters are bitterly cold due to the different positions of the sun. We have not
yet investigated any sun-facing locations in modern architecture. Wind turbines are
also very important. The wind tower passively cools the structure’s air. In modern
homes, air conditioning provides ventilation. These items are both expensive and
energy-intensive.
Chapter 9: Urban Thermal Environment Under Urban Expansion and Climate
Change: A Regional Perspective from Southeast Asian Big Cities
By: Can Trong Nguyen, Amnat Chidthaisong, Rungnapa Kaewthongrach, and
Wijitbusaba Marome
Southeast Asia (SEA) is a hotspot of rapid urbanisation and climate change, which is
supposed to influence millions of people. They altogether exacerbate urban thermal
environments and amplify urban heat islands (UHIs). The chapter provides a compre-
hensive assessment of urban warming trends in SEA big cities over the past thirty
years in a connection with urban expansion and climate changes; of which climate
change is represented by temperature extremes as an additional element deterio-
rating UHIs. It reveals a significant warming trend in nighttime extreme indices
across the cities against daytime. Manila and Kula Lumpur have confronted the most
prominent temperature variations. There were drastic transformations in urban areas,
10 A. Cheshmehzangi et al.

urbanisation patterns, and landscape characteristics during urbanisation. The fastest-

growing cities during this period are Jakarta, Bangkok, and Ho Chi Minh City. The
degradation of the urban thermal environment was also confirmed via spatiotem-
poral escalations of both land surface temperature (LST) and surface UHI (SUHI)
over time. The aggravation in urban thermal environments was mainly driven by
urbanisation-related elements and temperature extremes as a background climate
factor. The changes in surface characteristics are the main driving factors across the
cities. Yet, the stimulations of climate on thermal environment degradation are uneven
among the cities. Ho Chi Minh City, Jakarta, and Manila are the most vulnerable
cities due to combined impacts rather than others. It verifies the integrated impacts of
climate change and urbanisation on urban microclimate change, it therefore should
have long-term strategies to mitigate the adverse effects of SUHI. The general prin-
ciple is to reduce horizontal urban expansion, ensure urban spatial planning and
urban green spaces, and mainstream climate change into urban planning.
Chapter 10: Climate-Responsive Designs to Enhance Outdoor Thermal
Comfort in Urban Residential Areas
By: Tingting Yuan, Hongyun Qu, and Bo Hong
Our study aims to determine relationships among microclimate, outdoor thermal
perception, and residents’ behavior in a residential area in Xi’an, China. Four typical
open spaces in the residential area were investigated using meteorological measure-
ments, questionnaire survey, and behavioral records to determine how individuals’
thermal comfort relates to their outdoor activities. Physiological Equivalent Temper-
ature (PET) was applied to quantitatively determine the outdoor thermal benchmarks
in Xi’an, and climate-responsive strategies for open spaces were proposed based on
thermal benchmarks. Results showed that: (1) spaces differed significantly in air
temperature, wind speed, solar radiation, globe temperature, mean radiative temper-
ature, and PET, but not relatively humidity, (2) in summer, residents preferred activ-
ities in shaded environments and attendance was inversely linearly related to PET,
and (3) optimum design strategies for open spaces were proposed to consider shelter-
belts, shaded facilities, plants, water, and underlying surfaces. These results will help
urban designers improve their understanding of the relationship between behavior
and thermal comfort and provide design advice for open spaces in residential areas
in China’s cold region.
Chapter 11: Dynamic annual solstice patterns and urban morphology: Biocli-
matic lessons for in-situ adaptation measures within the warming city of Ankara,
Türkiye
By: Andre Santos Nouri, José Abel Rodriguez-Algecíras, and Andreas
Matzarakis
Within the existing literature, there already is a wealthy initiation into how different
types of local adaptation measures can help urban fabrics respond to increasing
temperatures as a result of climate change. Arguably propelled by the climate change
adaptation agenda, different typologies of thermal sensitive measures are becoming
continually more organised and solidified to improve the bioclimatic responsiveness
1 Climate Change, Cities, and the Importance of Cooling Strategies … 11

of the consolidated urban fabric. Along with this growing body of knowledge, is the
recognition that the in-situ efficacy of different measure typologies in counteracting
increasing urban heat levels depends on two interrelated factors, these being: (1)
how well the dynamic microclimatic conditions are assessed and understood; and
(2) how well characteristics such as urban morphology are understood. Following
this line of reasoning, in order to be utilised to their full potential, and moreover avoid
symptoms of mal-adaptation, thermal sensitive adaptation measures must account
for the unremitting and symbiotic cause-and-effect between these factors.
Today, it is widely known that mean radiant temperature (MRT) is one of the
most significant factors upon human thermophysiological thresholds. In addition, it
is furthermore a particularly dynamic variable as a result of the continuously shifting
annual solstice. Accordingly, MRT must be understood as a variable which modi-
fies not just on a diurnal bases, but in addition one which oscillates throughout the
different months and seasons of the year. Depending on the time of year, as dictated
by the Urban Energy Balance, radiation fluxes interact with the static structures of the
urban fabric through different seasonal energy exchange patterns/quantities. Such an
understanding calls upon the approach of both yearly and different seasonal analyt-
ical scopes to better comprehend the symbiotic relationship of urban morphology and
solstice patterns. It permits a finer understanding of the impacts associated to crucial
climatic variables that play a significant role in human thermal comfort. Invariably,
this consequently includes the fundamental role of in-situ dynamic radiation fluxes
that are undeniably dictated by modifying yearly/seasonal solstice patterns. Grip-
pingly, and unlike encircling air temperature, MRT can more easily be manipulated
through different measure typologies within the urban fabric, and in addition, presents
means to alter the cause-and-effect relationship with other encircling microclimatic
variables.
Within this book chapter, a structured reflection will be undertaken for Ankara,
Türkiye—and how an innovative methodical case study presents bioclimatic lessons
pertinent to the crucial role of in-situ dynamic radiation fluxes within a densifying
and warming urban fabric in an era of growing climate change.
Chapter 12: Comparison of Thermal Indices in Urban Environments with
SkyHelios Model
By: Marcel Gangwisch, and Andreas Matzarakis
Global climate change and its thermal implications on cities makes it necessary
to react with long-term climate-adaptive urban planning. This should be part of
heat action plans to be implemented by municipalities, to minimize future risks of
overheated city districts on the city dwellers and especially on risk and vulnerable
groups. The evaluation of the thermal impact, based on thermal indices (depicting
human thermoregulation) is most important in order to allow for a safe and risk-
minimized but also human-adapted urban planning.
The assessment of thermal impacts can be achieved using numerical urban
microscale models, which are suitable to analyse the human thermal outdoor condi-
tions of future building- and local climate- scenarios. This chapter aims to demon-
strate the applicability of the urban microscale model SkyHelios and thermal indices
12 A. Cheshmehzangi et al.

to an urban district in Freiburg, Germany. The findings demonstrate the thermal

vulnerabilities, strengths and similarities of the indices and provide additional
information for future action.
PART III: Policies
In the third part, we delve into ‘policies’ relevant to climate change strategies in
cities and communities, particularly those with case study examples, framework
development, and policy development directions. Divided into four chapters, this part
includes studies on urban heat island effect, thermal comfort assessment frameworks
and models, climate justice, and urban biometeorology. Below is the summary of the
four chapters included in this part.
Chapter 13: Urbanisation and Urban Heat Island in a Mekong Delta City: From
Monitoring to Dominant Factors
By: Phan Kieu Diem, Nguyen Kieu Diem, Can Trong Nguyen, and Nguyen Thi
Hong Diep
Urbanisation is an indispensable process along with socio-economic development.
However, this is also the root of various challenges in urban areas from social to envi-
ronmental and microclimate changes such as urban heat islands (UHI). This book
chapter showcases a case study regarding rapid urbanisation, dynamic of surface
urban heat island (SUHI), and controlling factors of UHI in Can Tho city—a regional
newly developing city in the Mekong delta since 2005. Using an integrated method-
ology framework of earth observation analyses and Analytic Hierarchy Process
(AHP), we assessed the urbanisation trends based on urban density and annual growth
rate (AGR). The deterioration of SUHI was analysed using land surface temperature
(LST) retrieved from Landsat thermal infrared band. AHP is a social approach via
expert interviews to identify the key elements and their contribution weights to UHI
under the local conditions. It revealed that urban areas have continuously expanded
outwards since 2005 towards the Western and main roads along the Bassac river. The
AGR is about 0.73%/year over the period of 2005–2019. In particular, the city center
has experienced a relatively high rate of urbanisation compared to other areas (i.e.,
3.98–5.04% versus 0.5%/year). LST increased significantly and the growth of SUHI
was more moderate in terms of intensity and spatial patterns. SUHI is frequently
observed in industrial zones and densely populated areas. Urban sprawl was found
to significantly stimulate the variations of SUHI intensity. Regards to the driving
factors of UHI, five (05) main factors including nature, society, infrastructure, policy
and environment are found contributing to form of UHI at this specific areas. In
which, the natural factors including coverage ratio of vegetation and water surface
are the most contributors to UHI. The key analytical factors from AHP are likely
to be prioritised elements, which should be mainstreamed into urban planning to
mitigate UHI towards a cooling city.
Chapter 14: A Study on Thermal Comfort Assessment Frameworks and Models
in Cities
By: Hadi Alizadeh, and Ayyoob Sharifi
1 Climate Change, Cities, and the Importance of Cooling Strategies … 13

Considering the increasing trends of urbanization, climatic change, and air tempera-
ture in cities, the issue of urban heat island mitigation for ensuring thermal comfort
is of high importance. Enhancing thermal comfort also has implications for human
health, well-being, and productivity. In recent decades, several assessment frame-
works and models have been proposed to measure and predict thermal comfort
in cities. This chapter tries to explore major assessment frameworks and models
that explain and measure thermal comfort in cities by considering physical, physi-
ological, psychological, and behavioral dimensions. It shows that thermal comfort
models could be divided into two major categories, namely, knowledge-based thermal
comfort methods and data-driven thermal comfort models. Each of these two has
subset models for thermal comfort testing in cities. The findings indicate that recent
trends in measuring thermal comfort are focused on data-driven models based on
simulation algorithms.
Chapter 15: Who benefits more from urban cooling strategies? Exploring
climate justice in vulnerable groups’ Access to Blue-green Infrastructure in
Mashhad City, Iran
By: Safoora Mokhtarzadeh, and Mahdi Suleimany
Climate change and consequently global warming have made the decision-makers
adopt a set of urban cooling strategies and policies. These policies, the most common
of which is the development of blue-green infrastructures, lead to a decrease in the
ambient temperature of cities. However, many studies suggest that the uneven devel-
opment of these infrastructures has led to climate injustice in many cities. In other
words, developing blue-green infrastructure to meet predefined standards is one side
of the coin in coping with global warming, which indicates the efficiency of urban
resiliency measures. While ensuring equitable access to these services and infras-
tructures is the other side, which shows the effectiveness of adaptation programs.
Therefore, in this research, we have analysed climate justice in a case (Mashhad
metropolis, Iran) considering vulnerable groups’ access to blue-green infrastruc-
ture. We have implemented spatial analysis techniques and multi-scale geographic
weighted regression (MGWR) model to identify the patterns of the aforementioned
climate (in)justice at two scales of city and neighbourhoods. The results have indi-
cated the significant climate injustice in low-income groups’ access to blue and green
infrastructures on both scales. Besides, the findings have depicted patterns of climate
injustice in the access of sensitive age groups, the disabled, and immigrants to blue
infrastructure. The most important reason for this injustice is the uneven distribution
and development of blue infrastructures and their spatial concentration in the western
half of the city which arose from the inequitable decisions of city management and
planning. Although these findings are context-specific, the research process is appli-
cable to any other context. We have also provided some recommendations to promote
climate justice in the adoption of urban cooling policies.
Chapter 16: Urban Biometeorology of Tropical Climate: Af, Am, Aw, a
Propensity of 34 Provincial Cities in Indonesia
By: Beta Paramita, Hanson E. Kusuma, and Andreas Matzarakis
14 A. Cheshmehzangi et al.

Indonesia lies between 6° North Latitude–11° South Latitude and 95°–141° East
Longitude. Located in the eastern hemisphere, this geographical location causes
Indonesia to be included in the equatorial zone and has a tropical climate. Indonesia
is the largest archipelagic country in the world with 17,000 islands, 416 districts and
98 cities in 34 provinces. In general, there are three city characteristic that are in the
coast (+0 masl) have maximum temperatures above 33°°C. In lowland areas (10–20
masl) the maximum air temperature recorded above 30 °C. Meanwhile the cities
located in the hills area (above 500 masl) which are not many in number, have the
lowest maximum air temperature between 25 and 28°C. Based on Köppen-Geiger,
climate of Indonesia is almost entirely tropical. Dominated by the tropical rain-
forest climate (Af); tropical monsoon (Am); and tropical savannah (Aw) that occurs
on every Indonesian island. This article then reveals the perspective of biometeo-
rology of 34 cities of provincial capital in Indonesia. Cities that represent the tropical
rainforest climate such as Medan, Balikpapan, Padang, and Pontianak. Meanwhile
Jakarta, Semarang, and Yogyakarta represent cities with tropical monsoon climate.
Last, Denpasar and Surabaya represent cities with tropical savannah climate. The
climate data is generated from 2009 to 2019 that provides a link between the micro-
climate elements and human activities that affected on human perception in their
living space. The biometeorology perspective for each climate characteristic gives
an understanding on meteorological vulnerability and physiological aspects in the
city inhabitant, such as thermal stress.

4 A Summary

The book concludes with several reflective views, lessons learnt, and pathways for
future cooling strategies in cities. The last chapter serves as a summary chapter,
concluding with some extracted lessons for cooling cities, now and in the near future.
Part I is of importance to present holistic and emerging concepts, theories, and
trends for urban heat mitigation and adaptation. In particular, Part I develops a novel
urban thermal environment assessment indicator of UTFVI and applies it to 15
megacities in Pakistan to explain how land surface temperature varied spatiotempo-
rally. Such an indicator and demonstration enhance urban managers’ understanding
of heat island formation and strengthens policymakers’ capability of identifying
vulnerable areas and adding proper planning/design interventions. A comprehensive
urban heat mitigation framework was developed for urban greening, cool mate-
rials, evaporative techniques, and shading strategies. The novelties lie in identifying
cooling effectiveness and key planning and design variables, allowing urban plan-
ners and designers to make evidence-based decisions on the selection of cooling
strategies and techniques. Part I also explores the co-benefits approach, which can
cost-effectively address more than challenges synergistically, with the integration
of nature-based techniques to achieve the dual goals of biophilic design and urban
cooling. Furthermore, Part I conceptualises a new, integrated and holistic frame-
work of heat island assessment and management by identifying heat island drivers
1 Climate Change, Cities, and the Importance of Cooling Strategies … 15

into climate and non-climate-related types. Such a framework supports the develop-
ment of ready-to-use/off-the-shelf tools for enhancing the communication of urban
planners, decision-makers, and other associated stakeholders.
Part II broadly showcases and explores the mitigation and adaptation strategies
and techniques across urban planning, urban design, and building design scales. The
analysis and identification of heat island evolution in Ho Chi Minh City, Vietnam, is
of significance to provide Southeast Asian cities which are under rapid urbanization
insights into planning interventions for adaptation. A comparison of the heat island
development over 30 years in several southeast Asian cities (e.g., Jakarta, Bangkok,
Ho Chi Minh City, Manila, and Kula Lumpur) was more intuitive to verify the impact
of climate change and urbanisation on the urban thermal environment deterioration,
and consolidate the urgency of reducing horizontal urban expansion, ensuring urban
spatial planning and urban green spaces, and mainstreaming climate change into
urban planning. This part also presents the parametric design of water bodies tailoring
to Saitama, Japan, for cooling performance enhancement. It suggests the climate-
responsive design of open spaces in Xi’an, China, based on shelterbelts, shaded
facilities, plants, and water for outdoor thermal comfort improvement. This part also
adds new knowledge of bioclimatic lessons by exploring how urban morphology
counters urban heat challenges based on the mean radiant temperature assessment
indicator by an empirical study in Ankara, Türkiye. Meanwhile, the relationship of
urban morphology with urban heat challenges is more broadly explored based on
thermal indices of Physiologically Equivalent Temperature, Perceived Temperature,
and Universal Thermal Climate Index in an urban district in Rieselfeld in Freiburg,
Germany. Such studies promote the understanding of safe and risk-minimized but
also human-adapted urban planning. In addition, an analysis of the built form of
traditional dwellings in four middle eastern cities of Baghdad, Riyadh, Mukalla,
and Kashan reveals the formula of such buildings adapting to harsh climates. More-
over, the study in Freiburg, Germany, also presents the sensitivity of the SkyHelios
Model in predicting different thermal indices, which is conducive to enhancing the
methodological understanding of microclimate modelling.
Part III generates wide implications on urban planning policy, governmental regu-
lations, planning practice, and design schemes by identifying dominant factors of
heat islands, thermal comfort assessment frameworks and models, climate justice,
and urban biometeorology. The adoption of the Analytic Hierarchy Process method
to explore the land surface temperature variations in Can The city highlights five key
driving factors in aspects of nature, society, infrastructure, policy, and environment.
This provides the planning directions for urban heat alleviation in Mekong Delta City.
More importantly, this study demonstrates an exemplary method for many other cities
to identify key drivers and main priorities for cooling actions accurately. This part also
delineates the assessment framework of thermal comfort that is a function of physical,
physiological, psychological, and behavioral factors and categorises various methods
into knowledge-based methods and data-driven models. Such work is conducive
to providing scholars with proper justifications for using either knowledge-based
methods or data-driven models for thermal comfort assessment. This work also
answers who is the beneficiary of urban cooling strategies from the perspective of
16 A. Cheshmehzangi et al.

heat vulnerability and climate (in)justice, which is beneficial for avoiding the occur-
rence of process-related injustice relevant to improper decisions. The last study in
the context of 34 provincial cities restructures the way to describe urban climate
by linking microclimate elements and human activities, enabling urban planners
and designers to better understand meteorological vulnerability and physiological
responses/feelings.
The specific examples in the following 15 chapters would help us highlight the
importance of (1) concepts, theories, and trends (see Chaps. 2–5), (2) mitigation
and adaptation strategies (see Chaps. 6–12), and (3) policies (see Chaps. 13–16).
The following chapters provide global case study examples beyond the existing and
current policies and practices and highlight some of the main concepts, best practices,
and policies around the globe. This volume helps considering cooling strategies in
cities, communities, and the built environments in combatting climate change and
its impacts on the living environments.

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 Part I
Concepts, Theories, and Trends
Chapter 2
Urban Heat Mitigation Strategies

Jinda Qi and Bao-Jie He

Abstract Urban heat has been detected in many cities worldwide and has nega-
tively impacted the urban environment and human well-being. Many strategies
have been developed to mitigate urban heat, collectively called urban heat miti-
gation strategies (UHMSs). This study reviewed the four types of passive UHMSs
(i.e., greenery, cool materials, evaporation techniques, and shading devices) from
an implementation perspective to support urban heat mitigation. The definitions,
mitigation performance, planning and design variables, and cost-benefits of these
UHMSs are elaborated from three categories, according to the place of application:
private realm, public realm, and combinations. The results show that green infras-
tructures have high performance in cooling and energy saving in private and public
realms, and their effectivenesses are affected by many factors, such as vegetation
species. For cool materials, reflective materials generally have higher cooling poten-
tials and lower costs than heat storage materials and heat harvesting materials. The
predominant planning and design variables for cooling effectiveness are the colour
and construction materials, and coating materials. The evaporation techniques can
reduce ambient temperature significantly due to the high cooling potential of latent
heat. The main variables include water flow rate, water particle size, area and shape
of water bodies etc. To achieve optimal cooling performance, it is required to prop-
erly define the surface temperature of the evaporative cooling pads for evaporative
cooling towers and shading structures and slat angles for shading. Also, UHMS
combinations can have higher mitigation performance than a single one. All these
findings help decision-makers better understand the implementation of UHMS in

J. Qi (B)
School of Design and Environment, National University of Singapore, Singapore 117356,
Singapore
e-mail: jindaqi@[Link]
J. Qi · B.-J. He
Faculty of Built Environment, University of New South Wales, Sydney NSW 2052, Australia
e-mail: [Link]@[Link]
B.-J. He
Centre for Climate–Resilient and Low–Carbon Cities, School of Architecture and Urban
Planning, Chongqing University, Chongqing 400045, China

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 21
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
22 J. Qi and B.-J. He

detail, supporting the proper selection and application of strategies for urban heat
mitigation.

Keywords Urban heat · Mitigation strategies · Green infrastructure · Blue

infrastructure · Grey infrastructure

1 Introduction

Urban overheating (or Urban heat) has been detected in numerous cities, such as
Toronto, Canada (Wang et al., 2016); Sydney, Australia (Ding et al., 2019); and
Athens, Greece (Santamouris et al., 2012a). Mounting evidence reveals that the
frequency, intensity, and duration of urban heat in these cities have been increasing
with global warming and will continually increase globally in the twenty-first century
at a global scale with a 90–100% probability (Field et al., 2012; Melillo et al.,
2014). The increasing frequency, intensity, and duration of urban heat negatively
affect the urban environment, human well-being and health, and the economy in
many ways, including extreme heat, air pollution, water pollution, outdoor thermal
comfort, heat-related morbidity and mortality (Akbari, 2005; Qi et al., 2020; Stone
Jr et al., 2014).
To address the negative impacts of urban heat, numerous strategies have been
developed, collectively called urban heat mitigation strategies (UHMSs). UHMSs
refer to “any anthropogenic intervention aiming to reduce the sources and enhance the
sinks of high-temperature anomalies in cities” (Santamouris et al., 2017). According
to the energy balance proposed by Oke (1988), UHMSs are able to lower tempera-
ture through four cooling mechanisms: increasing latent heat release, reflecting solar
radiation, increasing heat storage and reducing anthropogenic heat release, as shown
in Fig. 1. Based on these cooling mechanisms, four types of passive UHMSs have
been developed. First, the use of greenery (e.g., green roofs and vertical greening
systems) increases latent heat release by transpiration. Second, the use of cool mate-
rials (e.g., reflective materials and phase change materials) reflects solar radiation
and increases heat storage. Third, the use of evaporation techniques like water bodies
and misting systems increases latent heat release by evaporation. Finally, the use of
shading devices reflects solar radiation.
To support urban heat mitigation, the definitions, mitigation performance, plan-
ning and design variables, and cost-benefits of passive UHMSs (i.e., greenery, cool
materials, evaporation techniques, and shading devices) are elaborated from an imple-
mentation perspective. The elaboration is divided into three parts according to the
place of application: private realm, public realm, and combinations.
2 Urban Heat Mitigation Strategies 23

Fig. 1 Cooling mechanisms for urban heat mitigation (Qi et al., 2019)

2 Urban Heat Mitigation Strategies Applied in the Private

Realm

The private realm in this study refers to buildings, courtyards, and private hard
surfaces. UHMSs applied in the private realm can be classified into four categories:
(1) building-integrated green infrastructure or courtyard greenery, (2) cool materials
for buildings or hard surfaces, (3) building-integrated evaporative cooling towers,
and (4) building-integrated shading.

2.1 Building-Integrated Green Infrastructure or Courtyard

Greenery

Green infrastructure can generally be applied to building roofs, walls, and courtyards
in the private realm, as shown in Fig. 2. Because of the limited space in cities,
applying green infrastructure on roofs and walls is more practical than in courtyards.
The following sections, therefore, review studies related to green roofs and vertical
greening systems.

2.1.1 Green Roofs

Green roofs are “the roofs and podiums with vegetation growing in a specifically
designed substrate” (Williams et al., 2010). They have been widely used in urban
areas due to their high potential to promote sustainable cities. In general, there are
two types of green roofs: intensive roofs (or roof gardens) and extensive roofs (or
eco-roofs). Intensive green roofs are those with “deep soil layers, which support
larger plants and bushes and typically require maintenance in the form of weeding,
fertilising, and watering” (Berndtsson, 2010). Extensive vegetated roofs are those
with “thin soil layers, which are normally planted with smaller plants and expected
to provide full coverage of the vegetated roof in the final stage” (Berndtsson, 2010).
24 J. Qi and B.-J. He

Fig. 2 Schematic view of building-integrated green infrastructure and courtyard greenery

Intensive roofs with deep soil layers are only suitable for buildings with adequate
bearing capacity, while extensive roofs with thin soil layers are suitable for buildings
with relatively light-weight structures. Both types of green roofs are discussed in this
research.
Green roofs have positive effects on microclimate amelioration and energy conser-
vation. Alexandri and Jones (2008) pointed out that employing green roofs in an entire
city reduced average air temperature and roof surface temperature by 0.55–1.2 °C
and 9.1–12.8 °C, respectively, in nine cities such as London, UK; Moscow, Russia;
and Hong Kong, China. However, the cooling impacts of green roofs are negligible if
they are applied to high-rise buildings (Ng et al., 2012). Also, large-scale roof gardens
can beneficially affect electricity consumption, particularly in summer. Sailor (2008)
found that changing the traditional membrane roofs with a solar reflectivity of 0.30
to extensive green roofs reduced annual energy consumption by approximately 2%
in Chicago and Houston. Although green roofs have positive impacts on cooling
performance and energy saving, there are some barriers to their installation, including
leakage and high implementation and maintenance costs (Dunnett, 2006).
The cooling and energy-saving potential of green roofs can be affected by
applying design and planning variables. One of the most critical variables is vege-
tation species, which influence shading levels and the transfer of radiation through
the layers of the plants (Santamouris, 2014). Speak et al. (2013) compared green
roofs with different vegetation species such as Juncus species, Plantago lanceolata,
and Senecio jacobaea. The results showed that the temperature reduction between
different species in summer could reach 0.5 °C. The cooling effects are also affected
by vegetation coverage rates. Perini and Magliocco (2014) measured green roofs with
vegetation cover varying between 30 and 90% in Milan, Italy. The results indicated
that the average temperature reduction of green roofs with high coverage rates was
0.2–0.9 °C higher than those with low coverage rates. To sum up, vegetation species
2 Urban Heat Mitigation Strategies 25

and coverage rates can significantly affect the cooling or energy-saving potential of
green roofs.

2.1.2 Vertical Greening Systems

Vertical greening systems (or green walls) refer to “all forms of vegetated wall
surfaces with plants either attached to the façade or rooted into the ground and the
wall itself” (Perini et al., 2013). Vertical greening systems can be classified into green
façades and living walls according to their growing methods. Green façades attach
“climbers directly to building surfaces or indirectly to cables or trellis” (Perini et al.,
2013). Living wall systems are constructed from “modular panels that contain soil
or other artificial growing mediums, including foam, felt, perlite, and mineral wool”
(Perini et al., 2013).
Vertical greening systems reduce the temperature mainly by transpiration.
Existing studies have explored their performance in the reduction of indoor tempera-
ture and building surface temperature. Sunakorn and Yimprayoon (2011) pointed out
that the average indoor temperature of a room with bio-facades was lower by 0.9 °C
than a room without bio-façades in a tropical climate. Alexandri and Jones (2008)
concluded that applying a green wall covered with species of ivy reduced the surface
temperature by 5.6–14.3 °C in nine cities, including Beijing, China; London, UK; and
Brasília, Brazilian. In addition to cooling performance, the use of vertical greening
systems also has positive impacts on energy consumption. Perini et al. (2013) found
that building façades covered by greenery could reduce energy consumption by 43%
in the Mediterranean climate. Despite the positive effects of vertical greening systems
on cooling potential and energy saving, their high water demand may be a challenge
for implementation in regions with water scarcity. This problem can be alleviated
by employing rainwater harvesting technologies or irrigation systems, although the
overall cost of installation will be increased for the additional equipment.
Recently, more efforts have been devoted to the planning and design variables
that can affect the mitigation performance of vertical greening systems. Sunakorn
and Yimprayoon (2011) compared the ambient temperature surrounding the Blue
trumpet vine, Ivy gourd, and Mexican creeper to understand the influence of vege-
tation species on cooling potential. The results showed that the Blue trumpet vine,
with its smaller and denser leaves, presented more cooling than the others. Similarly,
Wong et al. (2010) measured the cooling potential of eight types of living walls and
recommended a high-performance living wall structure with modular panels and
inorganic substrates. Although there are other planning and design variables such as
substrate type, composition, soil depth, and moisture content, the impacts of those
variables on cooling performance are not significant (Wong et al., 2010). In summary,
vegetation species and physical structures have significant impacts on the cooling
performance of vertical greening systems compared with other variables.
26 J. Qi and B.-J. He

2.2 Cool Materials for Buildings or Hard Surfaces

Cool materials for buildings or hard surfaces in this research refer to the use of
specialised materials on building roofs, building walls, or hard surfaces such as pave-
ments in the private realm. Cool materials applied here can generally be divided into
reflective materials, heat storage materials, and heat harvesting materials, according
to the cooling techniques (Qi et al., 2019). Reflective materials change albedo (e.g.,
light-coloured or thermochromic roofs), reducing surface and ambient temperature.
Heat storage materials, such as phase change materials (PCMs)-based walls, absorb
heat in the daytime and discharge heat in the nighttime. Heat harvesting materials
like photovoltaic (PV) roofs reduce the temperature by transferring heat to other
types of energy, such as electricity.

2.2.1 Reflective Materials

The cooling performance of reflective materials relates to the amount of reflected

long- and short-wave radiation. The performance predominantly depends on the
albedo of materials, where a higher albedo always means a greater ability of
reflecting solar radiation and produce a lower surface temperature (Santamouris
et al., 2011). Through summarising studies on the cooling potential of increased
albedo, Santamouris (2014) concluded a linear relationship between albedo and
surface temperature. The relationship was further explained in the following equation
(CSE, 2015):

K S × (1 − α) = 4σ T 4 (1)

…where the K S is solar insolation, α represents albedo, σ is the Stefan-Boltzmann

constant, and T is temperature.
Although increasing albedo can reduce the cooling load, it results in a higher
heating load in winter due to a decrease in solar absorption. This issue can be
addressed by using thermochromic materials that can change surface colour and
albedos based on the surrounding environment. The threshold between heat reflection
and absorption is defined as the transition temperature. When the surface tempera-
ture is higher than the transition temperature, the surface colour of materials changes
from a dark colour to a light colour, thereby increasing the albedo. It is well docu-
mented that the cooling performance of thermochromic materials remains high. For
example, Ye et al. (2012) pointed out that a maximum reflection ratio of 33% and
indoor temperature reduction of 6 °C caused by a thermochromic roof with a 32 °C
transition temperature.
Currently, a typical way to change albedo is through the coating, which refers to a
thin layer attached to the material surface. The albedo of reflective materials usually
depends on coating materials and colours. Figure 3 compares widely used coating
options, including tiles, shingles, metal panels, membranes, paint, and colours. In
2 Urban Heat Mitigation Strategies 27

Fig. 3 Albedo characteristics of the coating materials (Qi et al., 2019)

general, the materials with white colour present high albedo that can reach 0.85.
The main differences in albedo between those materials are non-white colours. For
example, non-white coloured concrete and clay tiles are mostly characterised by low
albedos, such as red (0.12), blue (0.18), and green (0.17). Comparatively, the albedos
of non-white coloured cool tiles ranges from 0.38 to 0.6.

2.2.2 Heat Storage Materials

The long- and short-wave solar radiation absorbed by materials heightens the surface
temperature, subsequently heating the ambient temperature via sensible heat transfer.
One effective practice of ambient temperature reduction is to reduce peak heat
fluxes and the energy released into the atmosphere by improving the thermal storage
capacity of materials. The typical approach to storing thermal energy is using phase
change materials (PCMs) that can be characterised into sensible heat, latent heat, and
chemical energy (Zhang et al., 2007), as shown in Fig. 4. Solid–liquid PCMs using
latent heat are suitable for application in practice own to their volumetric stability
and high capacity of heat absorption (Qin, 2015).
The temperature at which phase changes or liquid–solid transitions occurs is
defined as melting temperature, which can significantly influence the mitigation
performance of PCMs. The optimum melting temperature differs from climate condi-
tions. Figure 5 illustrates the optimum melting temperature and thermal stress reduc-
tion of PCMs in 24 cities under different climate zones. The results show the highest
melting temperature in semi-arid climates (19.28 °C) and the lowest melting temper-
ature in arid climates (15.60 °C). Likewise, the thermal stress reduction of the PCMs
28 J. Qi and B.-J. He

Fig. 4 Classification of phase change materials (Qi et al., 2019)

Fig. 5 The optimum melting temperature and thermal stress reduction of PCMs in 24 cities (Source
Adapted from [Saffari et al., 2018])

with optimum melting temperatures varies significantly across the cities. Compared
with other climates, PCMs at the optimum melting temperature in Mediterranean
climates underperformed, possibly due to their less exposure to solar radiation
(Jayalath et al., 2016).
In addition to thermal stress, existing studies have also explored the performance of
PCMs on temperature reduction and energy consumption. Kuznik and Virgone (2009)
developed PCM composite wallboards with a 13.6 °C melting temperature, which
reduced the indoor temperature by 4.5 °C in comparison with regular wallboards.
PCMs also have high performance in relation to energy efficiency since they reduce
energy saving for cooling and heating. Song et al. (2018), for example, indicated
energy savings for cooling (34.5%) in summer and heating (21%) in winter using a
PCM-gypsum plasterboard.
A drawback of PCMSs is the high initial cost despite their low cost for maintenance
and high durability (Qi et al., 2019). In addition to the high initial cost, it is argued that
the heat absorbed by PCMs in the daytime may be released in the night, aggravating
the night-time urban heat effect. Thus, the use of PCMs depends decidedly on the
2 Urban Heat Mitigation Strategies 29

requirement of householders. To sum up, the use of PCMs can be an extremely

helpful strategy to lower daytime peak indoor air temperature and reduce energy use
if the optimal melting temperature can be defined. However, the disadvantages of
high implementation cost and aggregation of night-time urban heat may affect the
adoption of PCMs.

2.2.3 Heat Harvesting Materials

Heat harvesting suppresses energy released to the air, which gains a lower ambient
temperature and other forms of energy, such as electricity. Some harvesting methods
exist, including using photovoltaic (PV) materials and polyethene tubes (Van Bijster-
veld et al., 2001). This research narrows its focus down to PV materials. PV materials
are generally integrated with a transparent layer in the application, collectively called
the PV system. There are two layers in the system. The top layer (e.g., glass) aims to
protect the sublayer. The sublayer consists of several solar panels, converting light
to other types of energy (Van Bijsterveld et al., 2001).
A PV system generally is installed on roofs; however, it shows lower cooling
potentials than reflective roofs (Taha, 2013). Salamanca et al. (2016) concluded a
temperature reduction (2 m height above roofs) of PV roofs with 0.2–0.4 °C, which is
only half of the reduction (0.4–0.8 °C) provided by reflective roofs. The PV can also
be applied on massive walls. Air gaps are commonly added between the PV panels
and walls to remove the heat via natural ventilation. Roofs with air gaps present a
lower roof surface temperature (7 °C) than roofs without the gaps (Wang et al., 2006).
Additionally, despite the relatively high initial cost of PV, the cost can be offset by
energy return and durability. DOE (2016) concluded that PV has a long lifetime of up
to 50 years and a low degradation rate ranging from 0.75 to 0.2%/year. In summary,
the application of PV systems has low effectiveness on cooling potential. Although
the cooling potential can be increased by adding a ventilated gap, the effectiveness
is still limited in comparison with cool materials.

2.3 Building-Integrated Evaporative Cooling Towers

Using evaporative cooling in the private realm can be achieved by developing

building-integrated evaporative cooling towers. The tower is an infrastructure
attached to the building, as shown in Fig. 6. In general, the cold air drops down
to the bottom of the building because of buoyancy forces, followed by reducing the
air temperature in the lower part of the tower. The cold air subsequently flows into
the indoor space for the cooling (Oropeza-Perez & Østergaard, 2018). In order to
improve cooling efficiency, a sprayer device is installed at the tower top to cool the
air. The average and maximum indoor air temperature reduction using evaporative
cooling towers reach 1–4 °C and 3.5–7 °C, respectively (Santamouris et al., 2017).
A planning and design variable considered in this research is the surface temperature
30 J. Qi and B.-J. He

Fig. 6 Schematic view of the building-integrated evaporative cooling tower

of the evaporative cooling pads. The surface temperature can affect the air tempera-
ture in the cooling towers by heat convection. In general, lower surface temperatures
have a larger amount of energy convection with hot air, leading to a higher cooling
potential.

2.4 Building-Integrated Shading

Building-integrated shading can prevent the penetration of direct sunlight and solar
radiation into buildings to achieve energy-saving and cooling purposes (Kuhn et al.,
2001), as shown in Fig. 7. Cho et al. (2014) installed a horizontal overhang and a
vertical panel in a high-rise residential building in Seoul, Korea. The results showed
that the two exterior shading devices reduced cooling energy demand by 19.7 and
17.3%, respectively.
The planning and design variables of building-integrated shading in this research
mainly focus on the shading structures and slat angle since they have significant
impacts on the cooling load. Kim et al. (2012) measured the cooling load and
energy efficiency of a three-storied building with three shading devices from March
to September in Seoul, Korea. Compared with buildings without shading devices,
the cooling loads of buildings with overhang, blind systems, and light-shelf devices
were reduced by 19, 10.7, and 14.3%, respectively. Additionally, a low slat angle in
blinds can save more energy for cooling purposes than a high slat angle. Kim et al.
(2012) found that blinds with a slat angle of 0° reduced the cooling load by 70.2%,
which was higher than those with the slat angle of 60° by 12.3%. The conclusion is
that buildings with overhang structures and low slat angles may be very effective in
achieving cooling potential.
2 Urban Heat Mitigation Strategies 31

Fig. 7 Schematic view of building-integrated shading

Fig. 8 Schematic view of urban heat mitigation strategies applied in the public realm

3 Urban Heat Mitigation Strategies Applied in the Public

Realm

The public realm includes urban elements of streets, plazas, parks, and water bodies.
This research focuses on four types of UHMSs applied in the public realm: green
infrastructure, cooling pavements, water bodies and misting systems, and outdoor
shading, as illustrated in Fig. 8.

3.1 Green Infrastructure Applied in the Public Realm

Green infrastructure applied in the public realm can be classified into green spaces,
street trees, and greening parking lots, according to the place of application. The
details of green infrastructure, including mitigation performance and planning and
design variables, are explained in the following sections.

3.1.1 Green Spaces

The area surrounding green spaces, including protected or conserved land, is cooler
than the area without nearby green spaces, which is named the park cool island (PCI)
32 J. Qi and B.-J. He

(Jauregui, 1991). Studies showed that PCI intensity could reach 3.6 °C in Phoenix,
USA (Chow et al., 2011); 6.7 °C in Addis Ababa, Ethiopia, (Feyisa et al., 2014);
3.8 °C in Chongqing, China (Lu et al., 2012); and 4.3 °C in Nagoya, Japan (Cao et al.,
2010). In addition to their cooling potential, green spaces can also contribute to elec-
tricity energy saving. Buildings surrounding parks in Singapore consume 10% less
electricity than those without nearby parks (Yu & Hien, 2006). Recently, increasing
attention has been paid to exploring the impacts of green spaces on human well-being.
Studies revealed that residents of neighbourhoods with abundant green spaces tend
to enjoy better general health and lower mortality risk (Takano et al., 2002).
Table 1 summarises the planning and design variables for green spaces used in
this research. One of the vital variables is vegetation species. Feyisa et al. (2014)
compared the cooling performance of Eucalyptus, Acacia, Cupressus, Grevillea, and
Olea in the 21 parks of Addis Ababa, Ethiopia. The difference between these species
in PCI intensity could reach 6.6 °C. Similarly, Chow et al. (2011) measured the
cooling potential of 13 tree species (e.g., Brachychiton populneus, Citrus aurantium,
and Eucalyptus microtheca) with heights ranging from 5 to 12 m in Phoenix, USA.
Results showed that cooling performance is affected by not only tree species but tree
height also. Additionally, PCI intensity has a negative correlation with a park shape
index, while it has a positive correlation with green ratio and park area, especially
for parks over 14 hectares (ha) (Lu et al., 2012). To conclude, both tree species, tree
height, shape index, green ratio, and park size can affect the performance of green
spaces on cooling, energy saving, and human well-being.

3.1.2 Street Trees and Greening Parking Lots

Street trees and greening parking lots in this research are defined as the trees planted
on the sides of streets and in parking lots, respectively. They can significantly lower
ambient temperature and surface temperature through transpiration and shade effects
(Loughner et al., 2012). Lin and Lin (2010) concluded that the air temperature under
a tree canopy was 2.5 °C lower than the unshaded open space in summer. Ca et al.
(1998) pointed out that greening parking lots lowered land surface temperature by
15 °C and air temperature 1.2 m above the ground by 2 °C compared with concrete-
covered lots in summer in Tokyo, Japan. The high cooling performance of greening
parking lots could further be improved at night in comparison with the daytime
because of the reduced sky view factor inhibiting longwave cooling at night (Bowler
et al., 2010).
The cooling potential of street trees and greening parking lots considerably
depends on tree species, tree height, and green coverage ratio (Table 2). Lin and
Lin (2010) compared the cooling effects of 12 different tree species in Taipei. The
results showed that the difference between those species in air temperature reduction
could reach 1.9 °C. A comparison of 12 different tree species at Campinas, Brazil,
revealed that the air temperature reduction ranged between 0.9–2.8 °C in summer
and 0.1–2.4 °C in winter. Additionally, tree height related to tree canopy decides
the extent of the shading area, thereby influencing the cooling area. By comparing
2 Urban Heat Mitigation Strategies 33

Table 1 Planning and design variables of green spaces

Variables Location Number of Attribution PCI intensity References
green spaces (°C)
Tree species Phoenix 1 13 tree species 0.7–3.6 Chow et al.
(2011)
Addis Ababa 21 5 tree species 0.1–6.7 Feyisa et al.
(2014)
Tree height Phoenix 1 5–12 m 0.7–3.6 Chow et al.
(2011)
Shape index Chongqing 6 1.24–2.49 0.2–3.8 Lu et al.
(2012)
Nagoya 92 1.01–5.76 0.1–4.3 Cao et al.
(2010)
Green ratio Chongqing 6 64–99% 0.2–3.8 Lu et al.
(2012)
Addis Ababa 21 >60% 0.1–6.7 Feyisa et al.
(2014)
Park area or Chongqing 6 1.2–45 ha 0.2–3.8 Lu et al.
size (2012)
Nagoya 92 0.1–41.9 ha 0.1–4.3 Cao et al.
(2010)
Addis Ababa 21 0.8–22.3 ha 0.1–6.7 Feyisa et al.
(2014)

the trees with heights ranging from 2 to 11 m, Huang and Li (2017) concluded that
the air temperature difference between varying tree heights could be 0.1 °C in the
summertime in Taipei. Other studies have also explored the relationship between
temperature reduction and green coverage ratio. Takebayashi and Moriyama (2009)
pointed out that greening parking lots with green coverage ratios of 6%, 10%, 20%,
and 30% lowered air temperature by 0.1, 0.2, 0.3, and 0.5 °C, respectively compared
with those without grass at 1 pm in Kobe, Japan. To summarise, tree species, tree
height, and green coverage ratio highly impact cooling performance.

3.2 Cool Pavements

Cool pavements are “the paving materials that reflect more solar energy, enhance
water evaporation, or have been otherwise modified to remain cooler than conven-
tional pavements” (Qin, 2015). There are several types of cool pavements, such as
reflective pavements, PV pavements, and permeable pavements. One of the widely
used types is the reflective pavement due to its low cost and easy application (Qi et al.,
2019). Existing studies have evaluated the performance of reflective pavements by
measuring surface temperature reduction. For example, Santamouris et al. (2012a)
34 J. Qi and B.-J. He

Table 2 Planning and design variables of street trees and green parking lots
Variables Technical details Average air References
temperature
reduction (°C)
Tree Trees representing 12 species (e.g., 0.6–2.5 Lin and Lin (2010)
species Alstonia scholaris, Ficus elastica, and
Bambusa vulgaris) in Taipei, China
Trees representing 12 species (e.g., 0.1–2.8 De abreu-harbich
Pinus palustres, Lafoensia, and et al. (2015)
Spathodea) in Campinas, Brazil
Tree height Street trees of 2–11 m height at Taipei, 0.1 Huang and Li
China (2017)
Green Parking lots with green coverage of 6%, 0.1–0.5 Takebayashi and
coverage 10%, 20%, and 30% in Kobe, Japan Moriyama (2009)
ratio

found that replacing conventional concrete and asphalt with white reflective mate-
rials on pavements reduced the land surface temperature by 12 °C in Athens, Greece.
In comparison, few efforts have been devoted to evaluating the effects of reflective
pavements on air temperature (Qin, 2015). The limited studies revealed that reflective
pavements could reduce the average ambient temperature of up to 01 °C (Georgakis
et al., 2014).
The cooling performance of reflective pavements mainly depends on the mate-
rial’s albedo, which is determined by several variables, including surface colour and
construction materials. Colour is one of the most high-impact variables of material
albedo. Light-coloured surfaces generally have a higher albedo than dark-coloured
surfaces. Taking asphalt as an example, changing surface colour from black to white
increases the albedo of 0.24, reducing a diurnal surface temperature reduction of
7.7 °C in Athens (Synnefa et al., 2011). However, it is noted that some black materials
(e.g., Near-infrared materials) can have a high albedo because of their high reflectance
in near-infrared light with more energy than the visible spectrum (Kinouchi et al.,
2003). For example, Kinouchi et al. (2003) developed a dark-coloured asphalt for
pavement coating with a high albedo (0.7).
The surface texture, thickness, and construction materials also affect albedos.
Changing surface roughness presents slight impacts on albedo and limited temper-
ature reduction. Taking concrete albedos as an example, replacing a rough surface
with a smooth one increases the albedo by 0.13 (Alchapar et al., 2013) and a surface
temperature of less than 1 °C. Likewise, modifying surface pattern with rustic yellow
concrete from ‘straight diagonal surface’ and the ‘flat start surface’ shows negligible
impacts on albedo variation of only 0.03 (Alchapar et al., 2013). The impact of
thickness on albedo variation is dependent on the number of layers changed. Just
modifying the thickness of the single layer is not enough to increase the albedo
(Li et al., 2013a), while changing both the thicknesses of the paver and sublayer
increases the albedo. Li et al. (2013b) changed a paver from 6 to 8 cm and a bedding
2 Urban Heat Mitigation Strategies 35

layer from 4 to 2 cm to obtain an increase in the albedo of 0.03 and a decrease in

surface temperature (2 °C). For construction materials, concretes and natural stones
consistently show higher albedos than asphalt. For example, white concrete tiles and
natural stone presented a higher albedo of almost 0.55 and 0.43, respectively, than
the white asphalt shingles (Santamouris et al., 2011).
To sum up, surface colour and construction material can significantly affect albedo,
while increasing albedo through the change of surface texture and thickness is quite
limited. Additionally, the initial implementation cost of reflective materials is rela-
tively cheap, ranging from $0.2 and $6.0 per square foot (Foster et al., 2011). The low
lifecycle cost of reflective materials can also arouse the stakeholders’ interest. For
instance, new reflective pavements can be used for up to 10 years without resurfacing,
saving $0.07/m2 per year (Akbari, 2005).

3.3 Water Bodies and Misting Systems

This section explains how to apply evaporative techniques to gain urban heat miti-
gation in the public domain. It focuses on the use of water bodies (e.g., ponds) and
misting systems (e.g., sprayers).

3.3.1 Water Bodies

Water bodies lower the ambient temperature by heat convection between the ambient
temperature and the water surface. Specifically, intense solar radiation during over-
heating is capable of increasing the water surface temperature. With the increase
in water surface temperature, water evaporation accelerates and then absorbs a vast
amount of latent heat. Studies have shown that the cooling potential of latent heat
derived from the surrounding water is almost 600 times higher than that of sensible
heat (Santamouris & Kolokotsa, 2016). The considerable heat absorption in evap-
oration allows the ambient temperature to be significantly reduced. Al-obaidi et al.
(2014) pointed out that evaporating 1 kg of water could decrease the temperature of
2000 m3 of water by 1 °C.
The ambient temperature reduction of water bodies can be affected by many
factors, such as the surrounding environment and the area of water bodies, as
described in Table 3. The cooling effects primarily depend on the area of the water
body. Larger water areas have more opportunities to absorb heat and reduce the
amount of energy reflecting the building surface, leading to high cooling effects. For
example, Theeuwes et al. (2013) pointed out that cities covered with 5, 10, and 15%
of water areas, presented 15.9, 22.9, and 26.2% impacted areas, respectively. Despite
the high cooling potential of large water bodies, they are not suitable in cities due to
the high cost and limited availability of space in urban area. Increasing the number
of small water bodies such as ponds and pools in street landscaping and gardens can
be an appropriate strategy for cities because of their low space demand. However,
36 J. Qi and B.-J. He

the cooling effects of small water bodies are quite limited. Cao et al. (2010) found
that the cooling potential was negligible if the water body was less than 2 hectares
in area.
Regularly shaped water bodies have a higher cooling performance than those with
irregular geometries. Sun and Chen (2012) calculated the landscape shape index of
197 water bodies using ASTER images. The study pointed out that the water bodies
with square and round shapes were more effective because the regular shape gener-
ates a large gradient of humidity and temperature between water bodies and the
surrounding areas. Additionally, the surrounding environment is also important for
cooling performance. Hathway and Sharples (2012) found that the water bodies
surrounding vegetation presented higher cooling potentials than those without vege-
tation since the photosynthesis and evaporation of vegetation absorb a great amount
of heat energy. However, the role of buildings surrounding water bodies in the thermal
environment is quite controversial. On the one hand, water bodies near high-density
buildings have high cooling intensity. The dense buildings generate a significant
volume of heat, thereby increasing the surrounding ambient temperature, while the
temperature of the water is relatively stable. The large gradient of water bodies and
the surrounding temperature leads to high cooling intensity (Sun & Chen, 2012). On
the other hand, water bodies surrounding areas of low building density have exten-
sive impacted areas (Murakawa et al., 1991). Compared with high-density areas,
low-density areas with more open space have better ventilation, which increases the
propagation of cooling (Hathway & Sharples, 2012).

Table 3 Planning and design variables of water bodies

Variables Technical details Findings References
Area of water • Assessing the impacted • Cities with 5, 10 and 15% Theeuwes et al.
bodies area in cities with 5, 10 of water areas have 15.9, (2013), Cao et al.
and 15% water area 22.9 and 26.2% impacted (2010)
• Assessing the cooling areas respectively
effects of the park with
water and those without
water
The shape of • Assessing the cooling • Regular geometries of Sun and Chen
water bodies potential of 197 water water bodies have higher (2012)
bodies with different cooling potential than
landscape shape indexes irregular ones
in Beijing
Surrounding • Assessing the cooling • The cooling effect is Sun and Chen
environment potential of the water stronger near the CBD; (2012), Murakawa
bodies distributed near • A river with vegetative et al. (1991),
CBD banks gains more cooling Hathway and
• Monitoring the air Sharples (2012)
temperature of four
regions near a river
2 Urban Heat Mitigation Strategies 37

3.3.2 Misting Systems

Misting is a way in which water can be sprayed directly into the air or onto a land
surface. Hendel et al. (2016) compared the ambient temperature above pavements
of those spayed with water and those not sprayed at two sites in Paris, France.
The results showed that spaying pavement reduced the average ambient temperature
by 0.22 °C on a typical summertime day. The cooling potential can be enhanced
by combining a spraying device with water bodies. Nishimura et al. (1998) found
that combing a waterfall and spray fountain dropped average air temperature by up
to 2 °C. A combination of fountains and sprayers used by Chatzidimitriou et al.
(2013) achieved maximum and average air temperature reduction of 7.1 and 1.9 °C,
respectively, in summer at Thessaloniki, Greece.
Table 4 shows the planning and design variables for misting systems that are
covered in this research. The predominant variable is the water flow rate. Montazeri
et al. (2017) compared the cooling performance of the misting systems with the flow
rate by 2.25, 4.50, and 9.0 L/min. The result showed that when the water flow rate
was 9.0 L/min, mist spray systems gained the maximum cooling with temperature
reduction of 7 °C in Rotterdam, Netherlands. Thus, an increase in water flow rate
leads to high cooling potential.
Additionally, water particle size affects the impacted areas of misting systems.
Yamada et al. (2008) investigated the cooling performance of sprayers with 16.9,
20.8, and 23.6 µm Sauter at the same height. The results showed that although the
temperature reductions of these sprayers were similar in the study, the minimum
height of mist particles varies significantly. This means that a larger spray water
particle size corresponds to a lower minimum height of mist particles and extensive
impacted areas (Yamada et al., 2008).

Table 4 Planning and design variables of misting systems

Variables Technical details Performance References
Water flow Measuring the cooling effects of mist • A high water Montazeri et al.
rate spray systems with flow rate by 2.25, flow rate presents (2017)
4.50, and 9.0 L/min more cooling
Water particle Comparing the temperature reduction • The average air Yamada et al.
size and the minimum height of mist temperature (2008)
particles on spaying with 16.9, 20.8 and reduction is
32.6 µm Sauter mean diameter similar
• The larger
diameter has a
lower minimum
height of mist
particles
38 J. Qi and B.-J. He

3.4 Outdoor Shading

Outdoor shading can block solar radiation and reduce surface temperature, which
further lowers the ambient temperature and improves thermal comfort in the public
realm. In general, shading may be provided by natural (trees) or artificial struc-
tures. Based on the shading structure, it can be divided into the tree canopy and
light-coloured shading (Osmond & Sharifi, 2017). Since the shading effects of
tree canopies have been discussed in Sect. 3.1, this section mainly focuses on the
mitigation performance of light-coloured shading.
Light-coloured shading provides cooling by reflecting solar radiation and reducing
the incident radiation. It has significant impacts on surface temperature reduction.
Osmond and Sharifi (2017) have pointed out that the maximum surface tempera-
ture reduction by light-coloured shading could reach 15 °C. However, the specific
performance varies across the coating materials (Osmond & Sharifi, 2017), which
is defined as the planning and design variable for outdoor shading in this research.
The details of coating materials have been provided in Sect. 2.2. Additionally, the
impacts of light-coloured shading on outdoor thermal comfort varies according to
the time of day. Vartholomaios and Kalogirou (2020) concluded that the influence
of shading on outdoor thermal comfort was minimal during sunrise and sunset due
to the low solar radiation intensity. However, the impact was significant during the
afternoon since the enormous amount of solar radiation in this period could effec-
tively be intercepted by shading surfaces. Unfortunately, due to the limited studies
on outdoor shading, the nature of the impacts, for example, economic ones, are still
unclear (Vartholomaios & Kalogirou, 2020).

4 Combination of Urban Heat Mitigation Strategies

Recent studies indicated that the combined use of UHMSs could present a higher
temperature drop than the use of individual UHMSs (Santamouris et al., 2017).
Table 5 illustrates some of the possible UHMS combinations and their reported
performance in the existing literature. Reported performance data show that water-
based UHMS combinations present high cooling potential. Chatzidimitriou et al.
(2013) indicated that combining green spaces, cool pavements, water bodies, and
misting systems reduced the average air temperature by 1.9 °C in the summer of
Thessaloniki, Greece. Zoras et al. (2015) simultaneously employed cool pavements,
cool roofs, and misting systems to gain an air temperature decrease by 0.6 °C.
Similar results have been documented by Amor et al. (2015) and Martins et al.
(2016) and show that a combination of water bodies and misting systems could
reduce air temperature by 0.9–2 °C.
UHMS combinations related to cool pavements also contribute strongly to urban
heat mitigation. The average air temperature reduced by a combination of green roofs
and cool pavements was higher than 0.1 °C and could reach 0.9 °C in some cases
2 Urban Heat Mitigation Strategies 39

Table 5 Characteristics and reported performance of combinations of urban heat mitigation

strategies
No. Strategy combinations Average air References
temperature
reduction (°C)
1 Green roofs and cool 0.1–0.9 Sailor (1995), Santamouris et al.
pavements (2012), Zhou and Shepherd (2010)
2 Green spaces and cool 0.6 Chatzidimitriou et al. (2013)
pavements
3 Green spaces, water bodies, 1.9 Chatzidimitriou et al. (2013)
misting systems, and cool
pavements
4 Cool roofs, street trees, and 0.2–0.4 Stone Jr et al. (2014)
cool pavements
5 Water bodies and misting 0.9–2 Amor et al. (2015), Chatzidimitriou
systems et al. (2013), Martins et al. (2016)
6 Cool roofs and cool 0.1–0.9 Millstein and Menon ( 2011), Wang
pavements et al. (2016)
7 Cool roofs, cool pavements, 0.6 Zoras et al. (2015)
and misting systems

(Sailor, 1995; Santamouris et al., 2012; Zhou & Shepherd, 2010). Similar cooling
performance can be achieved by combing cool roofs and cool pavements (Millstein &
Menon, 2011; Wang et al., 2016).
In addition to cooling performance, existing studies have also explored the impacts
of UHMS combinations on energy efficiency and human health. Shahidan et al.
(2012) combined green spaces with a leaf area index of 9.7 and cool pavements with
an albedo of 0.8 in Putrajaya, Malaysia, and showed that this combination produced
a building cooling load reduction of up to 29%. Additionally, Stone Jr et al. (2014)
concluded that combining cool roofs and pavements reduced heat-related mortality
by 40% in Atlanta and Philadelphia, USA. Therefore, UHMSs combinations can
be an extremely useful weapon to counterbalance urban heat problems if the high-
performance combination can be identified.

5 Conclusions

This study reviewed four types of passive UHMSs (i.e., greenery, cool materials,
evaporation techniques, and shading devices) and discussed their definitions, miti-
gation performance, planning and design variables, and cost benefits based on the
place of application, including private realm, public realm, and combinations.
40 J. Qi and B.-J. He

In the private realm, building-integrated green infrastructure or courtyard greenery

(i.e., green roofs and vertical greening systems) have high performance in micro-
climate amelioration and energy conservation up to an air temperature reduction of
1.2 °C, roof surface temperature reduction of 12.8 °C, and energy saving of 43%. The
performance can be affected by the variables of vegetation species, coverage rates,
and physical structures. Cool materials for buildings or hard surfaces, consisting of
reflective materials, heat storage materials and heat harvesting materials, also show
high cooling potential. Reflective materials generally have higher cooling effective-
ness and lower initial cost than heat storage materials and heat harvesting materials.
The cooling potential of reflective materials predominantly depends on the albedo
of materials, which varies significantly across the coating materials and colours.
The main impacts of building-integrated evaporative cooling towers are indoor air
temperature reduction. If the surface temperature of the evaporative cooling pads
is cooling enough, the average and maximum reduction can be up to 4 and 7 °C,
respectively. Building-integrated shading can reduce 70.2% the cooling load if the
shading structures and slat angles can be defined properly, such as buildings with
overhangs and blinds ( a slat angle of 0°).
In the public realm, green infrastructures, such as green spaces, street trees and
green parking lots, present positive effects on cooling, energy saving, and human
well-being. The green infrastructures can reach PCI intensity of 6.7 °C and a 10%
reduction in electricity use. Their performance relates to tree species, tree height,
shape index, green ratio, and park size. The cool pavements, surface colour and
construction material have been widely applied due to high cooling performance
and low initial and maintenance costs. Surface colour and construction material can
significantly affect albedo, while increasing albedo through the change of surface
texture and thickness is quite limited. The water bodies and misting systems have
high cooling performance in ambient temperature reduction because of the high
cooling potential of latent heat. The main variables for cooling include many factors,
such as water flow rate, water particle size, the area and shape of water bodies,
and the surrounding environment. Outdoor shading is provided by natural (trees)
or artificial structures and can be classified into the tree canopy and light-coloured
shading. However, due to the limited studies on outdoor shading, the nature of some
impacts is still unclear.
A combination of UHMSs may have a better performance than the single one. For
example, a joint application of green spaces, water bodies, misting systems, and cool
pavements reduce the average air temperature of 1.9 °C. Cool pavements have been
widely used in combinations, which also contribute strongly to cooling load reduction
and heat-related mortality. Due to the limited studies on UHMS combinations, this
study only discussed the seven types of combinations. Considering the high cooling
potential provided by combinations, future studies should devote more effects to
exploring the optimal combinations for urban heat mitigation.
2 Urban Heat Mitigation Strategies 41

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Chapter 3
Biophilic Design: Pinpointing
Nature-Based Techniques in Urban
Areas to Combat Global Warming

Abdollah Baghaei Daemei, Masoumeh Mazandarani,

and Mahshid Motamed

Abstract The rate of global warming has increased rapidly in recent decades, and
experts agree that climate change is exacerbating dangerously high temperatures
around the world, which will ultimately lead to an increase in urban heat islands
(UHI), longer warm seasons, and severe health-related issues. This study aims to
provide strategies, exemplars, and approaches to tackle the mentioned problems.
Hence, this research proposed biophilic design elements as a promising technique to
mitigate UHI resulting from global warming, to examine the importance of vegetation
and plants in urban areas. The Rhino software, and Grasshopper and Ladybug plug-
ins have been deployed to simulate UHI; referred to as Urban Weather Generator
(UWG). The humid climate of Rasht was selected as an example of the study area
in this research. Thus, findings showed that adequate vegetation could help drop
the average monthly temperature by approximately 2 °C, and this mean temperature
could vary between 9 and 19 °C annually.

Keywords Biophilic design · Nature-based strategies · Urban areas · Global

warming · Cooling cities · Urban Heat Island

1 Introduction

Global warming and climate change have caused severe disruptions in the built
environment worldwide (Rantanen et al., 2022). Numerous studies proclaim that, by
increasing public awareness, optimal consumption of fuel and energy, preventing the

A. B. Daemei (B)
School of Built Environment, College of Science, Massey University, Auckland, New Zealand
e-mail: abaghaei@[Link]
M. Mazandarani
School of Architecture, University of Tehran, Tehran, Iran
M. Motamed
Rahyaft Research and Design Studio, Shiraz, Iran

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 45
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
46 A. B. Daemei et al.

destruction of forests and increasing the extent of green spaces, recycling materials,
and using alternative energies instead of fossil fuels, global warming and its adverse
effects on human life may be controllable (Abbasi & Abbasi, 2011; Zhang & Zhai,
2022).
Tackling this long-term phenomenon, which is considered to be a robust fact and
severe problem, requires continuous research and in-depth studies. Thus, employing
approaches such as various international attempts to stop global warming in order to
protect human civilization from possible future crises remains vital. To address these
all-pervasive, a vast range of scientific reports have already been implemented as
part of the long-term vision. Sustainable development goals (SDGs) and indicators
consist of a set of seventeen global goals for 169 specific areas, which require an
urgent call for action by all countries (Stafford-Smith et al., 2017; UN, 2022).
Consequently, it is necessary to develop a sustainable framework by evaluating
extensive architectural techniques as comprehensive guidelines to make better deci-
sions in terms of urban planning. Several approaches work together to bring about
the expected consequences in terms of architectural design and configuration (Díaz-
López et al., 2022). Biophilic design patterns can potentially reposition the environ-
mental quality conservation to satisfy occupants’ needs in equal consideration, in
addition to conventional parameters for enhancing building performance (Ghaziani
et al., 2021).
Hence, in architectural and urban design, biophilic design strategies (BDS) are
sustainable design approaches that incorporate reconnecting people with the natural
environment. Hereafter, the question arises as to how individuals and urban areas
can benefit from the results of this study to improve the overall performance of cities
through the role of biophilic design? Therefore, the primary aims of this chapter
are divided into four phases: (a) Formulating the key elements of biophilic design
and its current theories; (b) Scrutinizing a number of successful exemplars regarding
biophilic design worldwide as case studies; (c) Providing a framework to promote
a health-based population, and cities based on the concept of biophilic design; and
(d) Analyzing the impact of plants and vegetation on reducing outdoor temperatures
and mitigating UHI.

2 Global Warming: Concepts and Elements

The exhaustion of freshwater resources around the world ringed warning bells
of the deglaciation era. In this context, biophilic design is considered as a new
paradigm attempt to present a new solution. There are four main environmental
factors to assess the environment’s thermal comfort including: dry bulb temperature,
humidity, airflow, and radiant exchange; and two personal aspects, namely clothing
and metabolism. However, other criteria must also be taken into account regarding
outdoor thermal comfort. Table 1 explains the parameters which affect biophilic
design, namely Outdoor Thermal Comfort (OTC), Urban Heat Island (UHI), and
Heat Stress Effect (HSE).
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas … 47

Table 1 Explanation of OTC, UHI, and HSE

OTC UHI HSE
Aspects Physical, Physiological, Urban atmospheres Extreme cold/ heat
Psychological, and Social Urban anthropogenic heat Indoor conditions
Parameters Impacts of global warming Shaded outdoor
Latitude and regional climate conditions
Metabolic heat
production
Heat exchange with
the environment
Caused Microclimate Urban structures Materials
by Design Guidelines, and High thermal mass emitted by characteristics of
Urban Planning concrete and asphalt roads buildings
Regulations Low ventilation capacity Energetic
Vehicle and air conditioner performances of
exhausts buildings
Heatwaves during extreme heat Vacuum insulation
event days in the summer systems
Changing the thermal Reflective materials
environment in the city
Exposing people to heat stress
Results Outdoor Ambiance, Higher degree in downtown Thermal sensation
City’s Liveability, Absorbing and reradiating solar
Sustainability, and Outdoor radiation
Ambiance

As indicated above, urban thermal comfort is heavily influenced by UHI, and

biophilic design seeks to decrease UHI to the minimum extent possible. Studying
urban heating, especially UHI, has been conducted in detail to determine the major
role that heat re-radiated by urban structures plays. There is a wide range of factors
contributing to UHI, and numerous approaches to control it, and this paper has
focused on VGS as one of the significant biophilic design elements.
One of the essential issues in future urban design that designers and policymakers
should consider is comprehending the key role of climate change (CC), and its
impact on the functioning and formation of patterns in nature. The harms of the
abovementioned issues on human health have already been proven. Environmental
health-related diseases such as heat-related illnesses (Graczyk et al., 2022; He et al.,
2022), expanding allergens (Agache et al., 2022; Dawson et al., 2022), drinkable
water quality-related diseases (Khurana & Sen, 2021; Miyoshi et al., 2022), envi-
ronmental degradation (Kaushal et al., 2021), or vector-borne diseases (Tourapi &
Tsioutis, 2022), are part of the health challenges associated with CC.
Accordingly, the adverse effects associated with CC, its role on the health and
well-being of various societies, as well as vital goals such as SDG3 (Good Health and
Wellbeing) and SDG13 (Climate Actions) must be taken into consideration. These
are some of the aims that sustainable development is trying to attain as much as
possible around the world (Leal Filho et al., 2021).
48 A. B. Daemei et al.

Research shows that the mentioned factors related to CC threaten the quality of
life of millions, especially low-income people, worldwide (Akhtar, 2020; Herring
et al., 2018; Javadinejad et al., 2020; van Woezik et al., 2016). Figure 1 shows the
probable relationship between the risk factors related to the issue of CC throughout
the world, and sustainable development measures against these critical changes.
According to Fig. 1, part a of the chart signifies the risks and effects caused by
CC, sequentially and simultaneously on human societies and ecosystems. In chart b,
beneficial practices and opportunities for the future of CC are presented, which can
be described as follows:
Diagram (a): CC causes changes in human societies, and subsequently causes
ecosystem destruction and loss of biodiversity all over the world. Also, ecosystem
destruction threatens human societies in the same way. CC, through the creation
of potential and actual risks, causes various communities to become exposed and
vulnerable, regardless of race, wealth, etc., which can exceed controllable and
adaptive limits and lead to a severe loss of life. Human societies can adapt, become
incompatible, or even reduced to a significant extent through adopting different
approaches to face CC. Also, ecosystems, as responsive collections, can adapt to
limitations and be effective in reducing them. Ecosystems and their biodiversity
have many effects on the presence and growth of communities.
Diagram (b): Beneficial procedures and opportunities for the future of CC are
presented, and by implementing these approaches, the seventeen goals of sustain-
able development, especially the support of human health, ecosystems, and the
well-being of human societies will be provided. This approach requires flexible
climate policies along with the diagnosis of climate risk factors to consolidate
adaptation and mitigation of climate risks. Most of these measures should be

Fig. 1 interactions among the system factors of climate, and other related issues (Pörtner et al.,
2022); developed by the authors
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas … 49

taken by governments, and it is possible for them to do so according to finan-

cial categories, knowledge and capacity building, technology, and examination of
conditions. Transformation requires shifting the system from inflexible to flexible.
Intergovernmental Panel on Climate Change (IPCC) has expanded a whole nomi-
nation to characterize the certain assurance of their intuitions. Achievements are
estimated most probably using witnessing, modeling results, or expert adjudication.
They are given a rule on a scale continuum ranging from exceptionally unlikely
to virtually certain. IPCC measures certainty using the likelihood criterion in 10
categories (Change, 2007). Some theories presented in the field of classification of
CC risks have divided them into three categories of short-term risks (2040–2021),
medium-term risks (2060–2041), and long-term risks (2081–2100) (Pörtner et al.,
2022). Some other theories in the field of CC divide them into the three categories of
high-intensity effects, long-terms effects, and changes with uncertain impacts. This
classification shows the priority of the parameters that should be considered for prac-
tical actions in the schedules made by countries, and public and private institutions.
Therefore, this view is in favor of a short-term and long-term policy approach toward
dealing with CC. Figure 2 depicts the global warming process depending on a set of
factors.

Fig. 2 The general structure between global warming and human activities (Al-Ghussain, 2019;
Kang et al., 2022; Zhou, 2022); developed by the authors
50 A. B. Daemei et al.

Fig. 3 Variables related to CC Vulnerability (Ho et al., 2022; Jamwal et al., 2022; Nájera-
González & Carrillo-González, 2022; Nandintsetseg et al., 2021); developed by the authors

In the following, the main variables of CC that have a great impact on urban
design mechanisms and conditions are dry and wet temperatures, relative humidity,
amount of precipitation, wind speed and direction, type of wind, number of waves,
and amount of tide (Fig. 3).

3 Biophilic Design Performance to Mitigate UHI

Spatial relationships enhance well-being through the experience of space and place.
For this reason, design disciplines use biophilia in order to enhance user experi-
ences. Zhong et al. (2022) declared that due to growing environmental concerns,
biophilic design has received widespread attention in architecture over the past
decade. As Kellert et al. (2011) defined, the new design paradigm is referred to here
as “restorative environmental design”, which emphasizes both minimizing and miti-
gating adverse environmental effects, as well as fostering a beneficial contact between
people and nature in modern buildings and landscapes through implementing a
positive environmental impact or biophilic design approach.
Wilson developed the concept of biophilia and popularized it in his publication;
he explained biophilia as “the innate tendency to focus on life and lifelike processes”
(Wilson, 1984). Although the very first published paper on biophilia was concerned
with its social aspects (Desouza & Flanery, 2013; Kellert & Calabrese, 2015), more
recent investigations progressed on to scrutinize the realm. Meanwhile, Kellert (2018)
declared that biophilic design is about addressing the deficiencies of contemporary
building and landscape practices by establishing a new framework for enhancing the
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas … 51

presence of nature in the built environment. In the contemporary built environment,

biophilic design aims to create a decent habitat for people to promote their health,
fitness, and well-being. As Mollazadeh and Zhu (2021) explained, rapid urbanization
has had a significant impact on human health, and has affected the lives of many
people. By 2050, the current population growth rate is projected to add 2.5 billion
people to the world’s population.

3.1 Concepts and Strategies

According to the mentioned issues, the five rules for how urban areas following
the NBS approach are adjusted and propounded, and based on the five particular
urban challenges have been outlined. These rules have been approved based on
the multilateral interaction between several disciplines related to the city, such as
urban ecology, urban design, urban planning and governance, and urban sociology.
Although these five rules are suggestions, they should be considered as a complete
and interactive group, and it is not possible to employ any of them separately. They are
closely interrelated and sometimes overlapping. The path toward achieving a number
of them is common, but at the same time, they have subtle differences regarding some
basic aspects. This fact indicates that NBS planning in cities should be carried out
carefully (Frantzeskaki, 2019; Tzoulas et al., 2021; van der Jagt et al., 2020). The
next figure illustrates the function of the five rules for urban NBS.
In the mentioned Fig. 4, rule 1, as a commander rule entitled “systemic understand-
ing”, underlies all other conditions and rules. Rule 2 shows that “benefiting people
and biodiversity” should aim to provide an equilibrium supply of various benefits to
both humans and non-humans. The realization of rule 2 is based on the realization
of the local context and concept (rule 4: context consideration), and is not possible
without it. Rule 3 is presented as a long-term solution to make NBS sustainable over
time. Rule 5 refers to the very serious issue of “communication and learning”, which
depends on the compromise, agreement, and support of a wide range of people in
society; therefore, it is related to rule 3 “self-inclusive solutions for the long-term.”
The formerly mentioned rule 4 “context consideration” and rule 5 “communication
and learning” are interactively and adaptively related to one another (Dorst et al.,
2019) (see Fig. 4).
The concept of providing comfort with an energy approach, or in other words
thermal comfort, is quite essential in the urban climate, but in most situations, the
concept faces many limitations that challenge researchers. OTC and UHI are the
two essential areas for research in city and urban design. The UHI effect is a known
weather phenomenon that creates warmer temperatures in urban areas than in nearby
rural areas. Generically, it is crucial to fundamentally changing the type of ques-
tions in this field, and for researchers to try to find answers using a new perspective.
Therefore, not only are the issues of energy and thermal comfort in the urban envi-
ronments (or UTC) and UHI important, but it seems necessary to take immediate
52 A. B. Daemei et al.

Fig. 4 Five rules for nature

-based urban solutions of
planning (Dorst et al., 2019)

Fig. 5 Five main indexes

are introduced in the field of
UHI (Mahdavi et al., 2016);
developed by the authors

action. Figure 5 illustrates five primary indexes which are introduced in this field,
namely density of buildings, human heat production, traffic jam intensity, the density
of green areas, and the attendance of water in places (Mahdavi et al., 2016).
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas … 53

4 Case Study Examples

The effects of destruction of nature along with the population and information conges-
tion of the present age have caused many physical, psychological and social conse-
quences and with exorbitant costs of human life and have caused many countries to
gradually develop programs for the revision of nature.
Attention has been paid to the view of the presence of nature in urban contexts,
even in recent decades and perhaps centuries. The following description (Table 2)
identifies several buildings which had been built and designed by the six biophilic
design elements namely environmental features, natural shapes and forms, natural
patterns and processes, light and space, place-based relationships, and evolved
human-nature relationships (Kellert et al., 2013, p. 5).
Design based on biophilic principles is not limited to architecture. But now the
world is witnessing the instruction and development of biophilic policies in the field
of cities and urban design. The following table shows examples of urban design
based on biophilic principles, which have provided solutions in this field on a large
scale (see Table 3).
The parameters mentioned in the table below do not directly refer to the parameters
of the previous table that described the principles of biophilic design in architecture,
but are considered a subset of them. The methods of achieving the concept of biophilic
in cities can be wider and more diverse than those in the table below and can be
changed under the influence of factors such as economy, culture, population and
people’s needs.
The concept of biophilic can go beyond the city and urban design and can be
examined on a regional and national scale. Also, by considering it in the theoret-
ical foundations of urban and regional planning for short and long-term periods,
it can provide the goals of sustainable development of countries according to their
prospects.
Biophilic urbanism shows its power as an approach to create views and a common
understanding of the many benefits of nature in cities and thus strengthens the place
of planning for urban green spaces in policy makings. In general, it is necessary
for urban policymakers to correctly understand the integrated potentials related to
the green space of each city and to use the biophilic concept as a practical tool
to strengthen the green place positions. At the same time, consider the challenges
related to laws, future natural and human hazards, and future development.

5 Numerical Simulations to Measure UHI

The study area in this research is a city with a humid climate (Köppen climate classi-
fication: Cfa) and latitude and longitude of 37° 16' 51.0024''' N and 49° 34' 59.0052''
E, respectively, and is located in the north of Iran. The average annual rainfall in this
city is 1,359 mm. The average annual temperature is 15.9 °C, the average annual
Table 2 Case studies which illustrate the six biophilic design elements
54

Environmental Features Natural Shapes and Forms Natural Patterns and Processes

Kashan Fin garden in Iran (Incorporates water Sagrada Família in Barcelona (This building mimics some
as a positive experiential and eco-element to Hotel Tassel in Belgium (Tendrils twisting and organic features)
create evaporative cooling effects) growing is a metaphorical representation of
nature)

The Museé du Quai Branly in Paris Milwaukee Art Museum in the USA (This is an
(Integrating vegetation as a green wall into iconic building which is dramatically designed Lavirotte Building in Paris (The facade is decorated with a
the building facade) as a wing-like structure) woman’s head and vegetal designs, and the door is
decorated with wrought iron lizards)
Light and Space Place-Based Relationships Evolved Human-Nature Relationships

Napo Wildlife Centre in Ecuador (By hiking Fallingwater in Pennsylvania (The harmony of architectural
Shanghai Natural History Museum in China design with nature is in accordance with what humans show
(An outdoor exhibit garden, welcomes through the rain forest in search of wildlife and
medicinal plants, you can enjoy forest lodges a desire for)
visitors with an abundance of natural light)
along the way)
A. B. Daemei et al.

(continued)
Table 2 (continued)
Environmental Features Natural Shapes and Forms Natural Patterns and Processes

Shazdeh Garden in Iran (The presence of the

Ortega Mora House in Colombia (The Lapa Rios Eco Resort in Costa Rica (In this incredible
water path along with trees throughout the entire
combination of indoor and outdoor spaces setting, guests can look forward to rainforest adventures,
perspective has increased the dynamism and
with natural light and vegetation seems to wildlife encounters and ocean activities)
vitality of the space)
increase the comfort of the residents)
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas …
55
Table 3 Case studies which illustrate the six biophilic design elements in urban design
56

Urban Water Management Urban Natural Shapes and Forms Street Natural Perspectives

Flood management, design and construction of Meymand Troglodyte Village in the Central District of Iran
is an example of the use of natural shapes and forms in In Detroit, Michigan, street perspectives
concrete water channels and integrating water
accordance with the environment and climate (Moradinasab were improved by adding natural
bodies and canals with parks and green spaces in
& Khaksar, 2021) elements such as trees, by sharing tree
The Singapore Green Plan 2012 (Newman, 2014)
species selection and maintenance
responsibilities with the residents of
each neighborhood (Carmichael &
McDonough, 2018)

Integrated Urban Water Management in

Jamshedpur, Jharkhand india by improving Kandavan village is located in the mountainous region of Tree density in the Eastern Cape, South
efficiency and developing the piped water coverage, northwestern Iran. The houses in this village are similar to Africa shows more affluent suburbs in
thus decreasing the load on groundwater sources the ancient stone caves inside the mountain, which greatly these towns had larger mean street tree
and The water sources were augmented by utilising reduces heat loss in the very cold winter (Khodaverdizadeh densities. Paying attention to the
the surface runoff (Indiawaterpartnership, 2022) et al., 2008) importance of the street perspective in
the city based on urban ecosystem
services can be an important step for
human health and well-being such as
“climate regulation”, “air quality
regulation” and “aesthetic and cultural
services” (Salmond et al., 2016)
A. B. Daemei et al.

(continued)
Table 3 (continued)
Urban Water Management Urban Natural Shapes and Forms Street Natural Perspectives
Green urban neighborhood connectors Horticulture Parks, gardening as a lifestyle hub Marginal Gardens or parks

The creation of the natural infrastructure (NI)

network in the master plan of Cairo, Egypt naturally Woodland Park Rose Garden in Seattle is a large-scale park Marginal da Areia Preta Park in Macao
creates a connection along the Nile River, where that provides opportunities to interact with nature for people It is located in a narrow coastal strip,
three large islands are connected to each other and in the urban space (WoodlandParkRoseGarden, 2022) which, in addition to increasing the level
different urban communities are formed (Mahmoud of vegetation in the city, provides a
& Selman, 2011) suitable space for people’s social
interaction and walking and cycling
([Link], 2022)

The green network of Maadi and Wadi Degla Montreal’s Botanical Garden has great potential as a site for
preserve area in district south of Cairo, Egypt is a studying the complexity and versatility of human relations Danny Woo Community Garden is a
green lattice and ecological passage designed to with non-humans in urban areas and it can make different good example of the participation of park
conjoin the innate preserved area with the urban
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas …

kinds of ecological learning for children (Neves, 2009) gardeners in the regeneration of unused
district. with this approach Maadi urban district has
marginal green spaces. Gardeners
a green network and is connected with the River
working in this park contribute to its
Nile with different ecological and inherent elements
maintenance by contributing to the
(Mahmoud & Selman, 2011)
income earned from it (Hou et al., 2009)
57
58 A. B. Daemei et al.

maximum air temperature is 20.6 °C, and the average annual minimum tempera-
ture is 11.3 °C. The maximum and the minimum annual temperature difference was
reported to be 9.3 °C. The average relative humidity in Rasht (recorded from 2004 to
2014) is approximately 80.9%. Wind speed decreases in the summer, and increases
again in autumn. The average annual wind speed in Rasht is 1.7 m/s.

5.1 Study Area: Shahrdari (Municipality) Square

Several studies have examined issues related to UHI in the humid climate of Rasht,
where temperature differences of 5–6.4 °C between the central part of the city and the
surrounding areas during the cold season, and 3–5.6 °C in the warm season (Karimi
Zarchi & Shahhoseini, 2019) were recorded. In a study reported by Ramezani and
Dokhat Mohamma (2010), they assessed UHI in Rasht through field measurement
by implementing nine environmental sensors to identify the possible effects of UHI.
The results showed that temperature differences of 5 to 6.4 °C occurred at Sabzeh-
Meydan Square and Shahrdari stations. Besides, Oji et al. (2021) presented the
change process of green space in Rasht city from 1964 to 2013. The results revealed
that the total green space has decreased from 7,255 hectares to 5,990 hectares (17%),
and dense green space has decreased from 2,855 hectares to 788 hectares (72%).
Also, the majority of these reductions can be observed in the central area of Rasht
(see Fig. 6).

Fig. 6 The trend of changes in total green space in Rasht city (Oji et al., 2021); developed by the
authors

Fig. 7 From left to right, study area 3D and top views, current picture, and the distance to Sardar
Jangal Rasht International Airport (SJRIA), as a comparison of the rural area
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas … 59

Based on the aforementioned studies, Shahrdari (Municipality) Square was

selected as the study area by the research team. The Cultural Walkway in Rasht
is located near Shahrdari Square and the traditional Bazar of Rasht (with an area of
over 26 thousand square meters). It is paved so that vehicles are not permitted to
enter it. The Shahrdari complex includes the Municipal Palace, Post Museum, and
the historical building of Iran Hotel. Generally, the buildings around this complex
are used for retail purposes (Fig. 7).

5.2 Outline of the Simulation Analysis

According to the design of the Shahrdari Sq., it can be stated that during the warm
months of the year, almost no protective measures have been considered for this
area, which is equipped with a number of immovable urban furniture. A vast area
of this space features limited vegetation covers and plants with no shadow protec-
tion. In addition, limited vegetation covers were implemented. However, it must be
noted that these plant and tree species are not capable of protecting citizens. Thus,
they can be considered as almost negligible in terms of creating shade. For the next
step, the simulation was done in using the Rhino software and the Grasshopper and
Ladybug plug-ins. Heat islands, referred to as Urban Weather Generators (UWGs),
were calculated using Dragonfly. Dragonfly enables users to create district-scale
models for urban heat island modeling using the Urban Weather Generator (UWG).
This simulation is carried out based on the definition of UHI, the temperature differ-
ence of an urban area (in this case, Shahrdari Square) compared to the suburbs or
rural areas (in this case, SJRIA); whose EPW (EnergyPlus Weather) data file is the
criterion for climate calculations.
The distance from the study area to SJRIA is approximately 8 km. Regarding
the simulation parameters, concrete, as the pavement material, is composed of ordi-
nary Portland cement, fine aggregate from crushed limestone, and light-colored slag
cement in a way that the albedo, thickness, and Conductivity are 0.64, 0.15, and
0.9 cm, respectively (FHA, 2021; Sanjuán et al., 2021). Due to the commute of
motorcycles and bicycles in the study area, and the limited number of daily car
traffic, the number of traffic watts per area was considered 1 (Sailor, 2011). Besides,
the volume heat capacity reported in this work was 1.8e8 j/m3 -k (Tarasov et al.,
2010). Based on the calculation of the vegetation cover area (trees and grass) from
the existing map, tree cover and grass cover values of 0.2 and 0.3 have been applied,
respectively. Figure 8 presents the simulation parameters and input data that can be
defined through components composing the interface of the tool. The results of the
simulation are provided below (Figs. 9 and 10).
According to Fig. 10a, the blue color shows the dry bulb temperature in the
measurement conditions of the meteorological station of SJRIA, which is located in
a rural area with a lower density than the main study area. In this figure, the red color
illustrates the dry bulb temperature according to the effect of the factors affecting the
UHI, such as the buildings in the urban environment (number, density, height, ratio of
60 A. B. Daemei et al.

Fig. 8 The interface of the tool on the Grasshopper canvas

Fig. 9 Monthly temperature differences within the study areas

Fig. 10 Dry bulb temperature differences: a study area, and b SJRIA

opening to façade—window to wall ratio, floor height and function), pavement (type
of material, albedo, conductivity, thickness, volume heat capacity), the amount of
tree cover, the amount of grass cover, and the amount of traffic have been looked into.
This graph depicts that, on a monthly average, the dry bulb temperature is 2–4 °C
higher than the temperature measured simultaneously in the study area. In this regard,
the blue color in diagram b presents the dry bulb temperature under the measurement
conditions of the meteorological station of SJRIA, which is significantly different
3 Biophilic Design: Pinpointing Nature-Based Techniques in Urban Areas … 61

from the red line, i.e., the dry bulb temperature under the measurement conditions
of the study area. During the hot months of the year, this difference reaches 4–5 °C.
Figure 10b indicates that the dry bulb temperature in SJRIA, and the accumulation
of heat intensity during the hot seasons of the year is between 9 and 19 °C. In contrast,
diagram b depicts the dry bulb temperature in urban conditions. Regarding the effects
of the mentioned indicators, the amount of heat accumulation has continued during
more hours of the day.

6 Discussion and Conclusion

The risks of future disasters caused by excessive construction, the indiscriminate use
of inefficient and non-renewable materials, and overusing energy in the construction
sector indicate severe and hazardous consequences for human societies; irreparable
dangers that will not only lead to the destruction of the Earth, but also increase the
risk of creature extinction. This 4-phase study investigates and attempts to identify
strategies, exemplars, and tools to combat global warming through implementing
a biophilic design concept. First of all, several studies have been examined as the
literature review to highlight the importance of the research topic and its key elements.
In the following, to provide a concrete theoretical framework, current theories and
strategies are provided, in which successful exemplars of biophilic design worldwide
have been discussed as case studies; of which six biophilic design elements including
environmental features, natural shapes and forms, natural patterns and processes,
light and space, place-based relationships, and evolved human-nature relationships
can be employed in urban design to ensure having a healthy population.
A review of the biophilic design was carried out before the assessment of UHI in
the case study. The new design paradigm is hereby referred to as “restorative envi-
ronmental design,” which emphasizes both adapting and mitigating adverse environ-
mental effects, as well as fostering a beneficial contact between people and nature in
modern buildings and landscapes by means of practicing a positive environmental
impact or biophilic design approach. Thus, one of the abovementioned elements
is vegetation and plants. At its final phase, this research focused on VGS thermal
performance as the proposed technique to mitigate UHI in the urban area of Rasht
with its humid climate. To conduct this phase, Shahrdari (Municipality) Square is
selected as the case study in an urban scale, and to compare the existence of plants
with SJRIA, which is located in a rural area.
By comparing results regarding the age and differentials of vegetation in Shahrdari
Sq., a model to assess the dry bulb temperature was developed. The findings demon-
strated that UHI heavily relies on the coverage of trees, grass, traffic, pavement,
material, and the urban environment, and fluctuates averagely between 2–4 and 4–
5 °C during hot months. However, the studies carried out on coupling among different
UHI parameters are inadequate. Consequently, findings revealed that vegetation was
able to lower the average monthly temperature by about 2 °C, and that this amount
could vary between 9 and 19 °C annually.
62 A. B. Daemei et al.

In addition, by examining the findings, there seems to be a significant temperature

difference between the numbers recorded in the study areas, which is due to the
presence of UHI in these areas. In the simulation, the traffic category has been
considered due to the prohibition of vehicles entering this area, and the presence
of a minimal density of motorcycles with a slight difference compared to the car-
free zone. It seems that if driving vehicles freely was permitted in this area like
other areas, the aforementioned recorded heat temperatures would be much higher.
Therefore, increasing tree and grass cover, which is one of the urban design items
based on the biophilic approach, helps reduce the temperature difference between
the two mentioned areas, and makes the environmental conditions more comfortable
for citizens. Given the value and significance of this approach, appropriate access
of vegetation to water resources (according to the global water crisis), and their
endurance during climate change is another critical issue that may be the background
of future studies.

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Chapter 4
Warming Cities in Pakistan: Evaluating
Spatial–Temporal Dynamics of Urban
Thermal Field Variance Index Under
Rapid Urbanization

Mirza Waleed and Muhammad Sajjad

Abstract With ~57% of the world population living in cities, the global urban
population is increasing at an alarming rate, which further stimulates the urbaniza-
tion process. Consequently, the increasing impervious surfaces in cities and asso-
ciated variabilities in local/regional climatic characteristics pose several challenges
to citizens (i.e., heat-related health issues, higher energy demands, and flooding
among many others). Currently, cities contribute 75% of Green House Gases emis-
sions, which is further worsening climate change impacts through global warming.
Pakistan, the 6th most populated country globally, with ~220 million people, is
among the top 10 most-affected nations vulnerable to climate change. Hence, studies
addressing climate variability in local geographical regions have important implica-
tions to address the adverse urbanization-associated challenges, such as sustainability
of the land resource and mitigating urban heat island (UHI) impacts in the context of
climate change mitigation/adaptation. Due to temperature differences between urban,
suburban, and rural areas, mapping city zones prone to the UHI effect is essential to
provide actionable references. In connection with this, the present study analyses 15
megacities in Pakistan regarding their temperature variability in response to built-up
area increment and highlights heat stress zones using the Urban Thermal Field Vari-
ance Index (UTFVI). The cloud-computing-based Google Earth Engine platform is
employed to explore spatial–temporal variation in Land Surface Temperature (LST),
which further leads to the identification of top-15 cities in terms of LST increase
and the further evaluation of UTFVI for each city. The findings of this study suggest
that the strongest UTFVI zones are concentrated around city-core areas, which are
pure impervious surfaces with little or no green space. Moreover, in the last three
decades (1990–2020), most of the weak and strong-strength UTFVI areas have been
converted into the strongest strength primarily because of a rapid increase in the

M. Waleed · M. Sajjad (B)

Department of Geography, Hong Kong Baptist University, Kowloon Tong, Hong Kong SAR
e-mail: [Link]@[Link]
M. Sajjad
Centre for Geo-Computation Studies, Hong Kong Baptist
University, Kowloon Tong, Hong Kong SAR

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 67
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
68 M. Waleed and M. Sajjad

built-up areas. The findings of this study can help urban policymakers to identify
priority intervention areas and design/implement strategies to counter the UTFVI
and associated challenges. With proper land-use planning and on-time policy imple-
mentation, people residing in higher UTFVI zone areas can be safeguarded from
noxious heatstroke-like health consequences along with mitigating and adapting to
changing environmental conditions in cities.

Keywords Urbanization · Climate change · Urban heat island · Spatial analysis ·

LULC · LST

1 Introduction

In the last few decades, changing climatic conditions have predominantly affected
the living conditions of human beings. Recent studies suggest that those living in
metropolitan cities are more prone to the adversities brought by climate change
and associated extreme events, such as heat waves and intensifying natural hazards
(IPCC, 2021). The changes in land use land cover (LULC) have a direct linkage
with changes in climatic conditions of an area, particularly in cities (Faisal et al.,
2021). The global population in 2050 is expected to increase by 68% (Nations, 2019).
Cities are responsible for three-half (75%) of the world Green House Gases (GHSs)
emissions (Masson-Delmotte et al., 2021). According to the IPCC (2021) report,
the surface temperature of the earth has increased by ~1.09 °C since 1861, which is
primarily due to the increase in impervious surfaces in cities and the reduction of
green cover.
Recently, urban sprawl has resulted in several challenges for cities around the
world (Alqasemi et al., 2021). According to the European Environmental Agency
(EEA), urban sprawl is the low-density conversion of other land-use types, espe-
cially nearby vegetative and barren land into urban/built-up (Kafy et al., 2022a).
This expansion is a primary consequence of a rapid increase in the population of
that particular area due to growth and influx. As a result, cities witness an increase
in resource demand (Faisal et al., 2021). Similarly, being a major factor behind the
land cover change (Corner et al., 2014), urbanization induces changes in ecology,
biodiversity, landscape, and natural habitats as well. The rapid alteration of LULC,
especially in developing countries, causes the degradation of essential resources such
as water, soil, and vegetation—compromising long-term sustainability (Hassan et al.,
2016). Similarly, LULC-induced reduction in green spaces in cities is likely to facil-
itate the urban heat island effect, which has several consequences in terms of health
challenges and higher energy consumption among many other issues (Kafy et al.,
2022b). Therefore, supervising LULC alterations is fundamental to proper plan-
ning, management, and achieving sustainable development goals through informed
decision-making and science-backed policy development (Hua et al., 2021).
Urbanization-led decrease in vegetation and increase in impervious surface results
in larger heat retention, and consequently, the urban heat island (UHI) effect takes
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal Dynamics … 69

place. UHI is a phenomenon when the observed surface temperature of core urban
regions is higher than the surrounding sub-urban/rural areas (Alqasemi et al., 2021).
Though there is no prominent boundary differentiating urban from nearby rural areas,
a temperature difference is observed and well-documented around the world (Rahman
et al., 2022). Impervious surfaces including roads, tall buildings, and non-vegetative
regions (e.g., sandy or barren) within cities are primarily responsible for the UHI
effect. The primary contributors to urban warming are a rise in short-wave radia-
tion captivation, heat storage, human-induced heat generation, and reduced evapo-
ration rate (Rajasekar & Weng, 2009). Earth observation data (EOD) is proven to
be useful in understanding the urbanization process and associated environmental
effects. The use of EOD to evaluate UHI and its effects on spatial distribution, urban
vulnerabilities, and health-related risks are widely published globally (Kafy et al.,
2022b; Kaplan et al., 2018; Zhou et al., 2018). To evaluate the influence of UHI, the
urban thermal field variance index (UTFVI) is usually employed (Tomlinson et al.,
2011). Hence, exploring spatial–temporal heterogeneities in UTFVI could provide
progressive opportunities to advance our understanding of UHI effects in cities.
The urbanization rate in Pakistan is the highest among all south Asian coun-
tries with ~ 37% of people living in cities (UNDP, 2022) In the last five decades,
Pakistan has faced rapid urbanization in its metropolitan cities (Waleed & Sajjad,
2022). Punjab, the largest province in Pakistan with respect to population and agri-
cultural productivity, has undergone some noticeable changes in its urban areas.
While many researchers (e.g., Dilawar et al., 2021; Hussain et al., 2021; Safder,
2019; Saleem et al., 2020; Tariq et al., 2021; Waleed & Sajjad, 2022) have studied
urban LULC patterns in Pakistan, there is still a lack of a systematic investigation of
urban regions in terms of LST change and the spatial–temporal evaluation of UTFVI.
Furthermore, while such assessments are rare to find in Pakistan, those that are avail-
able mostly focus exclusively on the top metropolitan cities (i.e., Lahore, Karachi,
and Faisalabad) despite their smaller city area and already highly urbanized nature
(Baqa et al., 2021; Imran et al., 2021; Tariq et al., 2021). As a result, the current
research focuses on highly populated cities in Punjab and neglects other regions
which might have experienced comparable urbanization and associated changes in
terms of urban thermal characteristics. This situation represents a significant infor-
mation gap for other rapidly urbanizing regions and thus hinders informed planning
and policy production. In connection with this, the present study evaluates the LST
in Punjab province and selects the top 15 cities based on LST change during the
past three decades (1990–2020). Based on LST, this study further investigates the
spatial–temporal dynamics of UTFVI in these cities. Furthermore, the built-up area
increase in these 15 cities is evaluated to discuss urbanization trends along with the
increase in the intensity of UTFVI. To do so, the Google Earth Engine (GEE) plat-
form and spatial modelling techniques in ArcGIS Pro. are employed. The results from
this study will provide important insights into UTFVI and built-up area dynamics in
Pakistan’s cities along with providing references for decision-making and designing
appropriate action plans in the context of climate change mitigation/adaptation.
70 M. Waleed and M. Sajjad

2 Data Acquisition and Preparation

The overall work is conducted in various steps, such as data acquisition, built-up area
classification, change assessment, LST computation and evaluation, and mapping
UTFVI for spatial–temporal inconsistencies evaluation. The data preparation stage
starts with filtering the Landsat-5 Thematic Mapper (TM) tier-1 Surface Reflectance
(SR), Landsat-8 Operational Land Imager (OLI), and the Thermal Infrared Sensor
(TIRS) tier-1 SR data from the GEE data catalogue in the form of image collection.
The overall analysis is divided into four periods (i.e., years 1990, 2000, 2010, and
2020) as the LULC change is a slow process. For the years 1990, 2000, and 2010,
we use data from the Landsat-5 TM tier-1 collection. For the year 2020, Landsat-8
OLI tier-1 SR data are used. It is noted that we avoid using Landsat-7 data despite
its availability for 2000 and 2010 due to scan-line errors since 2007 (Alexandridis
et al., 2013). These satellite images for each year are then used to determine urban
areas for each period. For this purpose, the machine learning-based random forest
(RF) algorithm is utilized due to its robustness and improved LULC classification
accuracy compared with other approaches (Waleed & Sajjad, 2022). The obtained
classification of built-up area is validated using accuracy assessment indices, such
as the Kappa coefficient and Overall Accuracy (Waleed et al., 2022).

3 LST Retrieval Through Earth Observations

As the next step, the Landsat data are used to compute Land Surface Temperature
(LST). For this purpose, LST is taken from summer month’s satellite images indi-
vidually for each year. For LST estimation, the Landsat TM and ETM + (Band 6)
and Landsat OLI/TIRS (Band 10) thermal bands are used. Landsat 8 (OLI/TIRS)
imagery has two thermal bands (10 and 11), but only band 10 is used for the LST
estimation because of its more accurate results (Zhou et al., 2018). Equations (3–5)
are used to convert digital numbers (DN) into LST as previously used in many studies
(Tariq et al., 2021; Waleed & Sajjad, 2022). Firstly, the DN values of each pixel are
converted into radiance values (L λ ) using the following equation.
 
L maxλ − L minλ
Lλ = + L minλ (1)
QC AL max − L QC AL min

where L maxλ is the highest radiance value, L minλ is the lowest radiance value,
QC AL max is the highest quantized adjusted pixel value (consistent to L maxλ in
DN (255)), and QC AL min is the lowest quantized adjusted pixel value (consistent
to L min in DN (01)).
All the values used in the above equation are taken from the metadata files that
come along with the Landsat images. The radiance values are then converted to
surface brightness temperature given as:
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal Dynamics … 71
⎛ ⎞
K2
TB = ⎝   ⎠ − 273.15 (2)
ln KL λ1 + 1

in which, K 1 and K 2 are the constants, and for reference, their values are available
on the United States Geological Survey (USGS) website ([Link]
After estimating the at-surface brightness temperature TB , we compute the pixel-
based land surface emissivity (E). In order to calculate the value of emissivity, we
use the pre-defined calibrated values for different Landsat missions along with a
particular region’s Normalized Difference Vegetation Index (NDVI) as used in recent
research (Imran et al., 2021). The LST is computed using Eq. 3, in which TB is applied
with an emissivity correction (E).

TB
TS = (3)
λTB
1+ p
lnε

where TS is the per-pixel LST value, λ is the wavelength of emitted radiance (value
= 11.5 μm), and p is equal to 1.438 × 10−2mk .
The above procedure is followed to evaluate LST in Punjab province in Pakistan.
The derived LST is then used to evaluate the spatial–temporal patterns and trends,
if any, in several cities in the study area over the last three decades (1990–2020).
In addition, LST is further used to assess UTFVI, which is utilized to map heat
stress-affected areas in the top 15 cities in terms of LST change during 1990–2020.
It is noted that for simplification, we used a 10-km buffer zone around the central
business districts of the cities and quantified changes in the LST, which is then used
to select the top 15 cities for further evaluation.

4 UTFVI Estimation and Its Spatial–temporal

Heterogeneities

Previously, many researchers have used different techniques to calculate the intensity
of UHI specifically in urban and near urban areas (Kaplan et al., 2018; Rahman et al.,
2022; Tomlinson et al., 2011). Remote Sensing (RS) techniques have been proven to
analyze data in a continuous and cost-effective manner. Using RS techniques, UHI
can continuously be monitored with the help of infrared satellite data. Instead of just
point readings, the RS-based UHI could show the intensity of heat stress over large
geographical areas. According to the literature (i.e., Zhou et al., 2018), the UHI is
directly linked to different LULC classes and also to the geographical distribution
of vegetation cover. By using RS techniques, the UHI is calculated independently in
urban and rural areas following Faisal et al. (2021).
A normalization method is adopted to compare UHI due to observed variations
in LST of different seasons within a year. This is given in Eq. 4.
72 M. Waleed and M. Sajjad

Ts − Tm
UHIN = (4)
TStd

where U H I N is the normalized UHI, Ts is the LST, Tm is the mean LST of the study
area, and Tstd is the standard deviation in the LST of the study area.
After computing the UHI, we use the UTFVI to describe its effect. The UTFVI
is a quantitative measure to explain UHI in terms of thermal comfort level in a city
and is among the most widely used thermal comfort indices (Guha et al., 2017). The
index value is quantitatively calculated using the formula given below.

Ts − Tm
UT FV I = (5)
Ts

where the variables are similar to Eq. 4.

The UTFVI is computed for every city for each time period (1990, 2000, 2010,
and 2020), and maps are produced to provide spatial references on geographical
disparities. This approach is particularly helpful in understanding the distribution of
urban thermal comfort across space and time, allowing relevant authorities to take
appropriate measures via informed decision-making.

5 Changes in LST, UTFVI, and Built-Up Areas

Figure 1 shows temperature change (LST change) in the top 15 cities of Punjab during
1990–2020. Among 58 cities of Punjab, 15 showed up to 7 °C of temperature change.
Among these, Kasur, Chiniot, Sheikhupura, Sahiwal, and Lahore are the ones with
surface temperature change greater than 4 °C. Besides, Rawalpindi and Rahim Yar
Khan are the ones that experienced the least temperature change (i.e., < 1 °C change).
This temperature change (based on LST) provided a base for highlighting cities that
underwent noticeable temperature changes in the last thirty years and are investigated
further to analyze UTFVI and built-up area variations during 1990–2020.
Once the cities are ranked according to the estimated LST change during the past
three decades, the top 15 cities with the largest temperature change are shortlisted to
further study the abrupt temperature rise by computing the UTFVI for each city and
its dynamics in space and time. For each city, the evaluated UTFVI and its spatial
distribution under different periods (1990, 2000, 2010, and 2020) are presented in
Fig. 2. To further facilitate the analysis, the cities are grouped based on three regions,
including (A) the Central region, (B) the North region, and (C) the South region
(Fig. 2). Interestingly, it is observed that most of the cities experiencing increment
in LST belong to the central regions of Punjab province in Pakistan, with two cities
each from the north and south regions. The location of many large cities in the central
areas of Punjab province could be the potential reason behind the rapid urbanization-
led change in the LST of these cities. For UTFVI, 11 cities belong to the Central
region while 2 to each North and South region.
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal Dynamics … 73

Fig. 1 Ranking of cities of Punjab based on highest temperature change (LST Change in °C)

Fig. 2 UTFVI for 15 selected cities based on the change in LST during 1990–2020. The results
are visualized using one standard deviation representing how much the value of each 30 m pixel
varies from the mean across the overall city
74 M. Waleed and M. Sajjad

Nearly in all cities, two prominent trends are observed. Some cities, such as
Sahiwal, show the strongest UTFVI located in the city core, with UTFVI strength
increasing during the past three decades (1990–2020). On the other hand, some
cities, such as Hafizabad, show dispersed strongest UTFVI in the surroundings of
the city’s core area. These dispersed strongest UTFVI areas then experienced a shift
toward the city’s centre with each passing time period. Besides the strongest UTFVI,
weak and strong UTFVI areas are also visible in surrounding regions, and their
concentration is reduced by each decade. For example, in Rawalpindi and Sargodha,
weak and strong UTFVI areas were prominent in the 1990–2010 duration around
the city’s centre. Whereas, in the last decade (2010–2020), these weak and strong
UTFVI zones are converted into the strongest UTFVI zones. Additionally, it is worth
mentioning that although many cities have shown a significant increasing trend of
the strongest concentration of UTFVI, there are some cities, such as Lahore, with
a minimal increasing trend over the years in the strongest UTFVI. This may be
attributed to the fact that metropolitan cities, such as Lahore, are already densely
populated and well-urbanized, leaving far lesser space for any new development. In
Fig. 2, among the Central region cities, Gujranwala, Faisalabad, Sahiwal, Lahore, and
Chiniot showed the highest UTFVI, among which Kasur stands first. For the North
and South regions, Sargodha and Bahawalpur are the highest UTFVI concentrated
regions, respectively.
To further check the association of the core strongest UTFVI areas of cities with
urban development, we evaluated LULC classification for each city, and the results
on the sprawl of built-up areas are presented in Fig. 3. In general, Lahore city,
which is among the largest cities in Pakistan and accommodates a huge proportion
of Pakistan’s population, has the highest urban area whereas Bahawalpur has the
least urban area. In terms of area change per year, Lahore showed the minimum
urban expansion than others between 1990–2020. Also, in Lahore, most of the urban
development occurred in the city’s core areas, thus, increasing the city’s density
instead of expanding outwards. This may be due to the fact that the city is already
urbanized and can only increase its density in future, which gives minimal space for
further expansion unless it is merged with the surrounding smaller cities, such as
Sheikhupura and Kasur, or vertical development takes place for future development
instead of current horizontal sprawl. Furthermore, an increase in urban development
patterns is observed in nearly all the cities (i.e., Faisalabad, Gujranwala, and Kamoke
doubled their urban expansion between 1990–2020). It is also evident that nearly all
the cities followed a gradual urban expansion process. For instance, Gujranwala
followed a city-centric point, in which the urban area expanded with each passing
decade in the surrounding core area. Among all the cities, Okara did not show much
urban development. On the other hand, among several regional groups of Punjab,
Gujranwala in the Central region (Fig. 3a), Rawalpindi in the North region (Fig. 3b),
and Rahim Yar Khan in the South region (Fig. 3c) show the highest urbanization
during the past three decades (1990–2020).
The statistical evaluation of area changes for each decade and each city’s urban
area is given in Fig. 4 with percent change (1990–2020) illustrated in Fig. 4a
and actual areal change for each city for different time intervals (1990, 2000,
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal Dynamics … 75

Fig. 3 Urban sprawl for cities between 1990–2020 as estimated using the Landsat Satellite-based
earth observation data in Google Earth Engine

2010, and 2020) in Fig. 4b. Notably, area statistics support previous deductions
from Fig. 3 that Gujranwala showed the highest urbanization with a 600% change
(increase) between 1990–2020. Following Gujranwala, Chiniot, Sargodha, Sahiwal,
and Kamoke showed similar urban development trends with percent changes of
405%, 403%, and 333% increase, respectively. Lahore, on the other hand, showed
a minor urban increase, with only a change of 47% between 1990–2020. From the
perspective of overall percent change, Gujranwala, Chiniot, Sargodha, Sahiwal, and
Kamoke are the top five cities in Punjab that show more than 300% change in the
last thirty years.

6 Discussions and Implications

While land-use change monitoring is crucial for environmental sustainability, espe-

cially addressing development in core urban areas, it is equally important to analyze
comfort level by evaluating the thermal conditions within that region. Cities, which
76 M. Waleed and M. Sajjad

Fig. 4 Urbanization phenomena in top 15 cities. (a) percent change in urban built-up areas (b)
actual areal change per decade under the urbanization process during 1990–2020

are the hotspots of global warming, are the most affected regions because of climate
change effects. Despite their less than 2% of the earth’s surface coverage, they are
responsible for more than 70% of GHGs emissions, which is the most significant
climate change driver (UN, 2019). Given this situation, the increase in impervious
surface, as observed in this study at the cost of natural terrain, reduced the capabilities
of cities in terms of carbon sink. As per the available reports, during 1990–2019, the
GHGs-based warming induced by anthropogenic activities increased to 45% (IPCC,
2021). Besides GHGs, due to changing landscapes in cities (i.e., the replacement of
natural landscapes with the concentration of impermeable pavements, buildings, and
other surfaces that influence air and water flows), cities are getting warmer (Dilawar
et al., 2021). A similar warming phenomenon is evident in the evaluated cities in
Pakistan. This heat that is trapped (also known as the urban heat island effect) results
in increased severity of daily weather (i.e., high daytime temperature, low night-
time temperature, and high pollution levels), ultimately affecting residents’ health,
including heat-related mortality and illnesses, such as general discomfort, respiratory
difficulties, heat cramps, heat exhaustion, and non-fatal heat stroke (Tomlinson et al.,
2011). Hence, managing rising heat in cities with appropriate measures is imperative
for healthy and liveable cities, and evaluations, such as this study, provide important
insights to direct efforts in the right direction. For instance, the identified top 15 cities
(Fig. 1) in terms of LST change during the past three decades should be prioritized
for adaptation actions.
As the UHI effect is dependent on land-use surface type, vegetation cover is
proved to be effective in UHI mitigation (Kafy et al., 2022b). Therefore, evaluations
addressing continuous land-use change and urban comfort analysis are important
for improved policy production and smart decision-making to keep a check on the
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal Dynamics … 77

green cover in cities. Ultimately, such efforts ensure higher comfortability in urban
areas for the residents. The UHI-based UTFVI disparities in all the studied cities
pinpoint zones where the green cover should be prioritized. Although urbanization
is directly associated with economic progress and innovation, unsustainable and
unplanned growth can cause serious complications for residents. This situation can
be worsened with the addition of climatic change-induced uncertainties, which may
have long-term effects on human livability.
The United Nations projections show that global urban land will increase by 1.2
million km2 by 2030 (Vinayak et al., 2021). It is obvious that the urbanization rate of
developing countries is much higher than that of developed countries. Hence, the ill-
informed urban sprawl resulting in urbanization-induced spatial–temporal changes
in their landscapes coupled with unsustainable utilization of land resources put cities
at higher risks of looming uncertainties under environmental and climatic changes.
Hence, while science-baked development plans should be adopted for the future
expansion of cities, other smaller urban areas should not be overshadowed due to the
focus of the planners and governments on major cities. Similarly, while the surveil-
lance of smaller urban regions should also be on the agenda of urban planning in
Pakistan, the densification of metropolitan cities (i.e., Lahore and Faisalabad) should
be monitored and approved under strict policies considering the effects of climate
change. For instance, It is also clear from Lahore’s percent change (47%) that the
city has had minimal urban expansion since 1990, despite being the second largest
city in Pakistan after Karachi, as it is already a developed city, and therefore can only
increase its core city density as depicted in Fig. 3a. Under this condition, managing
green cover in Lahore in the face of future development should be a matter of utmost
concern for the relevant authorities. Pakistan being a developing country has faced
disastrous climate change consequences over the previous decades. According to the
Global Climate Risk Index (2021), Pakistan is among the 10 most affected coun-
tries due to global warming. Hence, informed planning and development processes
assuring sustainable urbanization (i.e., without compromising the green cover in
cities to tackle UHI) are imparative to reduce the impacts of climate change.
The findings of this study ranked 15 cities in Punjab based on LST changes
between 1990–2020, in which Kasur, Chiniot, Sheikhupura, Sahiwal, and Lahore
are the top five with LST change (i.e., > 4 °C change; Fig. 1). Based on this
ranking, UTFVI (Fig. 2) shows increasing trends for all cities with either the strongest
UTFVI hotspots localized around the city’s centre or dispersed in the surrounding.
Either way, UTFVI concentration shows a gradual increment consistent with LST
changes (Fig. 1). This increased UTFVI localization can be attributed to landscape
changes, including the concentration of impervious surfaces and loss of green cover,
as witnessed and documented by recent studies as well (Waleed & Sajjad, 2022).
In Pakistan, it is evident from previous studies (Dilawar et al., 2021; Waleed &
Sajjad, 2022) that higher resource demand and unsustainable policy management
have resulted in negative consequences for the natural landscape. According to
Waleed and Sajjad (2022), in the last 30 years in Punjab, the natural landscape
has been aggressively used to meet demand resulting in a 250% increase in built-up
78 M. Waleed and M. Sajjad

land, a 10% increase in agricultural land, a 36% reduction in rangeland (vegetative

land), and 30% reduction in water bodies (wetlands).
One of the key effects of rising urban heat in the aforementioned cities will be
on the energy sector. As per recent studies and governmental reports (Raza et al.,
2022), Pakistan has been facing an energy crisis for the last two decades, where the
country’s demand exceeds 30% of its current production. Thus, the temperature-
energy relationship continues to increase, which poses further complications and
needs to be addressed through proper investigations. First, the need for air condi-
tioning in summer will put a further burden on the energy sector as well as contribute
to additional emissions of hydrofluorocarbons responsible for trapping heat. Second,
due to the lack of green energy sources, the energy consumption burden will continue
to grow, resulting in contributions toward global warming due to fossil fuel burning
(Sajjad, 2020). Hence, it is recommended to prioritize regions in cities for green-cover
promotion through different initiatives, such as the recent 10-billion Tree Tsunami
(Sabir et al., 2020). The identified cities with increasing LST should be consid-
ered under such initiatives to bring back the lost vegetation cover and preserve the
remaining through strict no-net-loss policies in future urban planning schemes. For
each city, such restoration should be prioritized in the strongest UTFVI zones.
In the context of urban heat mitigation and adaption, this study provides a refer-
ence for the top 15 cities in Punjab, Pakistan, for effective planning and design-based
policy implementation. In this regard, many existing policy frameworks provided
by leading world bodies should be adopted, wherever applicable. For example, the
recent report by the Global Alliance for Buildings and Construction (supported by
the United Nations Environment Programme) discusses key strategies for mitigating
urban heat in cities (Yenneti, 2017). Conclusively, urban greenery, green roofs, water-
based cooling technologies, cool roofs, and cool pavements are among the most
effective means to reduce urban heat stress. Future policy directions should focus
on documenting national benchmarks on heat mitigation measures, emphasize the
participation of local municipal governments in the implementation of UHI miti-
gation strategies, incentives for industry and the public, and encourage community
participation for handling localized UHI mitigation projects. Another report by the
Energy Sector Management Assistance Program (ESMAP) funded by the World
Bank divides urban mitigation solutions into two groups (Energy Sector Management
Assistance Program 2020). Firstly, the local authorities should focus on promoting
the utilization of reflective surfaces, including solar-reflective green roofs, green
walls, and permeable pavements. Secondly, the focus should be towards heat-resistant
planning through water infrastructures, urban design (green parks), and reducing
human-generated heat.
The findings of this study can act as place-based references to prioritize areas
for immediate or gradual actions to take measures for adaptation and mitigation via
public participation and enhanced community awareness regarding green spaces.
Through informed urban planning, such as initiatives of green roofs, utilization of
solar panels for green energy, the introduction of green parking lots, and implemen-
tation and sensitization of heat reduction policies, urban comfort can progressively
4 Warming Cities in Pakistan: Evaluating Spatial–Temporal Dynamics … 79

be enhanced in the face of warming cities in Pakistan. In terms of future prospects,

it is recommended to simulate future expected urban patterns using cutting-edge
approaches (i.e., machine learning) and provide insights into land use land cover
dynamics and its association with thermal characteristics in cities. Such important
information would further be useful to formulate action plans and guided strategies
to cope with the climate change-induced heat stress in cities.

7 Concluding Remarks

Evaluating spatial–temporal inconsistencies in the thermal characteristics of cities

provide useful references for urban planning and design in the face of climate change.
In this context, this study evaluates the urban thermal field variance index (UTFVI)—
also an indicator of urban comfort—in 15 cities in Pakistan, a south Asian country
with approximately 220 million people and is often ranked among the ten most
vulnerable nations to the impacts of climate change globally. These cities are short-
listed based on the changes in their LST during the past three decades (1990–2020).
The results show that most of the cities with increasing trends in LST are from the
central regions of Punjab province in Pakistan with two cities each from northern
and southern Punjab. While the spatial inconsistencies in the UTFVI in each city are
evident, there is a clear increase in the higher UTFVI coverage in all the cities during
1990–2020. Connectedly, there has been a significant increase in the built-up areas
of all the evaluated cities in response to the ongoing rapid urbanization in Pakistan
over the past three decades. Interestingly, it is found that the increase in LST, UTFVI,
and built-up area due to urbanization is much higher in mediocre cities rather than
in large urban agglomerations, such as Lahore and Faisalabad, which are the second
and third largest cities in Pakistan. This could be the potential consequence of higher
saturation in terms of built-up areas in larger cities, and now the smaller urban areas
in the vicinity are facing a larger increase in urbanization and its impacts on the
urban thermal characteristics (i.e., UTFVI). Given the impacts of rising heat in cities
on health, as well as energy consumption, there is an immediate need for adaptation
measures. For UHI mitigation, policies should emphasize reflective surfaces (green
roofs and green walls) in the strongest UTFVI zones. Besides, localized projects
should be introduced and handled by local municipal governments, which should
ensure public participation by providing them incentives in sustainable conservative
initiatives for combating urban heat stress. Since green cover directly influence UHI
concentration, policies should be established for a no-net-loss green cover particu-
larly in the strongest UTFVI areas and all the cities in Pakistan in general. Lastly,
though Pakistan is among the countries with a minimal proportion of global emis-
sions, heat stress can further be reduced by achieving net zero GHGs emission.
The results from this study, such as the areas with higher UTFVI values, can guide
pinpointing priority intervention areas for immediate and/or gradual actions to avoid
80 M. Waleed and M. Sajjad

the potential consequences due to the warming of these cities—resulting in enhanced

comfort in urban regions.

Acknowledgements No funds were exclusively available for this work. SAJJAD M. is supported
by a grant from the HKBU Research Grant Committee (Start-up Grant-Tier 1, 162764) of the
Hong Kong Baptist University, Hong Kong SAR. The research is conducted in the absence of any
commercial or financial relationships that could be construed as a potential conflict of interest.

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Chapter 5
Urban Heat Island (UHI) Implications
and a Holistic Management Framework

Hafiza Saba Islam, Talib Elahi Butt, Shaker Mahmood Mayo, Siddiqa Amin,
and Maria Ali

Abstract The Urban Heat Island (UHI) effect is one of the most debated phenomena
among the urban researchers and city planners. In addition to fast urbanization,
climate change actors are rendering major cites thermal hubs of the modern global
civilization. Climate models consistently predict that the frequency, severity, and
duration of extreme weather conditions which also include heat wave are on the
increase and would be significantly by the end of the twenty-first century. There-
fore, there is an emergent and urgent need to rethink the assessment and manage-
ment of the UHI phenomenon. This study aims to establish the existing knowledge
regarding UHI implications by categorically identifying and systematically grouping
the factors and sub-factors that contribute UHI phenomenon. The aforesaid aim is
based on the literature review, investigation of models, and the thematic analysis.
Some new insights are produced by categorizing UHI implications into two main
groups climate change and non-climate change related. This leads to a more compre-
hensive conceptualization of UHI at different tiers which is discussed and presented
schematically. Founding on this conceptualization a new, integrated and holistic
framework of the assessment and management of UHI is developed. The UHI frame-
work is also schematically delineated. This UHI framework can be used as a basis
for further research and development in the form of a ready-to-use/off-the-shelf tool
for urban planners, decision-makers, and other associated stakeholders. The frame-
work can also be communal platform of effective communication between diverse
stakeholders with varying background and interests.

H. S. Islam (B) · S. Amin · M. Ali

Department of City & Regional Planning, Lahore College for Women University, Lahore, Pakistan
e-mail: [Link]@[Link]
H. S. Islam · S. M. Mayo · M. Ali
Department of City & Regional Planning, University of Engineering & Technology Lahore,
Lahore, Pakistan
T. E. Butt
Faculty of Engineering & Environment, Northumbria University, City Campus, Newcastle Upon
Tyne NE1 8ST, UK
S. Amin
Universiti Technology Malaysia, Johor Bahru, Malaysia

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 83
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
84 H. S. Islam et al.

Keywords Urban Heat Island (UHI) · Heat Waves (HWs) · Climate change ·
Urbanization

1 Introduction

The term Urban heat island (UHI) is used behind the warm urban regions in compar-
ison to surround rural ones. Urban heat island (UHI) profile is raised if the surface
energy balance and surface temperature changes (Adinna et al., 2009; Synnefa et al.,
2008). The unplanned and haphazard urbanization is another factor contributing to
the change in the energy budget. Urbanization is causing more problems such as
environmental issues and the effects of climate change on both the built and natural
surroundings. The sixth assessment report of Intergovernmental Panel on Climate
Change warns that a key temperature limit will be exceeded in less than ten years
and highlights how human activities are escalating the situation toward unanticipated
and occasionally irreversible changes because of climate change.
Risk associated with the warm urban climate in form of frequent extreme weather
events, such as heat waves, would increase if the expansion of urban areas proceeds
under the same conditions (Perkins-Kirkpatrick & Lewis, 2020). Over 2500 people
died as a result of the 2019 European heatwave (CRED, 2019). These local climate
warming patterns also predicted the warming trend in and around cities, particularly
in terms of increases in mean and extreme precipitation and annual mean temperature
over and downwind of cities.
Despite being the deadly impacts of heatwaves are still not receiving due attention
in many countries (Harrington & Otto, 2020). The increasing Global warming trend
is the rising intensity and frequency of heat waves with an exponentially e.g., a
study in Madrid found a shift by +1.5 °C in the mean air temperature during the
period 1980–2017 compared to the previous period 1948–1979 accompanied by a
noticeable increase in intensity and frequency of HWs after the 1980s. This is due
to the possible synergistic interactions between UHIs and HWs with exacerbation of
the nocturnal rather than daytime UHI intensity (Rasilla et al., 2019).
Numerous studies using various approaches have been conducted to map UHI in
relation to development patterns, including those in the USA, China, Bangladesh, and
Pakistan (Ayman et al., 2021) studies that have approximated the positive correlation
between raised land surface temperature and unplanned change in land use/land
cover (LULC). This needs to be addressed more holistically by considering all-
encompassing factors of UHI, and HW to formulate more effective UHI mitigation
measures which enable urban planners and policymakers to get more accurate and
explicit guidance (Kong et al., 2021).
The dynamism along with heterogeneity of the inner-city heat depends upon
various climate change-related and urbanization-induced factors. The heterogeneous
characteristic of UHI concerning urban heat is due to the fact all contributing factors
of UHI are not categorized separately to gauge the impacts of each phenomenon.
5 Urban Heat Island (UHI) Implications and a Holistic Management … 85

Studying all contributing factors of UHI would assist in the theoretical understanding
of the external thermal stress of megacities.
Myriad studies have been conducted and concluded with some contradictions
when examined from a more abstract point of view. This leads to “environmental
miscommunication” which compromises the effectiveness of coordination, collabo-
ration, and eventually interventions regarding Climate change mitigation and adapta-
tions at local regional national, and global levels. There has not been found evidence
of the existence of this holistic and integrated framework that cognitively and cate-
gorically divides the constituents of UHI and relates them with each other. Therefore,
decision-makers and other stakeholders grapple with the decision-making process
regarding urban design and development specifically keeping given UHI.
This implies that UHI needs redefining in terms of its remit and implications in the
face of escalating developments regarding concepts, theories, technologies, and tech-
niques, in association with climate change mitigation and adaptation. Which provide
a single platform where a wildly diverse range of stakeholders coming from technical
through non-technical backgrounds and interests could effectively communicate to
design an integrated solution and then implement it. In view of the problematisation,
the purpose of chapter is to carry out a theoretical review of UHI insinuations leading
to categorization, synthesis, and analysis of UHI components. In addition, create a
theoretical framework of UHI assessment and management, which clearly maps out
the relationship between UHI components regarding both urbanization and climate
change that are accelerating the duration, frequency and intensity of UHI.

2 Material and Methods

Initially, we reviewed documents containing the term “Urban Heat Islands” “causes of
Heat waves” “UHI contributing factors” etc. then divides the literature into group and
categories. Firstly, the documents and research have been studied by a simple review
method to extract definitions and different factors of UHI and heat waves and have
been categorized through the thematic color-coding method. Coding, as a method
of data reduction, means operations in which data are analyzed, conceptualized, and
put together in a new way (Table 1).
A thorough content analysis is done in accordance with five important themes. (i)
“climate change” (ii) “factors contributing to urban heat island effect” (iii) “factors
contributing to heat waves” (iv) the variability in UHI and heat wave interactions,
and (v) “Primary and secondary effects of the urban heat island”. Then factor cate-
gorization is done using a focused sample of documents of the most relevant and
recent studies on the subject. Thematic analysis has been used to analyze the docu-
ments’ content. Thematic analysis is a form of analysis technique that combines data
classification and categorization to glean several fundamental ideas and trends in the
research topic. Therefore, data management is the first step (including setting and
organizing the data, separating existing data types, placing data in a Specific concep-
tual and semantic order, and organizing by title and listing). The second step is data
86 H. S. Islam et al.

Table1 Framing the review (Carnwell & Daly, 2001)

Method Approach Definition
Simple Categorizing or What are the different UHI contributing factors are addressed in
literature dividing the the literature
Review writing into
themes
Simple Looking into the Discussion of the relevant literature is followed by an
literature relevant examination of the methodological literature to help explain why
Review theoretical and a specific research design might be suitable for pursuing the topic
methodological
literature

engagement, which entails steps for open/axial and theme color coding to examine
and synchronize data. Drawing the data is the third stage (in this step, the sub-
categories, for example, change in urban climatic conditions; change in the duration
of sunshine, change in patterns of wind direction & speed; land use-land cover change,
urban infrastructure, built material and air quality, etc.) are interwoven in thematic
patterns and conceptual diagrams are depicted. The fourth stage is the creation of
analysis (at this stage, analysis based on categories and themes begins and develops,
which itself includes two steps: modeling and comparing cases and feedback to
refine or change emerging categories). Analyzing the fifth phase of the typology is
the final stage (Categorizing patterns according to their similarities and differences
to highlight the research gap). “UHI-induced anthropogenically” and “UHI-induced
naturally” thermal stressors have been assigned as urbanization induced heat and
climate change induced heat. The factors have been listed by using sources both
primary and secondary. The authors oversee planning, gathering, evaluating, and
reporting the data; hence they are the ones who produce the primary sources. The
writers’ documents and studies are secondary sources, which are specific data that
has already been gathered by another individual or group (Fig. 1).

Fig. 1 Mapping literature review (Fundamental themes & Categorization) (Source Authors)
5 Urban Heat Island (UHI) Implications and a Holistic Management … 87

3 Urbanization Induced Factors of UHI

Haphazard and unplanned urbanization gave rise to the UHI effect which results in
an intensified heat wave. Areas with rapid urbanization have seen an increase in the
UHI impact including high-level and exceptionally high-level UHI which intensifies
the negative effects of climate change. However, if urbanization is done with climate-
friendly urban designs or city layouts may reduce the impacts of the UHI effect. That
is only feasible if all the factors that contributed to the rise in UHI in urban cities are
properly identified and addressed.
Main urban-induced factors such as surface and air temperature; urban
morphology have association with assessment of thermal conditions of any urban
settings and use to assess urban heat island (Ayman & Irfan 2022; Li et al., 2017;
Peng et al., 2012). Beside those myriad other The urbanization-induced factors that
contribute to Urban Heat Island and enhanced land surface temperature of core
and dense center of cities as compared to their surrounding are extracted from the
literature have been discussed below:

3.1 Urban Drivers

3.1.1 Land Surface Material

Urban surface materials have different capacity to absorb solar radiation that
increases UHI (Bowler et al., 2010; William et al., 2005). Urban construction mate-
rials like asphalt and concrete store solar heat during the day and discharge it at night.
Due to the high heat capacity of urban materials, heat can be trapped in a dense layer.

3.1.2 Site Location and Building’s Configuration

The location of tall buildings with continuous slab structures windows and doors
placement should be given special consideration because they can obstruct the flow
of fresh air and wind and provide different surfaces for levels to reflect and absorb
sunlight that warms up metropolitan areas. Urban land cover fraction was found to
be extremely consistent with the spatial distribution pattern of urban heat islands.
According to one estimate the annual average UHI intensity varies from 1.2 to 0.8
°C, depending on density; ventilation variation due to building heights of urban areas
(Elnabawi & Hamza, 2020). Likewise, the capacity to store heat, wind, and evapotran-
spiration as well as the absorption and reflection of solar radiation are all factors that
are influenced by the buildings and structures in metropolitan areas (U.S. EPA, 2013).
88 H. S. Islam et al.

3.1.3 Land Use and Land Cover Change

Urbanization leads to rapid and large-scale alteration of the LU/LC pattern, thereby
affecting the characteristic radiative, thermal, and moisture properties of urban
surfaces and controlling the land surface temperature. This thus creates a Surface
Urban heat island (SUHI). As the expansion of the impervious surface greatly affects
the thermodynamic properties of the underlying surface and urban green spaces are
the best sources to alleviate the impacts of the heatwave (Saleem et al., 2020). Many
studies indicate green spaces have a negative correlation with air temperature.
It was estimated that larger parks and areas surrounding parks are 1–2 °C cooler
than built-up areas (Oke, 1989), where this temperature difference can vary as much
as 5 °C (Upmanis et al., 1998). A reduction in green spaces in the urban area decreases
evapotranspiration, shade, and cooling effects of plants that make the city warmer
(Shafaghat et al., 2014, United States. NASA) and helps to build a stronger UHI
profile.

3.2 Environmental Factors

3.2.1 Anthropogenic Heat Release

Human activities like air conditioning in dwellings, driving, and industrial output all
emit anthropogenic heat, which has a negative impact on the climate. (Mirzaei &
Haghighat, 2010; Petralli et al., 2014). Directly or indirectly, they contributed to air
pollution in addition to the heat emission, which has an impact on both incoming and
outgoing radiation (Chen et al., 2011; Li & Zhao, 2012; Sailor, 2011). These tapped
radiations along with physical features of an urban area for example high density
and forms augment the climate change-induced extreme events. This Change in
climate impacts urban air and urban heat island (UHI) (Mika et al., 2018). Whereas
urban air quality is sometimes also referred to as urban pollution island (UPI) have
correlative interaction with UHI in urban climatology (Giulia Ulpiani, 2021). As
urban heat islands impacted air pollution distribution greatly if coupled with wind
patterns (Chandler, 1968; Santamouris & Feng, 2018). Yet, the kinds of interactions
are relatively underexplored (Czarnecka & Nidzgorska-Lencewicz, 2010). Because
interactions between UHIs and poor air quality (Jun Li et al., 2007), sometimes exist
in a complicated and intimate pattern of feedback both at regional and local scales
be it vertically or horizontally (Oke, 1982).
5 Urban Heat Island (UHI) Implications and a Holistic Management … 89

4 Climate Change Induced Factors

4.1 Geographical Features Based Factors of UHI

4.1.1 Urban Biophysical Composition

In an urban setting, all kinds of land cover (aside from water) can be viewed as a
combination of three fundamental biophysical elements: soil, vegetation, and imper-
vious surfaces. Biophysical composition plays a key role in the evapotranspiration
process which assists in cooling down the surfaces and air temperature. Because
there are more impermeable surfaces in urban areas than in rural ones, evapotran-
spiration is lower there. As a result, urban green space, including agricultural and
forest land, has had a significant negative impact on the UHI effect. Biophysical
factorization shows considerable sensitivity of the interaction between UHI and Heat
waves to local climate and warming scenarios. As they also contribute to determine
evapotranspiration hence UHI Profile (Lei Zhao et al., 2018).

4.1.2 Topography & Slope

At the local level, topography and slope are important factors in the emergence and
development of UHI because they influence wind patterns and flow directions (Nitis
et al., 2005). Effects of the urban heat island can be broken down into three groups:
surface, urban canopy, and border layer. Since topography allows for the existence
of the canopy layer of UHI, the majority of studies have focused on the surface and
boundary layer effects (Eni et al., 2014).

4.2 Urban Climate

Any set of climatic conditions that are prevalent in a large metro area and are distinct
from those of its rural surroundings are referred to as urban climate. Urban climate
is also classified on the bases of local climatic zones which have different attributes
based on built type and non-built types. Besides that, Global warming is the gradual
warming of the Earth’s surface and is attributed to human actions, particularly the
burning of fossil fuels, which raises the levels of heat-trapping greenhouse gases in
the atmosphere. Cities trapped these gases in different manner. The effect of the said
factors has been discussed below:
90 H. S. Islam et al.

4.2.1 Local Climate Zone

The built-up density or urban layout of a city determines its LCZ; as urbanization
progresses, temperature differentials between the city and the countryside widen the
urban heat island, escalating thermal stress. The subject of LCZ study is the UHI
phenomenon in Szeged, Hungar, Fuzhou, China, Bogor, Indonesia, and 50 other
cities around the world. The thermal conditions of cities are vital considerations for
future planning and development. In this regard, Local climate zone maps are most
used to steer urban development in the context of surface temperatures (heat waves)
(Aymen et al., 2022).

4.2.2 Global Warming

The phenomenon of urban heat island (UHI) has been significantly exacerbated
because of global warming and rapid urbanization (Guodong Li et al., 2018). Myriad
studies mentioned that the rise in urban heat island (UHI) in urban climate is due to
global warming. But very few addressed the outright nexus between Global warming
and UHI or the existing ones are not clear. Furthermore, the impact of Global warming
upon urban Heat islands (UHI) is also not well and is frequently the target of many
overly simplistic and incorrect notions (Alcoforado et al., 2008). The study calculated
the amplification in UHIs and its impact on global warming trends. The findings
suggest that the UHI effect could account for between 3 and 36% of the observed
global warming (Alec Feinberg, 2020). The likelihood of extreme heat events and
record-breaking temperatures can rise significantly with even a small increase in
average temperature.

4.3 Meteorological Parameters

4.3.1 Wind Direction/Wind Speed

Typically, the vertical profile of the urban heat island is influenced by wind, espe-
cially during nights. Wind speed in an urban context is heavily influenced by urban
morphology. Many authors have attributed the wind speed decrease to the increase in
urbanization. At street level, buildings slow the breeze down by trapping air between
them. In the street canyons, buildings also collect long-wave radiation, some of
which is reflected to the street level by the sides of the buildings. Growing urban
areas, rising temperatures, and air pollution all contribute to a rise in heat island
effect intensity, which has an immediate negative impact on human health. More
anticyclonic patterns, or a rise in sea level pressure, and fewer cyclonic patterns,
because of circulation changes, support UHI (Mika et al., 2018).
5 Urban Heat Island (UHI) Implications and a Holistic Management … 91

4.3.2 Relative Humidity (RH)

Chen et al. (2019) used Humidex (HD) and a single-level Urban Canopy Model
(UCM), using high-resolution spatial distribution of air temperature to establish the
relationship between humidity, heat index, and UHI intensity within urban environ-
ment is necessary to capture urban climate analysis to study complete UHI profile
microclimate to macro climatic level.

5 UHI Conceptualization

The conceptualization has been developed by keeping in view the interaction between
UHI and Heat waves threefold. At the first level, meteorological conditions e.g., calm
air raised temperature and temperature inversions which favor the Heat waves. At
the secondary level, human-induced activities in form of land use/land cover change
and the Release of anthropogenic heat add to trap the heat up to the boundary layer
of the UHI phenomenon. at the third level, the climatic induced factors such as
global warming and local climatic situation add in further enhance the boundary
layer in form the canopy layer which raised and more intensified form of UHI effect
the overall phenomena is the primary reason for shifting the average temperatures;
That particular situation mostly developed due to some factors favors by Urban Heat
Island effect. On the other side the episodes of heatwaves due to other factors also
amplifying the UHI, this could raise the local phenomena of UHI on a Regional and
global scale. This needs also be addressed as a 1.5 K increase in global temperature
increase likely to intensify the UHI phenomenon, yet the UHI effect is very complex,
and its behavior is strongly influenced by macroclimatic factors, it must be researched
on multiple levels (Mika et al., 2018). Furthermore, the impact of Global warming
upon urban Heat islands (UHI) is also not well understood and is often the object of
many overly simplistic and erroneous ideas. The compiled approaches in different
studies are finally harmonized to conceptualize the relationship between UHI and
heat waves (Figs. 2 and 3).

6 Concluding Remarks

The comprehensive approach to address the phenomenon of UHI catering to all

relevant factors has not been explored, according to a review of the literature, no
similar study has been carried out and the existing ones are not clear about the all-
encompassing factors of UHI. To date, no framework exists for appropriate UHI
planning in urban areas. Hence, this study focuses on two strands, firstly reclassifi-
cation of factors contributes to the Urban Heat Island in the context of urbanization
and climate change. The synthesis of the literature review revealed that most of the
92 H. S. Islam et al.

Fig. 2 Inter-relationship of UHI and Heatwave Factors (Source Authors)

studies have utilized the urban heat island phenomenon and land surface tempera-
ture interchangeably. Moreover, in many studies, UHI considers factors that roam
around urbanization and development patterns. This leads to confusion and miscom-
munication among different stakeholders. The confusion arises due to differences in
temporal and spatial scales, research methods, and data sets, as well as the lack of a
comprehensive theoretical framework.
Cites are predicted to face more thermal stressors over time if not planned well.
Investigating and considering all causes that raised UHI profile is important. It can
assist to make more informed decision making by pinpointing measures against
the major factors that could exacerbate urban overheating and, in turn, aid in the
creation of effective mitigation strategies. Therefore, the current study offers a thor-
ough summary of research on UHI profiling. Even though many research topics
have been covered in the open literature, it is discovered that several research gaps
still exist and should receive more attention. Examples include failing to consider
different UHI types and their connections and failing to consider the long-term effects
of heatwave events.
Furthermore, it highlighted twofold interaction between Urban Heat Island and
the heatwave at first. Heat waves are weather phenomena that require different metro-
logical conditions to form (e.g., calm air, raised temperature, and temperature inver-
sions). That situation mostly developed due to some factors favors by the Urban Heat
Island effect (Which has been discussed in every literature). On the other the episodes
of heatwaves (due to climatic and non-climatic factors) also amplify the UHI, this
could raise the local phenomena of UHI on a Regional and global scale (This needs
also be addressed). Considering the above discussion, it is recommended for future
research.
1. While urbanizing the existing city or even producing another city thermal stres-
sors needed to be cautiously and effectively considered to mitigate urban heat
islands (UHI).
 UHI Hot-Spots Iden a UHI Assessment UHI Remedia on UHI M gated

Urbanaza Induced
Factors
• LULC change
• Anthropogenic Heat
Release/Air quality
• Built-environment Measures for UHI Improved
Factors Based
Surface Material •Provision of Air Urban
• Urban Structure •Land Surface Corridors Development
Temperature •Restora of
• Urban Bio -Physical •Landuse Land Green spaces
Assessment
• Composi Cover Chage indicators of UHI Coping •Building Design
•Air quaity
ty Urbanaza on Stra gies and material
Urban Heat monitoring induced UHI Co
C on Reduced
ss(LEED guide) Urban Heat
Island
Profile Profile
Factors Based Assessment Measures for
indicators of UHI UHI

UHI Factors
climate chgane Adaptaion& Improved
•Precipit induced UHI ga on Urban
Stratgies ••Open Green Space
•Temperature Climate
average wind •Energy efficiency
Climate Change induced
speeds and •Minimizing Heat
Factors direc . loss/
• Climate Zone Change •weather extremes
•local geography.
• Change in Wind
Speed/Wind Dir
• Change in Pa rent of
annual Seasonal Varia ns
Feedback & Monitor
5 Urban Heat Island (UHI) Implications and a Holistic Management …

• Topographic Change
• Global Warming

Fig. 3 Anti-UHI management framework (Source Authors)

93
94 H. S. Islam et al.

2. There is a dire need to Outline the holistic Policy Framework to Reduce

Urban Heat Island Effects which would cater to all contributing factors
comprehensively.
3. Urban heat from multiple sources turns Cities into hotspots that need to be
addressed by an integrated approach; a whole-system baseline study system is
required for a more holistic understanding of heatwave and Urban Heat Island
(UHI).

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 Part II
Mitigation and Adaptation Strategies
Chapter 6
Contribution of Bodies of Water
to the Mitigation of UHI Effect in Urban
Canyon: A Parametric Study Approach

Nedyomukti Imam Syafii and Masayuki Ichinose

Abstract To find effective design solutions for bodies of water for better urban
thermal environment, a series of comprehensive studies have been conducted utilising
an outdoor scale model canopy in Saitama, Japan, and coupled numerical model. The
simple form of the outdoor scale model has the advantages of enabling the observa-
tion of various physical phenomena under actual climate conditions and conducting
comprehensive measurements of a relatively uniform area, thus providing results
that are easy to interpret. Meanwhile, numerical modelling allows a series of various
bodies of water configurations to be analysed and compared. By modifying its basic
physical properties, the present study shows evidence of the positive contribution of
water ponds to the urban thermal environment. The presence of water ponds inside
an urban canyon reduced the air and radiant temperatures throughout the day. The
result also shows that, generally, a bigger pond has greater cooling benefits. A bigger
pond tends to absorb more heat and has a more evaporation surface. As shown in the
measured air temperature, water temperature and globe temperature profile, a larger
portion of the radiant energy absorbed within the canyon is dissipated by evapora-
tion rather than converted into sensible heat. This phenomenon shows the critical
role of the bodies of water’s thermal capacity while also opening the possibility of
manipulating these parameters for a better urban thermal environment. When there
is a space constraint within urban spaces, introducing chilled water may help further
improve the cooling benefits of urban bodies of water bodies.

Keywords Bodies of water · Cooling effect · Outdoor scale model · CFD · Urban
thermal environment

N. I. Syafii (B)
Department of Architecture and Planning, Universitas Gadjah Mada, Yogyakarta, Indonesia
e-mail: Nedyomukti@[Link]
M. Ichinose
Department of Architecture and Building Engineering, Tokyo Metropolitan
University, Hachioji, Japan

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 99
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
100 N. I. Syafii and M. Ichinose

1 Introduction

The arrangement and orientation of urban elements and landscaping are important
considerations regarding mitigating the adverse effects of UHIs and providing better
urban pedestrian comfort. Urban bodies of water, which are usually defined as a
collection of water in the form of stationary water or pond, are considered potential
thermal environment amelioration. Yet, there is still a lack of interest in research
and design recommendations. Researchers have done a large number of studies on
the ability of the water body to improve the microclimate of the urban environment,
despite the fact that their findings are still limited. In general, the results of these
investigations showed that the air temperature was 1–3 °C lower near bodies of
water (such as rivers, lakes, or water ponds) than those found nearby built-up areas,
especially during the day (Chen et al., 2006; Hathway & Sharples, 2012; Ishii et al.,
1991; Nishimura et al., 1998; Saaroni & Ziv, 2003).
Thus, the present study aims to evaluate the mitigating capacity of bodies of water
to their immediate surrounding while finding the influential factors and the effective
design solution to compromise space limitations within an urban setting. Given the
context, the current study aims to understand the relationship between microclimate
and bodies of water for a better urban thermal environment. The study attempts to
elaborate on finding effective water pond configuration through parametric study with
a scale model and numerical modelling. Several climate parameters, including air
temperature, humidity, radiant temperature, and water temperature, were measured,
analysed, and monitored to understand the changes in the thermal environment due to
the presence of bodies of water. The scale model more accurately represents the actual
urban environment, which is set outdoors and features less complexity. Changes in
the thermal environment can be detected inside of a scale model in a somewhat homo-
geneous area and under real climate conditions. Meanwhile, numerical modelling
allows a series of water pond configurations to be analysed and compared. With
both, the results are easy to interpret while yielding comprehensive results. After
that, other scenarios are being built with different pond configurations, one of which
is a no-pond condition that serves as a point of reference and is unaffected by any
of the surrounding bodies of water. Ultimately, this study demonstrates that under-
standing these configuration changes is as important as understanding the cooling
effect to have effective bodies of water as mitigation strategies.

2 Assessment Method

The study proposes field measurements and parametric study with numerical simu-
lation as the main research methodologies to achieve the objectives. The first method
employs on-site field measurements and a model to estimate the cooling effect of
bodies of water on a smaller scale and their variability. This methodology aims to
gain a deeper understanding of the thermal benefits that bodies of water provide to
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 101

urban areas. The second method involved performing numerical analysis in order to
provide more comparison and analysis. The following is a synopsis of each of the
methods mentioned.

2.1 Field Measurement at COSMO

Two separate experiments were carried out inside COSMO over the summers of 2015
(July–August) and 2016 (August–September), as shown in Fig. 1. The Comprehen-
sive Outdoor Scale Model, known as COSMO, is a 512-cube cubical layout that was
built in the Japanese prefecture of Saitama. The painted dark grey cubes were formed
from concrete, had a hollow interior, were 1.5 m on each side, and were 1.5 m away
from one another. In order to accurately represent a cityscape characterised by low-
rise buildings, the model was intended to have a scale of 1:5 (Kanda, 2006; Kanda
et al., 2007; Katayama et al., 1990; Kawai & Kanda, 2010a, 2010b).
During this field study, various pond configurations were developed inside the
COSMO canyon, including a no-pond condition that served as a point of reference
(Fig. 2). A big pond was built for the experimental study conducted over the summer
of 2015 (Fig. 2—top) in order to monitor the micro climate fluctuations along a line
parallel to the COSMO’s long axis. The pond measured 1.5 m × 6 m and had a depth
of 0.15 m. In addition, a series of control measurement points were installed in a
nearby canyon to reference the no-pond case for comparison purposes. Meanwhile,
over the summer of 2016, five distinguish pond configurations were installed for the
experimental study. Smaller ponds (1.5 m × 0.5 m, 0.15 m depth) were utilised to
test the effect of different pond orientations and water surface area (Fig. 2—mid).
The smaller ponds used in this second experiment enable a more focused study. The
following is a list of the several configurations of the pond: In Case 1, there are
three ponds; in Cases 2 and 3, there are two ponds located around the canyon’s edge;
and in Cases 4 and 5, there is one small pond located in the middle of the canyon.

Fig. 1 Footage and plan view of the overall experimental study at the COSMO (Syafii et al., 2017a)
102 N. I. Syafii and M. Ichinose

Each case was installed and measured independently within the same canyon to
limit the variation due to different canyon physical conditions. Concurrently, an
additional experimental investigation, including chilled water, was carried out inside
the COSMO canyon to better understand water temperature variations’ influence on
the surrounding area’s thermal environment (Fig. 2—bottom).

Fig. 2 COSMO experimental studies plan view (Syafii et al., 2017a, 2017b)
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 103

Fig. 3 Detail positioning of the field measurement equipments for the COSMO—experimental
study (where UCL: Urban Canopy Layer, RL: Roughness Layer, ISL: Inertial Sub layer) (Syafii
et al., 2017a)

The experiments with chilled water utilised a chiller to keep the water temperature
at 15 °C. The chiller was located far from the measuring site, so the heat it generated
did not affect the measurement outcome. In addition to advancing our understanding
of the effect of water temperature, the experimental study with chilled water opened
the possibility to utilise urban bodies of water more efficiently.
Thermocouples (TCs) wires—type-T are utilised on the outdoor scale model at
each measurement point to obtain accurate air temperature readings. The measure-
ments were taken at the height of 30 cm above the ground, which corresponds to
a scaled-down version of the typical height of a human being (Fig. 3). In order to
measure the reference climate, one weather station was placed three meters above
the COSMO canopy, and one pyranometer (EKO ML-01) was positioned directly
above the COSMO blocks.

2.2 Parametric Study with Coupled Numerical Modelling

The numerical study combines Computational Fluid Dynamics (CFD) and Surface
Temperature (ST ) computation. It’s a steady-state simulation that uses the Reynold
averaged Navier–Stokes (RANS) model that examines time-averaged wind and
temperature over a neighbourhood-scale area. ST computed unstable 3D temper-
ature distributions utilising building thermal structure, building model and surface
material. On the other hand, the fluid computation determined the distributions of
temperature and wind by taking the mean of the 3D surface temperature distribution
obtained from ST computation. Table 1 displays the equations that are relevant to
the CFD analysis. The present investigation does not cover the detailed CFD algo-
rithm that was applied in this instance. For further information, Ashie Kono (2011)
and Ashie (2016) provide additional knowledge regarding the calculation of surface
temperature and CFD.
104 N. I. Syafii and M. Ichinose

Table 1 Summary of simulation code for CFD calculation (Syafii et al., 2021)
Item Description
Flow field Compressible compound flow under a low Mach number condition
Governing • Continuity equation
equation • Momentum equations
(Effects of buoyancy, Coriolis force, and drag forces of plants are taken into
account.)
• Energy equation
(Formulated using potential temperature. Release of sensible heat from
artificial sources, walls, etc. is taken into account.)
• Transport equation for water vapour
(Formulated using specific humidity. Release of latent heat from artificial
sources, wall, etc. is taken into account.)
• Transport equation for turbulent kinetic energy, k
(Production of turbulent energy by buoyancy, humidity, and plants is taken into
account.)
• Transport equation for dissipation rate of k, ε
(Dissipation of turbulent kinetic energy by buoyancy, humidity, and plants is
taken into account.)
**All equations are formulated based on FAVOR
Turbulence Standard k-ε model
model
Coordinate 3-dimensional Cartesian coordinate system
system
Computational Staggered grid
grid
Discretisation Finite difference method
method
Spatial 1st order upwind differencing scheme (For advection term.), 2nd order central
discretisation differencing scheme (Except for advection term.)

In order to conduct the parametric analysis, 11 examples were developed, each of

which represented the condition of an urban canyon after it had been subjected to a
different configuration of urban water bodies. Figures 4 and 5 present the numerical
model domain as well as an overview of the models used in the parametric analysis,
respectively.
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 105

Fig. 4 Numerical domain for parametric (Syafii et al., 2021)

Fig. 5 Model plan for parametric study (left to right): all pond; big pond equally distributed; small
pond equally distributed; big pond centred; small pond centred (Syafii et al., 2021)

3 Results and Discussion

Based on the research objectives presented, an attempt is made to highlight the

cooling benefits associated with bodies of water by using the methods stated above
(scale-model experimental study and parametric study with numerical modelling). In
the following section of the chapter, a summary of the key findings will be presented.
106 N. I. Syafii and M. Ichinose

3.1 Spatial Cooling Benefits of Bodies of Water

The experimental study conducted at COSMO demonstrated the thermal influence

of water ponds as well as the potential advantages of these features for enhancing the
urban microclimate and mitigating the effects of the UHI. According to the findings,
the existence of water ponds had the ability to bring the average air temperature
down throughout the course of the day. This influence was felt beyond the area of the
water ponds, and it was felt most strongly in the area that was downwind, as illus-
trated in Fig. 6. The figure illustrates the difference in air temperature between each
measurement point in relation to the reference (Ta). The information was provided as
an average of over one minute and was shown using trend lines derived from moving
averages. It was typical for ΔTa to have a negative trend most of the time throughout
the day. This would imply that the mitigating effect of urban bodies of water could
occur not only during the day but also during the night, albeit to a lesser extent.
Interesting patterns can also be seen on the graph, which illustrates the influence
of various other parameters on ΔTa diurnal profile. At the start of the day, there were

Fig. 6 Diurnal air temperature difference (ΔTa) profile of points near the water bodies respectively
from the points at the reference case
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 107

sudden temperature changes due to the availability of solar radiation. All the points
appear to experience an increase in air temperature at varying warming rates. Later
in the morning, evaporation induced by solar radiation caused the air temperature to
decrease. Throughout the day, the temperature of the air decreased. At the time when
the solar radiation is at its highest, the wind speed is more than one meter per second,
and the wind direction is relatively stable, the Ta at points near the pond (Points 1–2)
tends to show lower values as compared to the Ta at points away from ponds.
The following noticeable pattern emerged over the night. Even when there was no
solar radiation and the wind was still blowing from the southeast direction upwind
of the pond, practically all of the points that were close to the water ponds were
still cooler than the reference. The points closest to the water pond had the lowest air
temperatures in this pattern, which is similar to the pattern seen during the day but with
less temperature variation. On the other hand, an interesting pattern appeared when
the wind speed was very low (less than 1 m per second). During this time period, the
profile of the air temperature had a significantly more pronounced decreasing profile,
which followed a reversed pattern. The fact that point no. 5 was the coldest and points
1 and 2 were the warmest led researchers to conclude that the pond cooled off more
slowly than the concrete surface did throughout the night. Regardless, there is also
the possibility of unexpected effects coming from the surrounding cooler grass area
close to the COSMO as a result of changes in the wind direction.

3.2 Influence of Pond Size and Orientation on the Thermal

Environment

During the summer of 2016, a further experimental study was conducted. The experi-
mental study results provide evidence of bodies of water’s effectiveness as early-stage
design and planning solutions to improve urban thermal environments. In accordance
with prior research, this experimental study demonstrated that the presence of water
ponds was capable of regulating the local thermal environment, despite the fact that
varied pond layouts and changes appeared to produce different daily temperature
profiles (Fig. 7).
In general, larger ponds provided more benefits in terms of temperature reduction.
Nevertheless, the lack of available space in urban canyons could necessitate addi-
tional design adaptations. When the ponds were oriented parallel to the prevailing
winds, temperatures were reduced by up to 2.1 °C compared to the reference condi-
tion. These findings demonstrated that certain configurations of ponds tend to have
a better ability to maintain low radiant temperatures than others. Because of this, it
was more likely that certain designs would achieve improved pedestrian comfort.
108 N. I. Syafii and M. Ichinose

Fig. 7 Hourly average profile of air temperature difference (ΔTa) of summer 2016 experiment
study (Syafii et al., 2017a)

3.3 Enhancing the Mitigating Capacity of Water Bodies

During the experimental study in the summer of 2016, a different experiment with
cold water was carried out. In theory, a larger part of the radiant energy absorbed
within the canyon is lost due to evaporation rather than being transformed into
sensible heat. This is because evaporation is less efficient than the conversion process.
In light of the evidence presented, which demonstrates that the thermal capacity of
the water bodies plays an essential role, cold water was added to the water bodies.
As can be seen in Fig. 8, the results indicate that the use of chilled water leads to an
increase in the cooling benefit.
The Ta improvements were observed to increase by as much as 0.3 °C when
compared to the natural water conditions. By keeping the temperature of the water
at a low level, it was possible to eliminate the heat that the water pond had absorbed,
following the previous findings (Syafii et al., 2017b). These conditions limit the
release of sensible heat, hence decreasing the air’s temperature. Although adding
chilled water can greatly improve and further boost the cooling benefits, maintaining
the water’s temperature low may need additional energy. As a result, it is necessary
to manage the trade-off between the demand for cooling and the actual cooling of
the water, which can be done by using cool groundwater.

3.4 A Numerical Modelling for Parametric Studies

In order to evaluate the differential impact of different urban water pond layouts and
thermal capacity (water temperature) on the urban thermal environment, a simulation
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 109

Fig. 8 Summer 2016 experiment studies averaged hourly profile of air temperature difference
relative to a reference point (ΔTa) for a pond with natural water condition (left) and chilled water
condition (right)

of 11 unique cases was conducted and evaluated. Generally, the findings of the
numerical study shed even more light on how critical it is to properly arrange and
position different types of bodies of water. Relative to the wind that blows most
frequently, water ponds with a larger surface area and a more dispersed distribution
have a greater potential to exert their impact across a broader area.
Figure 9 illustrates how the different configurations of the water ponds affected
the temperature gradients throughout the surrounding air. It was established that
the temperatures found around the big pond with the centred design had the lowest
air temperature when compared to the temperatures found around the pond with
the other configurations. On the other hand, the cooling effect seemed to be most
noticeable in the centre of the area of interest, where the water pond was situated.
In contrast, the large water pond that was distributed uniformly had a tendency to
have a cooling impact that was more widespread. It was discovered that the cooler
air temperature almost completely covered the area of interest. Although the cooler
air is not as noticeable, the same trend was seen in the configuration of the smaller
ponds.
The findings from the field measurements indicate, in addition, that the addition
of a water pond containing cooled water may be able to reduce the air temperature
further. In order to improve the efficiency of the design of the chilled water pond, it
was necessary to conduct tests on three distinct water pond layouts, each of which
included the addition of chilled water. Figure 10 illustrates the air temperature distri-
bution of both the large and small pond configurations, with one having a measured
water temperature of 37 °C and the other having a predetermined water temperature
of 15 °C.
In general, the addition of a water pond containing chilled water was, in fact,
successful in further reducing the ambient temperature. It was determined that the
cooling effect would grow pretty dramatically if the size of the pond was increased.
110 N. I. Syafii and M. Ichinose

All water Big equally distributed Big centered Small equally distributed Small centered

Fig. 9 Distribution of air temperature of different water pond configurations (Syafii et al., 2021)

The magnitude of the cooling improvement could also be noticed extending beyond
the area of concern. The cooling improvement that was achieved using chilled water
in the small pond design appeared to be superior to that achieved in the large pond
arrangement where chilled water was absent. Suppose there is a shortage of space in
the urban area; this finding may suggest a novel approach to finding a solution for
enhancing the effectiveness of existing bodies of water cooling benefits.
For further investigation, the occurrence of lower air temperature in each scenario
was assessed and compared to determine the relationship between the possible bene-
fits of the water body and the design configurations regarding the cool area ratio or
CAR. The occurrence of cooler air temperature was derived using a simple math-
ematical calculation from the difference in air temperature in each case relative to
those found in no water condition as the reference, ΔT c :

T c = Tc − Tr (1)

where T c is the air temperature calculated from cases with water ponds, and T r
is calculated from cases with no water ponds. This attribute can provide a basic
overview of the cooling intensity and the factors that influence it. While the cool
area ratio (CAR) is defined as the ratio of the total area where the cooling effect
occurs (ACool ) relative to the total unbuilt area inside the area of interest (ATotal ):

ACool
CAR = (2)
A T otal

Figure 11 illustrates the CAR between the cases in addition to the maximum and
average air temperature differences. According to the result, the cooling benefits of
the centralised configuration exceeded those of the evenly distributed configuration.
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 111

measured
water temperature
(37°C)

1 2 3

chilled
water temperature
(15°C)

4 5 6

Fig. 10 Horizontal distribution of air temperature of different water pond configurations with
different water temperatures: (1 & 3) all water configurations (2 & 4) big pond equally distributed,
(3 & 6) small pond equally distributed (Syafii et al., 2021)

The colder air region was more pronounced and had a lower maximum air tempera-
ture in the central configuration. However, when considering the average value and
air temperature distribution, configurations with uniform distribution have a greater
impact over a bigger area. Additionally, the numbers indicate the significance of
having a bigger water surface area. On the other side, introducing chilled water may
further enhance the cooling benefits, but it will also intensify the cooling effect.

4 Conclusions

Due to the urban environment being comprised of a wide variety of complex surface
features that influence its thermal environment, it is essential to design comfortable
urban spaces. This indicates that the interaction between the urban canyon and the
112 N. I. Syafii and M. Ichinose

Fig. 11 Correlation of air temperature reduction with the cooler area ratio (ACool /ATotal ) and its
cool air occurrences

microclimate has been thoroughly documented in order for it to be translated into

a clear direction for all of the stakeholders involved with the urban environment,
including the designer, the planner, the owner, and so on. This study aimed to better
understand the cooling benefits provided by urban water bodies while also attempting
to combine theoretical knowledge with the practical design process. Nevertheless,
the current research provides substantial evidence of the potential advantages of
water bodies for a more wholesome thermal environment. Additionally, the research
attempted to add to a general knowledge of the interaction between the characteristics
of urban microclimate, notably air temperature, and the physical attributes of water
bodies (e.g. size, configuration, orientation). The study highlights the importance of
having an adequate water pond layout and composition. For instance, the air temper-
ature reduction achieved by a particular water pond design relies on its positioning
in relation to the buildings in the immediate vicinity. According to these research
findings, Table 2 outlines the potential advantages of implementing the mitigation
strategies.
With this new knowledge, this study suggests the possibility of guiding future
design improvements for effective UHI relaxation solutions, taking into account the
following points: (1) The positioning of urban bodies of water is something that needs
to be carefully considered in order to arrive at the most efficient design solution for
a better urban thermal environment; (2) the orientation of bodies of water should be
chosen in relation to prevailing winds in order to achieve the optimal distribution of
cool air; and (3) water temperature modification (chilled water) opens up possibilities
as an effective alternative to improve the thermal performance of bodies of water.
The water being cooled and re-cooled multiple times may provide other issues that
need further study.
6 Contribution of Bodies of Water to the Mitigation of UHI Effect in Urban … 113

Table 2 Water body’s potential cooling benefits

Water bodies intervention Pond size to canyon area ratio Potential benefits
T a reduction (°C)
Day Night
3 pond 1 0.36 0.2
2 pond perpendicular 0.66 0.25 0.17
2 pond parallel 0.66 0.33 0.15
1 pond perpendicular 0.33 0.18 0.11
1 pond parallel 0.33 0.18 0.06
Centralised configuration Have higher T a
reduction, but the cool
air accumulates near
the pond
Equally distributed configuration Have better
distribution of cool air
Chilled water temperature Improve the cooling
benefits (double the
occurrence of cool air)

Acknowledgements The authors would like to extend their gratitude to Kumakura, E., Jusuf, S.
K., Wong, N. H., Chigusa, K., and Ashie, Y., who provided insight and expertise that greatly assisted
the research.

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Chapter 7
The Challenge of Cooling Rapidly
Growing Cities: The Case
of Densification and Peri-Urbanisation
in Ho Chi Minh City and Adaptation
Responses

Antje Katzschner, Nguyen Kieu Diem, Thanh Hung Dang,

and Nigel K. Downes

Abstract Climate change and social-economic development are expected to

compound climate changes risks. For southeast Asian cities, the phenomenon of
urban heat islands and extreme heat waves are a current and future concern for public
health, well-being and household energy consumption due to increased cooling
demands of urban residents and limited resources to cope. Urban heat island studies
using remotely sensed imagery have already revealed that Vietnam’s major cities
are characterized by strong temperature differences between urban and rural areas.
As a result, implementing adaptation measures based on solid science is critical to
mitigating the negative effects of heat on urban residents and adapting infrastructure.
While different adaptation measures are currently debated by the political authori-
ties in Vietnam, decision-making is hampered by multiple scientific knowledge gaps
and the lack of practical tools to support decision-making. This chapter presents
methods to investigate and monitor recent urban development in Ho Chi Minh City,
an emerging megacity and economic powerhouse of Vietnam.

Keywords Ho Chi Minh City · Urban heat Island · Spatial planning ·

Adaptation · Megacity · Heat risk · Vulnerability

A. Katzschner
Department of Geography, Ludwig Maximilian University of Munich, Munich, Germany
Department of International Affairs, University of Hamburg, Hamburg, Germany
N. K. Diem · N. K. Downes (B)
College of Environment and Natural Resources, Can Tho University, Can Tho, Vietnam
e-mail: nkdownes@[Link]
T. H. Dang
Department of Architecture, Ho Chi Minh City University of Architecture, Ho Chi Minh City,
Vietnam

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 115
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
116 A. Katzschner et al.

1 Introduction

Southeast Asian cities are on the frontline of climate change. Generally, these cities
tend to be more exposed to flood risks, foremost as a result of their location, close
to the coast, their low elevations, and if located in intertropical regions, the signifi-
cant annual variations of weather extremes they incur. The threat of future climate
change will in all probability exert impacts on cities’ urban space, as well as their
livability and functionality. The assessment of the influence of space and location as
a foundation for intervention is key to the function of spatial planning in responding
to climate change (Schmidt et al., 2013; Storch et al., 2011).
In addition to above mentioned risks, rapid urbanization leads to an escalation
of the Urban Heat Island effect (UHI), where the temperature in buildup areas are
higher than its adjacent areas (Dang, et al., 2018; Katzschner et al., 2016a, 2016b;
Oke, 1995; Son et al., 2017). The UHI stresses exacerbate the risk of both climatic
and environmental hazards such as heat stress, as well as chronic and acute exposure
to air pollutants due to lower ventilation. Climate change that has the potential to
influence the severity, temporal patterns, and spatial extent of UHI in urban settings
(Dang & Pitts, 2020; Downes et al., 2016). UHI impacts are felt primarily at night
because roads and other surfaces that absorb solar radiation during the day emit heat
at night (Oke, 1982).
UHI may also be harmful to people’s health and cause discomfort. Thermal stress
may have a significant impact on human health. For years, climate change research
have predicted a rise in temperature. These circumstances, exacerbated by the UHI
effect, are predicted to have an impact on the quality of life in cities in the future.
Planners must adapt to these changes in urban and regional climates by adopting the
precautionary principle and ensuring that thermal stress for individuals outside and
indoors is lowered to a bearable level in the future, as well as the use of regional
climate maps for land use planning.
Previous studies have shown Ho Chi Minh City as a city at the frontline of climate
change challenges (Birkmann et al., 2010; Hanson et al., 2011; Storch & Downes,
2011, 2013; Thuc et al., 2016). The environmental challenges the city is facing are not
new to the urban system of HCMC. The region has long worked on adaptation strate-
gies (e.g., settling on elevated ground, building urban structures accordant to winds,
trading on and living with- and on- the water). Over the past forty years, however,
the impacts of climate change have been increasing. This situation is again intensi-
fied by development pressure caused by population growth, economic growth and
higher levels of resource consumption (including land) leading to an increase in land
coverage, waste production, and—especially within the past years—traffic. Vietnam
has struggled to yield policies, approaches, and planning guidelines to combat the
adverse impacts of UHI development. The approach of using climate function maps
as a planning tool offers the possibility of to analyse the urban climate and identify
potential or risk areas. Within the project “Megacity Research Project TP. Ho Chi
Minh – Integrative Urban and Environmental Planning Framework - Adaptation to
7 The Challenge of Cooling Rapidly Growing Cities: The Case … 117

Global Climate Change” funded by the German Federal Ministry of Research and
Education (BMBF) an urban climate analysis map for HCMC was developed.

2 The Growth Challenges of Ho Chi Minh City

Ho Chi Minh City (hereafter HCMC), Vietnams largest metropolis is characterized

by rapid socioeconomic and environmental transformations. HCMC’s transformation
over the last 30 years has been inextricably linked to the process of rapid industri-
alization that followed the Doi Moi reforms of 1987. This political move toward
market liberalization and an export-driven economy led in extraordinary economic
development and poverty reduction. The majority of the country’s growth has been
metropolitan, as seen by HCMC’s fast urban expansion. The population of HCMC
has essentially more than doubled from 3.78 million in 1986 to 9.22 million in 2020.
This is an increase of 2.0% over 2019 data. In 2020 urban population accounted for
77.7% of the total population with 7.17 million people an increase of 1.7% over 2019,
while the rural population accounted for 22.3%, 2.05 million people; rising by 3.0%
to the previous year (Fig. 1). These estimates, however, do not include an estimated
extra 2 million unregistered migrants in the city and do not include exurban areas
outside the administrative limits that comprise Greater HCMC (Downes, 2019). The
rapid economic growth and evolving residence laws across Vietnam, contributed
in a distinct housing shortage, placing the country on a similar trajectory as other
Asian tiger economies, with a large net-migration pouring into cities such as HCMC,
straining the existing infrastructure.
Fast growing and rapidly expanding cities such as HCMC have intrinsic and
characteristic development patterns, which are already affected by current climate
change impacts and together with future impacts will lead to a multitude of adverse
secondary and cumulative development challenges over the coming decades. Over
the previous 20 years, HCMC’s tremendous urbanization and precarious growth

Fig. 1 The evolution of population growth in HCMC 1997–2020 (Source Adapted from GSO
[2021])
118 A. Katzschner et al.

pathways of densification and urban sprawl has resulted in environmental deterio-

ration and increasing exposure to climate-related risks (Fig. 2). Recent recognition
of the potential effects of climate change has heralded awareness of the need for
action. While a multitude of initiatives, interventions and measures in the spatial
planning for climate change have already been identified, considered and partially
undertaken in the major cities of the Global North, the inherent complexity of the
rapidly emerging megacities of Asia present a somewhat different challenge. Here the
focus on climate risks and opportunities remains relatively uncharted. Furthermore,
although considerable research has already been undertaken, little is known about
synergies between mitigation and adaptation potentials. Additionally, complex inter-
linkages exist between both the effects of climate change and the rapid urbanization
process itself. For HCMC, the challenge of climate change has added a distinct and
significant new dimension to the urban sustainability and development conundrum.

Fig. 2 Location of Ho Chi Minh City and population density per district in the years 2010 and
2020 and population density change in percent (Source The authors’ own)
7 The Challenge of Cooling Rapidly Growing Cities: The Case … 119

3 UHI Risk Accumulation in HCMC

In order to assess impacts and possible climate and environmental change adapta-
tion strategies and the above mentioned urbanization challenges of densification,
sealing and sprawl it is first necessary to obtain an overview of the relevant spatial
parameters. In order to do so, it is necessary to consider not only the current urban
development patterns and pathways, but also include climate change impacts, as they
are interrelated. Also, it has to be considered that the urban development in HCMC is
highly dynamic, leading to constantly changing patterns of imperviousness, building
heights and building density going along with population density (Fig. 3).
In addition, one has to note that climate change impacts are distributed spatially
heterogeneous across the city. These indicators influence present and future risks, and
must be assessed according to their spatial distribution. Understanding the spatial
element of risk is crucial for progressing our understanding of climatic hazards,
possible solutions, and obstacles (Downes & Storch, 2014; Downes et al., 2011).
HCMC is already particularly affected by a significant rise in inner city temperatures
caused by the effects of an urban heat island over the city, demonstrated by a distinct
difference between the city’s inner core and the vegetated surroundings, which has
consequentially caused air quality to deteriorate and decreased the thermal comfort
of inhabitants (Katzschner et al., 2015; Son et al., 2017). During the dry month’s

Fig. 3 Illustrates the urban expansion from 1988 to 2020 (Source The authors’ own)
120 A. Katzschner et al.

energy shortages and power outages caused by the increasing demand for cooling
are a common occurrence. As stated, the urban landscape modifies the microclimate
in ways that affect human comfort, air quality and energy consumption (Fig. 4).
Nevertheless, in practice, climate issues are often still not considered substantially
within the urban planning process, whereas urban climate represents an important
issue in the specific vulnerability of a city.
Street geometry is also important for the urban temperature pattern, as it strongly
influences wind patterns, which is known to be one of the main factors in urban
climate. Density and construction materials also play an important role in heat island
intensity, due to their greater ability to retain heat. Therefore, urban climate maps
have to be generated and interpreted by analyzing urban climate with respect to
every city’s specific situation. Referring to that, each city has a unique climate,
based on its framework conditions. Wind ventilation direction and air circulation
are affected by the spatial patterns of streets, forms and height of buildings and
topography. Building density and the proportion sealed ground contribute to heat
accumulation contributing to the UHI (Fig. 5). The notion of the Urban Climate

Fig. 4 Schematic representation of urban climate mapping based in dynamic and thematic factors
(Source The authors’ own)
7 The Challenge of Cooling Rapidly Growing Cities: The Case … 121

Fig. 5 Urban Climate Map of HCMC ] (Source Katzschner et al. [2016a, 2016b with permission)

Map (UCMap) has been utilized by German researchers since the 1970s. It has been
used as a tool for presenting urban climate phenomena and resulting challenges in
two-dimensional spatial maps. The map is first and foremost an examination of the
actual urban climate. By meteorologically interpreting it, it is able to give planning
recommendations regarding predefined climatopes.
As a product, the Urban Climate Map combines meteorological relevant factors
such as wind direction and speed, solar radiation, air temperature, elevation datasets,
land use, building volumes and densities, street networks, and surface materials. The
technique is separated into two parts: the creation of the Urban Climate Analysis Map
(UC-AnMap) and further the development of the Urban Climate Recommendation
Map (UC-ReMap) (Katzschner et al., 2016a, 2016b). The UC-AnMap identifies
potential and danger areas in the present environment. An important factor is the
ventilation (Ng et al., 2007). The Map is used to categorize distinct climatopes based
on ventilation and urban heat island features. In addition to physical variables, the UC-
AnMap is developed using qualitative and subjective criteria. Weighting factors are
generated from a GIS model, provide specific thermal load and dynamic potentials
(VDI, 2015). The generated urban climatic analysis from the UC-AnMap is in a
next step transferred into the Urban Climate Recommendation Map (UC-ReMap),
providing planning advice for practitioners to consider a climatic perspective. The
Urban Climatic Analysis Map highlights the scientific based evidence, whilst the
resulting Urban Climatic Recommendation Map is a meteorological and planning
interpretation thereof, resulting in guidelines to be used as a basis for decision making.
122 A. Katzschner et al.

The scope therefore includes urban planning and urban design, residential and urban
land use planning, along with community and strategic development planning at the
urban block or neighborhood scale.

4 Planning Implications

It is critical to offer standards for evaluating urban climate research results for urban
planning applications. It is critical not only to deal large-scale observed or modelled
mean climatic conditions, but also to evaluate different observations of finer scale
place-specific localities. The major urban climate toolbox offers several scales of
urban climatic maps that provide significant information for relevant for planning
with additional qualitative and quantitative remarks on thermal and air quality issues.
The findings represent the thermal efficiency complexity of the city, which refers to
the effect of all meteorologically important urban canopy layer elements (radiant,
sensible and latent heat, as well as heat generated from human activities) to HCMC
(Katzchner et al., 2016a, 2016b). From the information obtained from urban climatic
maps it is fesaible to develop recommendations at varying planning relevant spatial
scales (Table 1). Ideally, these maps should be employed in conjunction with urban
growth management and planning procedures.
The Urban Climate Analysis Map is a valuable tool for planning decision-making
at scales ranging from 1:100,000 to 1:5,000. It provides a comprehensive and strategic
perspective and is able to indicate which further studies on a smaller scale should
be conducted. The UHI of HCMC is greatest in the urban core, but it is signif-
icantly lowered through ventilation (Katzschner et al., 2016a, 2016b). The urban
climate map identifies regions with high ventilation potential that can be exploited to
provide cooling. Parks and larger green areas exhibit an important influencing factor
on urban climate as they produce cold air. Areas like that should be kept free from
building and the cold air could be used to cool down the nearby areas. Additionally,
green spaces can serve as retention areas for water. If regarding human health and
comfort air temperature is not an adequate indicator. Thermal conditions for human
comfort is expressed in a thermal index. To calculate the index physiological equiv-
alent temperature (PET) radiation is one of the major parameters—together with
wind, air temperature and humidity. To calculate mean radiant temperature, globe
temperature measurements were carried out (Lindberg et al., 2016). Using the index
PET a calibration of the urban climatic map was conducted.
The intensification of the UHI effect will indicate to increased energy utilization
in the future, particularly for air conditioning demand (Emmanuel, 2021). Concur-
rently, urban development may halt cooler air from entering the metropolis. The
UC-AnMap depicts various classes of urban heat based on ventilation potential.
Following the wind evaluation, it was determined that south-easterly winds have
the greatest influence on the urban heat island. Even in the climatic tropical zones,
climate change is noticeable up to 2 °C every year, which means much more in denser
places (Katzschner et al., 2015). Overall, the results of the urban climate map for
7 The Challenge of Cooling Rapidly Growing Cities: The Case … 123

Table 1 Example development recommendations on the basis of urban climate analysis

Zones Climate desription Evaluation
Fresh and cool ar Open locations Oversensitive, areas with regards to changes in land
production zones with high climate use/function. Prohibt increases in surface roughtnesss.
activity, Maintain open cool/ fresh air corridors. Minmize
production of bariers toair corridors. Corridors should be completely
cool/ fresh air, and examined and comprehended
climate relevant
spaces in close
proximity to
residential areas
Cool air Open locations Surface roughness should only be increased if the
production zones with less climate ventilation patterns are respected. Development should
relevant fresh air be only permitted only in exceptional cases that are
production backed by extensive research and understanding of
climatic functions
Mixed areas Strong daily Important linking loations, anticipate for direction and
fluctuation due to density, surface roughness should intensified for fear
incoming of loss in ventilation, which will have an influence on
radiation, yet the communities
effective cooling
Moderate urban Some heat storage, There are no discernible climatic sensitivities in
heat although mostly relation to intensification of usage and building
mitigrated by agglomerations. Redevelopment is often possible
greenery and wind provided ventilation is considered
Remarkable urban Heat storage, but Some dynamic potentials exist in the event of future
heat island still wind and heat stress caused by adjacent green areas. As a result,
cooling potentials the regions should be preserved or improved rather
than deteriorated. Only with compensation for climatic
consequences can development be permitted. Before
any suggested improvements, the existing air
circulation should be assessed
Urban heat island Heat storage with In need of redevelopment in terms of urban climate.
maximum low cooling Greenery is needed for facades and surfaces. Because
potentials, as well of the accumulated issues on thermal load in the high
as poor ventilation dense built-up region, the climatic conditions in this
zone should be improved. No further development is
permitted in this zone. Improving air exchange is one
significant recommendation, along with shade design

Ho Chi Minh City must be viewed in the light of the wider intertropical circulation
pattern and UHI.
The findings also show that for rising Asian megacities like HCMC, rapid urban-
ization and industrialization driven by socioeconomic development and transforma-
tion (including population and economic growth) is proportionately more relevant
than the scenario-based projection of global climate-change impacts (O’Neill et al.,
2017). In terms of susceptibility, it is clear that HCMC’s socioeconomic develop-
ment and urban expansion are important drivers of future dangers. This leads to the
124 A. Katzschner et al.

Fig. 6 Low tech building level solutions to factor in urban climate considerations into urban design
and built form including urban albedo, ventilation and zoning regulations, thermal storage and
thermal emissivity of materials (Source The authors’ own)

conclusion that rapid population increase must be factored into urban design (Figs. 6
and 7). While socioeconomic data are few, future urban developments, as outlined
in the reviewed plans, are expected to have a significant impact on the urban climate.
This will enhance the overall sensitivity of urban systems to flooding events and
rising temperatures, escalating the situation. Vulnerability assessment maps and the
resulting planning suggestion maps can aid in decision-making, particularly when
it comes to cumulative indicators. In terms of urban planning timeliness, new urban
projects will impact the spatial pattern for many decades; therefore, it is critical to
increase awareness at this point in time to optimize prospects for adaptability to future
changes. Climate change scenarios for HCMC can be incorporated into sectoral plan-
ning as well. Additional land use developments can be viewed by incorporating them
as a layer into the Urban Climate Map, revealing changes in the urban climate linked
with newly-built areas or similar scenarios.

5 Conclusions and Outlook

This chapter highlights that research needs continued to enhance the resilience
of HCMC to both climate hazards such as UHI and also environment changes.
Understanding and predicting the urban climate repercussions of urban develop-
ment pathways and climate related hazards are becoming increasingly important to
support urban environmental management decisions within the city. HCMC requires
a quicker and more generic approach to roll out adaptation to the effects of UHI
7 The Challenge of Cooling Rapidly Growing Cities: The Case … 125

Fig. 7 Neighborhood/block level solutions to factor in urban climate considerations into spatial
planning including urban forest, parks, street trees, private and public green and open areas, green
roofs, green facades and water elements (Source The authors’ own)

and make uptake applicable in practice. Here, polices, protocols, planning codes
and recommendations and measures to combat the negative consequences of UHI
development in HCMC need to be developed. Given that many of the main impacts
of the UHI effect have a land-use component planning and land use control mech-
anisms may be the best adaptation management strategy. Climate change concerns
need to be integrated into the existing legislative and policy frameworks. Here going
forward, focus should be placed on the priority building regulations and land-use
controls, including a better understanding of urban densities, building morpholo-
gies, forms and structures. Whilst urban climate analysis, including shading and
ventilation analysis, the hotspot mapping of vulnerable groups and the incorporation
of nature-based solutions and other planning relevant toolkits to manage urban heat
and decrease social vulnerability and increase adaptive capacities should become an
integral element of urban master plan preparation, regulations and best-practices.

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Chapter 8
Traditional Dwellings in Four Middle
Eastern Cities: Adaptation Strategies
to Harsh Climate in Privacy

Hirou Karimi, Mohammad Anvar Adibhesami, Maryam Ghasemi,

and Borhan Sepehri

Abstract Climate change is one of the most serious environmental issues of the
twenty-first century, compelling designers to adapt their work to completely new
climate-change-adapted settings. The Middle East’s dry environment causes issues
with rising temperatures and decreasing humidity. Environmental harmony has long
been a priority in Middle Eastern architecture. Designers changed nature to accom-
modate the limited supply and demand for energy. Concerns about privacy and
climate change influence home construction in areas with similar religious and
climatic conditions. As a result, the purpose of this research is to look into the environ-
mental and privacy-enhancing characteristics of historic and contemporary buildings.
To accomplish this goal, observations and reviews of relevant literature were used to
collect qualitative data. Analysis from a variety of research and climate-tested data
was used in the following: This study’s data and analysis include traditional homes,
the Koppen climatic classification, and contemporary house design. Furthermore,
research methods have been used in areas with well-established internal residential
characteristics, such as Baghdad, Riyadh, Mukalla, and Kashan. The climate and
isolation of each instance were studied and compared to nearby, modern dwellings.
Our data show that these communities’ older buildings made good use of natural
heating and cooling resources. Summer and winter rooms are available for rent in
historic mansions in Kashan and Baghdad. Summers in these regions are scorching,
and winters are bitterly cold due to the different positions of the sun. We have not
yet investigated any sun-facing locations in modern architecture. Wind turbines are

H. Karimi (B) · M. Ghasemi

Faculty of Architecture, Eastern Mediterranean University, Famagusta, North Cyprus 10, Turkey
e-mail: h.karimi3776@[Link]
M. A. Adibhesami
Department of Design for Health, School of Architecture and Environmental Design,
University of Science and Technology, Tehran, Iran
B. Sepehri
Faculty of Art and Architecture, Urban Design, Tarbiat Modares University, Tehran, Iran

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 129
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
130 H. Karimi et al.

also very important. The wind tower passively cools the structure’s air. In modern
homes, air conditioning provides ventilation. These items are both expensive and
energy-intensive.

Keywords Traditional architecture · Climate adaptation · Urbanism · Middle East

1 Introduction

People have attempted for a long time to live harmoniously with nature (Raja, 2018).
Nature’s quirks confine human behavior, forcing humans to adapt to new environ-
ments. People minimize clothing and shelter to live (Boyd & Banzhaf, 2007). Due to
environmental forces, humans have outdone and surpassed their natural counterparts.
People have developed dwellings for many climates throughout history (Moser &
Ekstrom, 2010). Since prehistoric times, the local climate and features have influ-
enced housing design. Traditional buildings’ climate and privacy are examined. In the
past, limited energy led designers to use natural materials. Traditional homes prior-
itize passive heating and cooling (Ding, 2020). Even in Islamic climates, different
styles arise. Modern design ignores power and water since they are so plentiful.
Designers no longer prioritize energy efficiency, leading to unsustainable buildings
(Thébault & Fontaine, 2010). Environmental issues are gaining widespread atten-
tion. Climate change, fossil fuel use, and waste accumulation are environmental
issues. Traditional building design prioritizes individual interests. This involves home
comforts. Because of this, it is crucial to examine the home designs in the historical
context of the cities that have made adaptations to their local climate. This study also
addresses a significant topic. Throughout history, a number of Middle Eastern towns
have featured architectural designs that work with the region’s hot, dry climate. In this
regard, by examining the housing layouts of Kashan, Makla, Riyadh, and Baghdad,
this study has attempted to highlight the characteristics of these cities that are compat-
ible with climatic circumstances on a private sector scale. These cities’ old structures
are still present and unrenovated, which is arguably one of their most significant char-
acteristics. The private sector, which has made an effort to conserve these tissues, is
to blame for this. For modern urban policymakers, architects, and urban planners, the
knowledge that the findings of this research provide concerning the suitable housing
patterns of these four cities can be valuable. They might be extremely helpful in
combating the current era’s climate change by offering strategies that are in line with
local climatic conditions and scaled for the private sector.
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 131

2 Background Knowledge

The most comfortable and environmentally friendly forms of indigenous architecture

are traditional homes that have been adapted to the local climate (Wiranti et al.,
2019). Studying the history of traditional architecture and figuring out what makes
traditional house designs in different climates unique can help solve many problems
(Shahamat, 2014). Traditional homes, especially those in desert climates, use passive
ways to heat and cool that work well (Kim, 2006; Li et al., 2021). One of their most
significant features is that traditional homes block the sun in the summer and benefit
from it in the winter.
In traditional architecture, the first stage in creating a traditional home is to identify
the crucial elements in climate-related problems and potential solutions in the chosen
geographic area (Al-Ban, 2016). Examining climatic data and bio-climate graphs in
the suggested region is required. To make sure buildings are comfortable inside, it
should be looked into how the local climate affects how they are built (Ding, 2020).
Each district’s traditional architecture is based on local demands and lifestyle.
Geographical, climatic, local resources, and cultural factors affect building design
(Ejiga et al., 2012). Climate and culture affect how indoor and outdoor spaces are built
up and connected architecturally (Daoudi et al., 2019). Wind, sunshine, precipitation,
humidity, temperature, and air pressure are climatic elements that affect a building’s
design, construction, and alignment (Barati, 2005). Sunlight is the principal heat
source in hot climates. It’s crucial to position and orient buildings according to the
sun’s path. When designing a site, consider the direction of hot gusts. Both the hot
and cold seasons highlight these two issues. Well-designed homes heat and cool more
efficiently (De Joanna, 2016). The climate determines the building materials used.
Options are limited by surrounding options. Each space should use widely available,
climate-appropriate materials. Heat resistance and heat capacity are essential physical
qualities. Many climates call extreme weather “critical times.” Deserts need hot days,
for example. So, in these situations, the materials should be good for hot weather so
that outside air doesn’t affect indoor air. BWH’s day-to-night temperature range is
large. The most-used rooms should be insulated with dense materials. For nighttime
use, consider light, low-heat materials. Stone works well in dry settings because it
resists and retains heat (Lang, 2013). Thermodynamics says heat goes from warm to
cold. In arid regions, walls warm up during the day and absorb heat into the stones.
At night, when it’s cold inside, this heat is conveyed. Inhabitants’ inner walls are
cold during the day and warm at night, making inhabitants comfortable (Almatarneh,
2013). Traditional design uses two main materials: Thermal and solar efficiency of
walls and finishes is one. Second, materials’ self-efficiency. Traditional construction
in hot, arid settings uses stone, adobe, muck, soil, and muck blocks. These materials’
thermodynamic qualities make them ideal for desert climates with hot days and
cold nights. High thermal capacity and heat isolation are needed. Mud’s light tint
reflects the sun’s rays and traps heat at night (Daoudi et al., 2019). Climate affects
132 H. Karimi et al.

a building’s energy efficiency and usage. “Green design” is sustainable. Climate-

related concerns abound. These include making a house that is comfortable, healthy,
and sustainable, as well as making good use of natural resources and energy (Baptista,
2019; Feitelson & Tubi, 2017).

3 Climate-Resilient Strategies and Implications at the City

Scale

3.1 Kashan

Kashan is considered one of the ancient cities of Iran. Geographically, a total area of
about 9,647 km2 is covered. Isfahan is the name of this sub-province, which stretches
from the Central Desert in the east to the Karkas Mountains in the west. One of the
cities in Isfahan is Kashan. Kashan is located at (33°59' North, 51°27' East) and
982 m above sea level. Kashan is influenced by the desert climate. In Kashan, there
is virtually no rainfall during the year. This location is classified as BWh climate
(Köppen-Geiger). The average temperature in Kashan is 19.5 °C and ∼128 mm of
pre cipitation falls annually. The highest and lowest average temperatures are in July
and January, at around 33.2 and 5.0 °C, respectively. The average annual sunshine
in Kashan is 2,942 h (Teshnehdel et al., 2020).

3.2 Impact of Climate Issues in Traditional Architecture

in Kashan, Iran

In Kashan’s historic homes, a number of architectural techniques were used to regu-

late the temperature and lessen day-to-night fluctuations. The primary component
of the thick, heavy walls is mud blended with straw and adobe (Hosseini et al.,
2020). The walls transmit solar energy at night after absorbing it throughout the day
(Mirzaei et al., n.d.). The courtyard is surrounded by thick, towering walls that offer
shading for the inside area (Leylian et al., 2010). The pond and the vegetation are
in charge of cooling and raising the air’s humidity (Tahbaz et al., 2022). When a
result, ventilation occurs as the air cools by flowing through the yard and over the
porch and tree (Eskandari, 2011). In this hot, dry climate with sparse vegetation,
the courtyard serves as the social hub of the buildings. Usually, the courtyard was
constructed below the ground level. The pond in the middle of the courtyard contains
water for aesthetic and air-conditioning purposes. Because Kashan is in a dry area,
water resources are taken into consideration when designing the home (Farshchi
et al., 2016). It is necessary to dig the ground in order to find water supplies because
of this. To add moisture, it is also possible to direct the air over a pond or cistern.
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 133

The variation in temperatures affects how the function works. One would wonder
how a wind catcher functions when the wind blows slowly. In actuality, air flow is
caused by the difference in temperature between the two sides of the hole. The wind
catcher is warmer than the air in the veranda space due to sunlight exposure on its
southern face. As a result, the heated air is drawn out of the area under the wind
catcher by a form of vacuum. In order to make up for this, an airflow is created,
bringing the cool air from the northern side of the home inside the building (Fig. 3).
The temperature outside starts to drop at night. As long as there is a temperature
difference between the outside air and the walls, cold air flows down and cools them
(Barati, 2005; Leylian et al., 2010). But typically, the day starts and the wind catcher
begins to function as it should before it reaches this equilibrium (Mirzaei et al.,
n.d.). A semi-private space through a hallway. The semi-private room and the private
area are separated by a lengthy hallway. The layout of this building is intended to
maximize seclusion while still promoting friendliness and social interaction (Barati,
2005; Eskandari, 2011; Karimi & Hosseini, 2012; Tahbaz et al., 2022). Another
environmental condition that affected Kashan’s housing plans during the story was
the shedding and sunlight effect on people’s comfort based in public and semi-public
spaces. Few studies address the beneficial effect of shading and sunlit in courtyard
houses on the thermal performance of residential buildings, particularly in a hot
desert climate (BWh) (Teshnehdel et al., 2020). By looking at Kashan traditional
house plans it can be understood that most of them are for better performance in
cooling and shading factors designed as courtyard houses. In general, by examining
the structure of the historical context of Kashan, it has a dense urban context and
the houses that are compressed together have integrated walls (Karimi & Hosseini,
2012). It is suitable for insulating houses against extreme heat and cold, and it also
plays a positive role in providing shade in alleys and passages (Akbari & Teshnehdel,
2018). In short, research shows that houses with courtyards in the urban structure of
historical cities in the center of Iran, such as Kashan, have played an important role
in reducing environmental challenges (Memarian & Brown, 2003).
In a research conducted by Behbod et al., design strategies responsive to the
climate in hot and dry areas of Kashan city were presented. They identified the design
features of the historical context of Kashan in 3 scales, macro, medium, and micro; In
the first level, distance between buildings, enclosed urban environment and narrow
and irregular streets were considered as macro strategies. Review and development
of these traditional urban patterns should be considered in hot and dry cities. Medium
scale strategies cover building form, building envelop, self-efficiency in materials and
optical and thermophysical properties of building envelop in this paper. Sustainable
architecture force us to re-think what we do and synchronize traditional methods
of construction and the use of domestic materials. Finally, micro scale strategies
demonstrate some more relevant architectural design methods which are the same
as contemporary passive systems. As an illustration, old wind-catchers have been
developed into advanced passive cooling systems in recent years. Consequently,
consideration and development of the above strategies allow contemporary architects
and designers to build contemporary architecture in a more sustainable, comfortable
and self sufficient way (Behbood et al., 2010).
134 H. Karimi et al.

It should be pointed out that due to the integrated climatic conditions of the center
of Iran, many of the architectural features and traditional urban planning of Kashan
city are similar to other historical cities such as Shiraz and Yazd. The climate of most
of the central plateau of Iran is hot and dry, and many historic cities that have valuable
architectural designs are located in this hot and dry region. In general, the structures
of this region are logically integrated with nature, and as a result, traditional Iranian
buildings, unlike most modern buildings, are compatible with natural conditions and
have a harmonious relationship with them. The most oppressed deserts in the world
are located in the center of the large and closed Iranian plateau (Keshtkaran, 2011).
Finally, it can be said that the traditional architecture and urban planning of Iran are
largely related to the principles of sustainability, and in this regard, the importance
of studying urban housing plans such as Kashan from the point of view of climate
adaptation doubles (Figs. 1 and 2).

Cooling Air conditioning Heating

• Heavy walls is mud blended with • The pond •Courtyard

straw and adobe • Water cistern •Heavy walls
• Courtyard with thick and to •Wind catcher •Dense urban context
wering walls •Enclosed urban environment •Integrated walls
• The pond and the vegetation •Narrow and irregular streets •Compressed blocks
•Increase shading •Buildings are built in cubic forms •Distance between buildings
•Wind catcher •Narrow and irregular streets
•Dense urban context •Optical and thermo-physical
•Providing shade in alleys and properties of the building
passages envelope
•Distance between buildings
•Buildings are built in cubic forms
•Eyvan and Revak, semi-open
areas, are used to create shady
and cool living spaces during the
day

Fig. 1 Climate challenges and traditional solutions in Kashan

Fig. 2 Historical urban quarter of Kashan city (Based map from Google Earth)
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 135

Cooling Air conditioning Heating

• Balconies • Setting and structuring of •The kitchen is on the top floor

•The kitchen is on the top floor openings •Type of materials
•Windows are built with tiny • Windows are built with tiny •Thick walls by stone
holes holes •Non-use of direct openings
•The heat conductivity of stone •Outdoor courtyards
was used as a factor of cooling •Non-use of direct openings
•Courtyard (rectangular •Orientation of buildings
courtyard)
•self-shading
•Narrow streets
•Outdoor courtyards
•Orientation of buildings

Fig. 3 Climate challenges and traditional solutions in Mukalla

3.3 Mukalla

“Yemen is located at the southern part of the Arabian Peninsula”. North Yemen
and South Yemen were two separate countries; they unified on the 22nd of May
1990 under the name of Republic of Yemen. Since then, Hadhramout is the largest
province of Republic of Yemen. This city is situated in the southern part of the
country. Also, Coastal Hadhramout is located between the Indian Ocean in south
and the plateau in north. Mukalla is placed there. The coastal belt is over 350 km
long. Over years, Mukalla is turned to be the largest and the most important city of
the coastal Hadhramout (Al-Maashi, 1998). The city of Al-Mukalla is located in the
coastal region, at an altitude of 14°5' north and a longitude of 49°20' east, and it enjoys
a pretty Yemeni-like climate, very similar to other coastal towns in Hadhramout. In
the summer, the day temperature reaches 32 °C and while relative humidity might
increase to more than 80% (Baangood & Hassan, 2010). The four ancient quarters
formed the center of the city and appeared in various local style architectures, inter-
faces, decorations, and a variety of vocabulary of architectural elements that may
differ from one region to another. The influence of Indian, Asian and Turkish style
patterns also appears in its public and private buildings. It is more common in vocab-
ulary. Vocabulary and visible elements of the building in the facades, the existence of
a strong architectural experience in providing solutions for ventilation and privacy,
define the requirements of its society, which creates an extraordinary mental and
aesthetic image of the beautiful city and its buildings (Khaled et al., 2016).
136 H. Karimi et al.

3.4 Impact of Climate Issues in Traditional Architecture

in Mukalla, Yemen

The fundamental goals of traditional architecture in Mukalla are practicality, cultural

sensitivity, and resident demands. The following are some of the key design elements:
In order to give families a cool, private place to sleep during the hot summer nights,
balconies were created. Additionally, a unique area is available for celebrations.
Also, the kitchen is on the top floor so that the heat and smoke from cooking don’t
spread to other parts of the house (Baeissa & Hassan, 2011). As many openings or
windows as possible, spaced no more than 30–60 feet apart, are produced on the
walls of rooms. The vertical length of the windows is roughly 182 cm, and they are
positioned 30 cm above the ground floor. These sizable apertures make it simple for
air to enter the structure. To facilitate ventilation, windows are built with tiny holes.
There is a constant flow of air as the warm air rising is sucked out through these tiny
apertures.
The scorching weather was taken into consideration when choosing materials and
how to use them in the construction. Stone is employed because it has low heat
conductivity and can store heat energy. Particularly on lower floors, walls are erected
with a thickness of 30 to 60 cm. As a result, interior rooms see less heat buildup
on hot days. In addition, the building’s massive stone walls keep internal heat from
escaping at night when it is chilly (Baeissa & Hassan, 2011). A natural solution of
the heat issue was solved by the kind of materials and the way they are used. The heat
conductivity of stone was used as a factor of cooling the interiors of those houses.
Building thicker walls enforced this character of stone. The thicknesses of walls (as
thick as two feet at lower levels) allow smaller amounts of heat to penetrate to the
inside of the building. Also, if it ever gets cold, the walls wiU keep the warm air
from escaping through them (Al-Maashi, 1998).
One of the most important solutions to deal with climate challenges is the design
of courtyard-oriented housing in Mukalla city. The courtyard has different shapes
to provide more ventilation and thereby help to reduce the outside air temperature.
The most used in Mukalla city is the rectangular courtyard, so self-shading of the
courtyard reduces the need for cooling by about 4% on average (Baangood & Hassan,
2010). Also The results show that in general the air temperature in traditional houses
is lower than the outside air temperature and in some cases the air temperature is
within the thermal comfort range of Hadhramout. Comparing the results of the air
temperature inside the courtyard shows that with the increase in the ratio of the
dimensions of the courtyard, the air temperature also increases (Abdulla Binthabet,
2007). Research conducted by Rasha Saeed Baangood and Ahmad Sanusi Hassan
revealed more facts about the traditional architecture of Mukala city. They showed
that the Mukala city housing scheme uses narrow streets and outdoor courtyards to
control air temperature and shading percentage by increasing wind speed outside the
courtyard and narrow streets that integrate into the building. Also, the non-use of
direct openings in the first and second layers of the building has helped to control
the wind speed, and the courtyards and passages have been used as ventilation.
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 137

Fig. 4 Historical urban quarter of Mukalla city (Based map from Google Earth)

This research showed that the orientation of buildings in Mukalla city was useful in
providing natural ventilation and was involved in temperature control (Baangood &
Hassan, 2010). But on the other hand, we see the excessive use of glass in the
design of traditional buildings in Makla, which researchers show that due to the
climate changes of the last century and the increase in sunlight, the excessive use
of glass should be reviewed (Figs. 3 and 4). They found the solution. Returning to
the traditional architecture of this region, they see that the openings were indirect
(Al-Sagaf, 2009).

3.5 Riyadh

Saudi Arabia has experienced rapid growth in urban development during the last four
decades with the city of Riyadh transforming from a mud-walled town of 25,000
inhabitants to an international metropolis of 2.5 million. The city belongs to the pre-
Islamic era and has transformed over time with rapid urban development. Since the
1940s the city has changed from an isolated and narrow town to a spacious modern
city. It lies in the centre of Arabian Peninsula on a plateau with an area of around
1300 sq. km (Dhingra & Chattopadhyay, 2016).
The city is located 240 miles from Dammam on the Gulf and 530 miles from
Jeddah on the Red Sea. Riyadh, the Kingdom of Saudi Arabia’s capital, has a sizable
population. This city may be found in Najd. With an elevation of 600 m above sea
level, Najd is a remnant fiord. Due of the fine subterranean water, it is extremely
abundant despite the area’s dry climate (Ragette, 2003). Riyadh’s climate tends to
be uniform, dry and hot during the daytime and cooler at night in summer; in winter,
nights tend to be cold and days are warm. Daytime temperature can reach 45 °C
or more in summer and be as low as 1 °C at night in winter. Rainfall is very low
in Riyadh; the rainy season is from December to April, with an annual average of
100 mm (Al-Hemaidi, 2001).
138 H. Karimi et al.

3.6 Impact of Climate Issues in Traditional Architecture

in Riyadh, Saudi Arabia

In general, the housing plan of the traditional neighborhoods of Riyadh should be

considered as the type of Najd region. A Najd vernacular house can be typified as
square or rectangular with rarely more than one floor. Rooms are arranged around
the central colonnaded courtyard and have small windows. The adobe walls, floors
and roof are between 50 and 80 cm thick, or sometimes even more (Alrashed et al.,
2017). In Riyadh, the courtyard inside the home plays a significant role in improving
the climate and offering seclusion. Most of the time, the yard’s height and size, as
well as how important it is, depend on where the house is and who designed it.
Traditional homes in Riyadh had roof-top porches for cooling off on hot summer
nights. On the first level, there is typically an open space that serves as a living room
in the spring, summer, and fall. A wooden platform is built out of caution above the
house’s entryway. Close to the ceiling of this building, small wedge-shaped holes
are cut out to help with ventilation. The alleyways are small, and the outer walls are
high for privacy reasons. This arrangement creates a structure shaped like a ditch
and offers the most shade. Because of the bright sun, the temperature in places with
shade and places without shade is very different (Akbar, 1980).
In Riyadh, The hot and dry climate, along with the need to separate private spaces
from semi-private and public spaces, led to introverted urban plans (Dhingra &
Chattopadhyay, 2016). The building plan of Riyadh city is such that the buildings
are closer to the ground and are placed together to create a cooler environment. On
the other hand, having houses with courtyards and ventilation spaces on the upper
level caused hot air to rise and convection currents near the ground to cool. Air towers
and inner courtyards are used to increase ventilation and cooling, and mud was the
most important material that played a role in keeping the house cool (Abu-Ghazzeh,
1997; Dhingra & Chattopadhyay, 2016).
The typical houses of Manjed region (Riyadh) are introverted type, the houses
are built around one or more courtyards, which are usually square or rectangular in
pure geometric shape. The courtyard element in the design of Riyadh houses plays
two roles: regulating the small climate and preserving the privacy of family life. As
a microclimate regulator, the courtyard creates three cycles of air movement in the
house, which creates an optimal level of comfort for the residents. The outer walls
of the houses were made very thick to act as insulation against the intense summer
heat. Also houses are generally arranged around courtyards that act as lungs of the
houses to regulate the micro-climate even, houses are compactly designed to play
an important role in shading and reducing heat and sunlight (Figs. 5 and 6). The use
of small openings in the walls to maintain the airflow is also considered one of the
distinctive features of the designer of the traditional houses of Riyadh (Babsail &
Al-Qawasmi, 2015).
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 139

Cooling Air conditioning Heating

• Roof-top porches • Small wedge-shaped holes

•Small wedge-shaped holes • Courtyards •buildings are closer to the
•Small alleyways •Houses are built around one or ground
•High walls more courtyards •ventilation spaces on the upper
•buildings are closer to the level
ground •Thick Walls (outer)
•courtyards •Shading
•ventilation spaces on the upper
level
•Air towers
•Mud

Fig. 5 Climate challenges and traditional solutions in Riyadh

Fig. 6 Historical urban quarter of Riyadh city (Based map from Google Earth)

3.7 Baghdad

Baghdad’s countryside is flat. The city has a sedimentary structure and is situated at
a low elevation above the ocean “The River Tigris cuts across a broad plain where the
city is situated. Baghdad is divided in two by the Tigris, with the western half known
as ‘Karkh’ and the eastern half known as ‘Risafa.’ Due to the frequent, significant
flooding that has occurred on the river, the terrain on which the city is built is nearly
entirely flat and low-lying and is therefore alluvial in origin.”
140 H. Karimi et al.

3.8 Impact of Climate Issues in Traditional Architecture

in Baghdad, Iraq

Thermal comfort is achieved in traditional Baghdadi homes by making efficient use

of available space and selecting the appropriate materials. Sunlight and clean airflow
are provided through the central courtyard. In the courtyard, children were playing
on a daily basis. The courtyard was successful in adjusting the interior microclimate
of the house in Baghdad’s extreme weather, which is characterized by lengthy hot
days in summer, extremely high temperatures, a broad range of daily temperature
fluctuation, and low humidity.
In actuality, the yard controls the temperature. In hot, dry areas, courtyards typi-
cally play a significant role in lowering summertime interior temperature. It runs on
the principles of convection and radiation, two thermal processes (Goodwin, 1985).
The porch and the courtyard’s ground serve as intermediaries between the chilly sky
and the warm interior, with the chilly area rising at the highest point. Two distinct
microclimates were created inside the house, thus the family typically moved from
one division to the other as the seasons changed (Agha & Kamara, 2017). The court-
yard is the home’s breathing structure, controlling the temperature and supplying
ventilation. In order to offer shade in the yard, there are typically sunshades or trees.
There are also ponds and fountains to add moisture on dry hot days.
South-facing “Iwans” and “Tarma” (varieties of porch) were used in the winter
since the sunlight warmed them. In the summer, the household relocates to cooler
areas like the basement because these areas are warmer. According to Warren and
Fethi (1982), the ridge and courtyard ground have very different temperatures. The
courtyard ventilates all staircases perpendicularly. The upper levels are hot and
uncomfortable in summer (Jasim, n.d.). The cool basement has a water storage
cistern, or “Sardab.” The “Talar” and “Ursi” sections orientated south or west were
not occupied, even at the courtyard level, because the afternoon sun made them too
hot (Al-Azzawi, 1996). Shanasheels can let air through. When the sliding belts are
open, air flows freely across the window. Shanasheel has another cooling function:
as these windows are made of wood, sunlight would warm the air near them. The
rising hot air naturally cools the room. “Shanasheels” provide daylight and fresh air.
The street-facing ground-floor walls are made of lumber. The Shanasheel, Ursi, and
interior panels are glazed and latticed. These walls have a high heat conductivity, so
rooms on this floor are rarely utilized in the summer (Allan, 2012). Three-fronted
dwellings are densely packed. A thin passage between them shades the street-facing
front of the house. Masonry walls help regulate the home’s temperature (Warren &
Fethi, 1982). Baghdad’s scorching summers make the shade a must. The residences’
principal courtyards had sunshades. The scorching summers in Baghdad necessitate
the use of shade. Therefore, the principal courtyards of the residences are equipped
with sunshades to provide relief from the heat. As a result, the courtyards are cooler
and more comfortable on hot summer days. This practice of providing sunshades
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 141

helps to mitigate the effects of the extreme heat in Baghdad, making outdoor spaces
more habitable during the summer months.
A high-columned awning called “Tarma,” which is positioned around the rooms
on the ground floor, is another mechanism for raising the temperature. This structure
keeps the chamber from getting direct sunlight from above in the summer (Figure 13;
Warren & Fethi, 1982), but it doesn’t have much of an effect on the low-angled
sunlight in the winter.
Ventilation or providing air movement is also an important factor in providing
comfortable weather inside the house. Ventilation is implemented by shades, open-
ings and lattices. But there is another effective mechanism for efficient ventilation
which is called “Badgir” or air-scoops. In traditional Baghdadi houses, “Badgir” is
an important discriminative item. This item has been specifically designed to capture
the dominant north-western winds in Baghdad region. The air is vacuumed down to
the room through a tube. This air has been cooled when it passed this shaft before
reaching the down. Although the temperature would be greater than the air temper-
ature of the basement and this is less humid, still waving out the air from the room
will take out the exhausted air and improves the atmosphere. Without Badgir the
rooms in the basement are cold and unpleasant during the winter. But, the shutters
of “Badgir” which are openings to the outside air carry warmed air into the space
and enhance the temperature of basement space.
The “Badgir” ventilation system, which is used in Baghdadi traditional homes,
was mentioned in the previous section. These air scoops supply fresh air flow to the
basement and semi-basement regions. This architectural feature has a vertical duct
with a substantial external thickness. The roof-top entrance of the vertical shaft is
integrated into the bulwark wall. The basement and semi-basement are both acces-
sible through the scoop’s outlets, in addition to Talar. Talar may feature multiple
air-scoops due to its size.
Shade, the choice of materials, and air flow are the three most important things
in the design of the house that affect the climate. The house’s orientation is crucial
because it creates microclimates in various areas that the family may move to as the
seasons change. Living arrangements alter around September or April. As winter
began in September, the family relocated to south-facing rooms with more heat and
sunlight. On the other hand, they relocated to the northern rooms around April or
May. Daily living space and sleeping space differ during the summer. The family
spent the day in the lower-level areas before moving to the roof porch at night (Figs. 7
and 8). So, on hot summer nights, the roof doubles as a bedroom. Additionally, three
frontages connect the residences, acting as a heat buffer (Figure 15; Warren & Fethi,
1982).
142 H. Karimi et al.

Cooling Air conditioning Heating

• Central courtyard • Central courtyard

•The porch • Ponds and fountains • Appropriate materials
•Sunshades or trees •Shanasheel • Central courtyard
•Ponds and fountains •Openings and lattices •South-facing "Iwans" and
•water storage •Badgir "Tarma" (varieties of porch)
•Basement •House's orientation •Badgir
•Shanasheel
•Shading
•Badgir

Fig. 7 Climate challenges and traditional solutions in Baghdad

Fig. 8 Historical urban quarter of Baghdad city (Based map from Google Earth)

4 Discussion and Implications

In this study, the research was conducted based on the following steps: Firstly, the
study is organized according to the aim of the research. An investigation of the
problem needs to identify information resources and collect them. Afterward, data
is collected based on the qualitative procedure. The literature review is completed
based on books, scientific journal articles, thesis proceedings, and websites. The field
study in Kashan is analysed based on the observations and the author’s impressions
and written data. Finally, the collected data is analysed, compared, and discussed
with regard to the purpose of the study. Table 1 shows the results of an analysis
done on both of these to learn more about how climatic architecture works in both
traditional and modern settings.
A close examination of Table 1 reveals several important findings of this research.
First, by comparing the features related to the climate factor of contemporary and
traditional architecture, it is realized that in the Middle East, with the expansion of
urbanization and the need for rapid urban construction and development, factors such
as climate conditions and energy are ignored. This fact can be understood when we
consider the four cities studied in this research as many cities in this region. So, it is
shown in table one that many features of native architecture and urban planning in
the Middle East were victims of the rapid and affordable development of the modern
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 143

Table 1 Features of traditional and contemporary architecture in selected cities with regards to
climatic factors
Cities Feature related to climatic Feature related to climatic factor contemporary
factor in traditional architecture
architecture
Kashan 1. Water and trees and 1. Contemporary Buildings has no specific
mud-brick for evaporative orientation (Diba, 2012)
cooling in a courtyard 2. Using mechanical and electrical systems for
(Rahmi, n.d.) cooling and heating and also makes located kitchen
2. Shaded areas in the near living spaces but in small size (Daneshjoo &
courtyard (Ivan) (Naseri & Farahani, 2013; Shirazi et al., 2018)
Farsani, 2022)
3. Surrounding the courtyard
with high walls reduced the
floor warmth (Eskandari,
2011)
4. Using open areas during the
day (Leylian et al., 2010)
5. Summer and winter rooms
(Naseri & Farsani, 2022)
6. Using Badger as an element
for cooling (Farshchi et al.,
2016)
Riyadh 1. Traditional house has a 1. They are semi-detached or detached building and
private courtyard for thermal exposed to sunlight (Al Asadi et al., 2020)
comfort (Yakovlev, 2021) 2. The openings are not protected, which is against
2. The houses are close to the rules for climatic matters (Al-Saif, 1994)
each other (cUthmān, 2020) 3. The design of the window is useless, and they use
3. The streets are so narrow to mechanical and electrical elements such as fans and
protect from the straight ACs for thermal (Sayigh, 1981)
sunlight (Al-Solaiman, 2022)
4. The windows are protected
and called Mashrabieh (Al
Asadi et al., 2020)
5. Roof-top porch on hot
nights of summer is used for
cooling (Al-Ibraihm, 1996)
Mukalla 1. Main material is stone, and 1. The primary material for contemporary
there are wooden grids construction is reinforced concrete (Nasser
(Khaled et al., 2016) Barashed & Essa, 2008)
2. Roof terrace for sleeping in 2. Using an electrical and mechanical system for
hot summer (Nasser Barashed cooling and heating (Baangood & Sanusi, 2017)
& Essa, 2008)
(continued)
144 H. Karimi et al.

Table 1 (continued)
Cities Feature related to climatic Feature related to climatic factor contemporary
factor in traditional architecture
architecture
Baghdad 1. The house separated 1. In front of the house is a garden which surrounds
between the summer part and the house from one or two or three side (Hasan &
winter part (Hasan & Hassan, Hassan, 2020)
2020) 2. The contemporary houses cooling and heating is
2. Courtyard has the thermal by a ceiling fan, a liquid-cooling system (Al-Hasani,
function in the house 2012)
(Al-Saffar, 2020) 3. Large windows without any protection (Al-Saffar,
3. Takhtaboosh, tarma, is for 2020)
thermal comfort in traditional
houses (Akram et al., 2016)
4. Badger is an element for
cooling the basement for
summer (Khaled et al., 2016;
Ramdan et al., 2020)
5. Roof terrace for summer
sleeping (Khaled et al., 2016)
6. Shanasheel is used for
cooling (Al-Hasani, 2012)

world. However, this fact can be seen in the weakening of the identity and native
culture of the Middle East on a large scale.
Second, Table 1 and even Figs. 2, 4, 6, and 8 show the strategies and design
indicators of the traditional neighborhoods of the studied cities, which, despite the
differences, many commonalities can be found. In the first place, this is due to the
almost similar climatic conditions of the cities of Kashan, Mukala, Riyadh, and
Baghdad, and in the second place, it can be caused by the common Islamic culture
in these areas. As shown in Table 1, the courtyard, both centrally and externally, has
been an essential element of traditional design and architecture in the Middle East.
This research showed that in urban planning and traditional architecture of the Middle
East, such as the cities of Kashan, Mukala, Riyadh, and Baghdad, courtyards are used
to increase humidity, and ventilation and keep the environment cool. The importance
and role of the courtyard in adapting to the climate of the traditional houses and cities
of the Middle East have been presented in various research in support of this study
(Abdulkareem, 2016; Ayhan & Neslihan, 2011; Bekleyen & Dalkılıç, 2012). Also,
Table 1 reveals that in the foundation of the structure of the 4 studied cities, natural
elements were of high importance. In fact, the traditional architecture of these cities,
which is the result of years of experience and trial and error, has used nature itself to
deal with natural challenges. Something that is no longer seen in the contemporary
development of these cities. Using local materials, mud, using water (pond), and trees
in the semi-private spaces of houses and controlling airflow is the most important
way to get help from natural elements in these cities that this research found.
8 Traditional Dwellings in Four Middle Eastern Cities: Adaptation … 145

5 Concluding Remarks

The traditional architecture of these regions has been transformed into contemporary
construction. This design typology does not match the weather conditions of these
four cities. Passive heating and cooling strategies are also overlooked in contem-
porary architecture. Efficient designs such as implementing different spaces as cool
and warm sections are not observed in contemporary homes. Therefore, ventilation
in contemporary homes needs a lot of energy from fossil fuel resources. These days,
the natural fossil fuel resources are being faced with being finished. It could cause a
big problem for the humans who live in the world for a living. Our analysis declared
that in traditional examples of houses in these cities, natural resources were effec-
tively used for heating and cooling. For example, in traditional houses of Kashan and
Baghdad, which were analyzed before, summer and winter living spaces are imple-
mented. These sections have different orientations regarding the sun, which makes
them cool during the summer or warm during the winter. In the contemporary archi-
tectural examples explained before, there is no specific solar-oriented space. Another
essential characteristic is wind towers. The wind tower uses a passive mechanism
to circulate the cooled air into the interior spaces of the building. Conversely, in
contemporary homes, this ventilation is done by an air conditioning system using
energy, so spending money is not affordable for everyone. Furthermore, the exam-
ples of traditional houses in Mukalla and Riyadh feature roof spaces to be used at
night in summer for sleeping. Basements in Kashan traditional example and Baghdad
traditional example have ponds, and they are used as cool spaces during the summer.
Also, this research was able to show that there are many commonalities between the
4 studied cities in terms of design and policies adaptable to climate challenges, which
are shown in Fig. 9. It should be added that the findings of this research can famil-
iarize today’s policymakers, architects, and urban planners with traditional useful
strategies and strategies adapted to the climate and encourage the private sector to
use them again. It should be added that the most important limitation that this research
faced was the lack of information and related research in the cities of Mukala and
Riyadh. Finally, it could be concluded that both climatic factors and privacy issues
were considered in the design of traditional houses in the past. However, the pattern
of contemporary homes is almost identical in all regions without considering such
matters. People in the contemporary period need to reconsider their design style by
using traditional design characteristics as a benchmark.
146 H. Karimi et al.

Fig. 9 Common Strategies

and elements of adaptation to
the harsh climate in the cities Heavy and
of Kashan, Mukala, Riyadh, tall walls
and Baghdad
Narrow
Coartyards
passages

Kashan,Muk
alla,Riyadh
and
Baghdad Native
Shading
materials

Wind Natural
tower elements

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Chapter 9
Urban Thermal Environment Under
Urban Expansion and Climate Change:
A Regional Perspective from Southeast
Asian Big Cities

Can Trong Nguyen, Amnat Chidthaisong, Rungnapa Kaewthongrach,

and Wijitbusaba Marome

Abstract Southeast Asia (SEA) is a hotspot of rapid urbanisation and climate

change, which is supposed to influence millions of people. They altogether exac-
erbate urban thermal environments and amplify urban heat islands (UHIs). The
chapter provides a comprehensive assessment of urban warming trends in SEA big
cities over the past thirty years in a connection with urban expansion and climate
changes; of which climate change is represented by temperature extremes as an addi-
tional element deteriorating UHIs. It reveals a significant warming trend in nighttime
extreme indices across the cities against daytime indices. Manila and Kula Lumpur
have confronted the most prominent temperature variations. There were drastic trans-
formations in urban areas, urbanisation patterns, and landscape characteristics during
urbanisation. The fastest-growing cities during this period are Jakarta, Bangkok, and
Ho Chi Minh City. The degradation of the urban thermal environments was also
confirmed via spatiotemporal escalations of land surface temperature (LST) and
surface UHI (SUHI) over time. The aggravation in urban thermal environments was
mainly driven by urbanisation-related elements and temperature extremes as a back-
ground climate factor. The changes in surface characteristics are the main driving
factors across the cities. Yet, the stimulations of climate on thermal environment

C. T. Nguyen (B) · A. Chidthaisong

The Joint Graduate School of Energy and Environment, King Mongkut’s
University of Technology Thonburi (KMUTT), Bangkok 10140, Thailand
e-mail: [Link]@[Link]
C. T. Nguyen
Faculty of Engineering, Prince of Songkla University (Hatyai campus), Songkhla 90110, Thailand
C. T. Nguyen · R. Kaewthongrach
Space Technology Research Center, Geo-Informatics and Space Technology Development
Agency (GISTDA), Chonburi 20230, Thailand
W. Marome
Thammasat University Research Unit in Urban Futures and Policy, Pathum Thani 12121, Thailand
Faculty of Architecture and Planning, Thammasat University, Pathum Thani 12121, Thailand

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 151
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
152 C. T. Nguyen et al.

degradation are uneven among the cities. Ho Chi Minh City, Jakarta, and Manila
are the most vulnerable cities due to combined impacts rather than others. It verifies
the integrated impacts of climate change and urbanisation on urban microclimate
change, it therefore should have long-term strategies to mitigate the adverse effects
of SUHI. The general principle is to reduce horizontal urban expansion, ensure urban
spatial planning and urban green spaces, and mainstream climate change adaptation
into urban planning.

Keywords Climate changes · Megacities · Southeast Asia · Urban heat island ·

Urban expansion

1 Introduction

Southeast Asia (SEA) has seen significant urbanisation since the middle of the
twentieth century. Along with urban expansion, natural landscapes are increasingly
encroached upon by urban features. It causes a difference in temperatures along
the urban–rural gradient, called urban heat islands (UHIs) (US EPA, 2008). The
urban heat island phenomenon is one of the most concerning problems in urban
areas since it causes thermal discomfort, heat-related morbidity, mortality, and high
energy consumption for cooling demand (Nguyen et al., 2021a; Santamouris, 2020).
With global warming and further urban development, the UHI phenomenon will
be likely deteriorated. It means urban thermal environments will be more severe
because of the integrated impact of continuing urban expansion and global warming
(Fig. 1). However, as indicated by Chapman et al. (2017) only about 14% of the
existing studies have assessed urban expansion and climate change interactions on
urban thermal environments such as land surface temperature (LST) and UHIs.

1.1 Rapid Urbanisation

After the colonial periods, many Asian countries immediately rebuilt their countries.
Most countries have rapidly developed with intensive urbanization, increased popu-
lation, and industrialisation in the primate cities. However, the outstanding develop-
ment of the economy in Asian countries only began in the 1980s. Such a transition
was even faster than in some western regions (Yamashita, 2017). Mingxing et al.
(2014) revealed that the annual growth rate and economic growth rate in SEA from
1980 to 2010 were always higher than that in other regions. An assessment based
on population growth and economic development (GPD per capita) indicated that
Singapore, Brunei, and Malaysia have a high urbansation level; Cambodia, Timor
Leste, Vietnam, Laos, and Myanmar have a less advanced economy with medium–
low urbanisation; Thailand, Indonesia, and the Philippines place between these two
nation clusters (Yap & Thuzar, 2012).
9 Urban Thermal Environment Under Urban Expansion and Climate … 153

Fig. 1 Conceptual framework about interactions between urbanization, climate change, and urban
microclimate change (Source Authors’ own creation)

SEA is relatively dynamic regarding population growth since this region is the
third-highest subregion by population in the Asian continent. Its population was
about 662 million in 2019, with half of the population living in urban areas (United
Nations, 2019). The urban population is expected to reach 56% in 2030, in which
Brunei, Indonesia, Malaysia, Philippines, and Thailand will become spotlights of
regional urbanisation in the next ten years. Currently, SEA holds three out of 33
megacities worldwide, including Manila (13.4 million), Jakarta (10.5 million), and
Bangkok (10.1 million). The region is also home to 4 of the 48 cities with 5–10
million residents. These cities were Ho Chi Minh city (8.1 million), Kuala Lumpur
(7.6 million), Yangon (5.2 million), and Singapore (5.8 million). These are expected
to be the next megacities in the future (United Nations, 2019).
Spatial-based assessments on urbanisation (simultaneously or separately)
revealed a consistent trend of rapid urban expansion over time. Schneider et al. (2015)
confirmed the fast urban sprawl in SEA, in which the built-up expansion was even
higher than the regional average (2.0%/year) and Eastern Asia countries, e.g., the
Philippines (2.2%/year), Cambodia (2.9%/year), and Laos (3.2%/year). The robust
urbanisation was also characterized by nighttime light (NTL), which shows the urban
expansion from the centers outwards dominated by the areas of low-intensity NTL
(Min et al., 2018, 2020). During the period 1992–2013, NTL data revealed that Thai-
land, Timor Leste, Myanmar, Vietnam, Laos, and Cambodia developed faster than
the entire SEA, in which Cambodia underwent a remarkable rise of approximately
1,800% (Min et al., 2018).
154 C. T. Nguyen et al.

1.2 Climate Change in SEA and Its Impacts on Urban Areas

SEA is among the most vulnerable regions considering global warming and climate
change impacts. There is clear evidence of an increase in mean near-surface temper-
ature compared to those observed in 1850–1900 as well as precipitation and extreme
events (ASEAN Secretariat, 2021; IPCC, 2021a). In the future, regional climate
change will be expected to increase its extremeness. Heat and cold extremes have
been detected in two confidences opposing upward and downward trends, respec-
tively. These trends will continue over the coming decades at a high confidence
level. Despite the warming trend in SEA being lower than the global average, heat
stress impacts are increasingly prominent under the RCP8.5 scenario, especially in
Myanmar, Philippines, Thailand, Vietnam, and inland populous cities (IPCC, 2021a).
Moreover, urban areas and cities are the hotspots of global warming since they are
mostly warmer than the surrounding areas due to anthropogenic heat sources from
human activities, compact urban geometry, and heat trapped in urban materials and
impervious surfaces. These factors can accumulatively increase the urban tempera-
ture by +3.0 °C to +5.5 °C. Within urban and city areas, there is usually a severe
shortage of natural cooling sources, while these landscapes can provide efficient
cooling effects, i.e., water bodies (–0.8 °C to –1.2 °C) and vegetation (–1.6 °C to
–3.0 °C) (IPCC, 2021a).
Although urbanisation is not the main culprit of warming urban thermal envi-
ronments, it remarkably contributes to the warming effect in urban areas against
surrounding areas. The exacerbation of urbanisation on the total warming is from
one-eighth, especially this proportion may reach over a half of the total warming
in some cities in the Eurasian continent. Future urban development will amplify
the urban air temperature regardless of the cities’ background and climate patterns,
especially the warming signal on minimum temperature, which will be even more
prominent than global effects. There will be far-reaching impacts caused by a synergy
between urban expansion and more frequent heatwaves with more hot days and warm
nights. It will negatively push the cities into more extreme conditions when urban
dwellers’ thermal comfort is stressed (IPCC, 2021b).
Therefore, the major research questions leading to this chapter are: How SEA
cities have faced local and global changes in urban sprawl, microclimate, and climate
extremes over the past three decades? Is there an interaction between climate extremes
and urban expansion to urban microclimate change? And, how does this dominance
differ across the cities? The chapter begins by monitoring temperature extremes,
built-up area expansion, and surface temperature changes from 1990 to 2020 before
the interactions among them are then explored to figure out the highlights in each
city. Thereby discussing points that should be noted in urban planning for cooler
cities.
9 Urban Thermal Environment Under Urban Expansion and Climate … 155

2 Materials and Methods

This chapter is concerned with five big cities in SEA in terms of population size,
including three megacities of Manila (MNL: 13.4 million), Jakarta (JKT: 10.5
million), and Bangkok (BKK: 10.1 million) and two other big cities of Ho Chi Minh
City (HCM: 8.1 million) and Kuala Lumpur (KLP: 7.6 million) (Fig. 2). SEA lies
around the low latitude, so this physical pattern contributes significantly to forming
distinctive regional climates. This region is influenced by two climate systems: the
monsoon winds system (i.e., northeast and southwest) and the humid equatorial
climate (Gupta, 2006). The seasonal variation increases in higher latitude regions,
but the average variation of annual temperature does not exceed 5 °C, while the
maritime region’s climate tends to be more stable.
Extreme temperature indices represented climate changes, specifically as global
warming and temperature increase. Observation data collected from weather stations,
especially those placed in urban areas, often face overestimation since it is a result
of a complex interaction (Yaung et al., 2021). Therefore, reanalysis data of TerraCli-
mate was adopted to limit this effect in the calculation of seven temperature indices
of mean minimum temperature (TNMEAN), minimum of minimum temperature
(TNN), maximum of minimum temperature (TNX), mean of maximum temperature
(TXMEAN), minimum of maximum temperature (TXN), maximum of maximum

Fig. 2 Location of selected cities in SEA with dot size presenting population scale and false colour
composite of Landsat images in 2020 within a 30-km buffer region from the nominal city centers
156 C. T. Nguyen et al.

temperature (TXX), and heat index (HI)—a function between temperature and
humidity. The trend of extreme indices was analysed by Mann–Kendall analysis
to recognize the monotonic trend (Sein et al., 2018).
Landsat imagery (i.e., Landsat 5-TM, 7-ETM, and 8-OLI) is the core dataset
to retrieve land surface temperature (LST), surface urban heat island (SUHI), and
delineate urban land use, land cover (LULC) maps. LST was extracted using reflec-
tive information from the thermal infrared band and emissivity based on NDVI
(Normalised Difference Vegetation Index). SUHI was then identified as LST differ-
ences between urban and rural areas, whereas urban–rural boundaries were defined
based on LST changes along the urban–rural gradient (Wemegah et al., 2020).
LULC maps in each city were classified from Landsat multispectral bands and
spectral indices adopted a classification framework introduced by Nguyen et al.
(2022), which releases the dependency of training and validation datasets on field
survey data. Specifically, the training and validation datasets were randomly selected
based on confident regions, which were detected using spectral indices corresponding
to each LULC category (Nguyen et al., 2021b; Tucker, 1979; Xu, 2006). Subse-
quently, the LULC layers were adopted by using support vector machine classifier
(SVM).
Urban features were then extracted for urban expansion analysis to recognise the
main urban sprawl trend in each city, which could be infill, extension, or leapfrog
patterns. Landscape metrics were calculated for both urban and vegetation features
to reflect characteristics of urban and vegetation changes over time, such as AI
(aggregation index), ENN (Euclidean nearest neighbor distance), LPI (largest patch
index), LSI (landscape shape index), NP (number of patches), PD (patch density),
and PLAND (proportion of landscape).
The individual parameter was examined through change detection analysis before
they were scrutinised by Partial Least Squared Regression (PLSR) model with depen-
dent variables of LST and SUHI. The PLSR is also a variable reduction method
similar to principal component analysis. Yet, it considers independent variables with
controls from a/a few dependent variables. Important variables were retained using
variable importance on projection criteria (VIP > 1) to reveal the critical controlling
factors (Lew et al., 2019).

3 Results and Discussion

3.1 Manifestations of Climate Change Through Extreme

Temperatures

During 1990–2020, the SEA cities have seen consistent warming and severity trends
for extreme temperature indices through significant Mann–Kendall analysis and
Thiel-Sen slope (Table 1). The severity is the most evident for heat index and
nocturnal temperatures across the cities.
9 Urban Thermal Environment Under Urban Expansion and Climate … 157

Table 1 Thiel-Sen’s slope presents changing magnitude for temperature-based extreme indices
over the whole period (°C/decade)
Temperature index BKK HCM JKT KLP MNL
HI 0.42* 0.70* 0.43* 0.80* 0.57*
TNMEAN 0.12 0.24* 0.31* 0.35* 0.23*
TNN 0.12 0.30 0.30* 3.70* 0.16
TNX 0.06 0.24* 0.29* 0.33* 0.30*
TXMEAN 0.04 0.05 0.06 0.17* 0.09
TXN 0.04 0.04 0.05 0.19* 0.14
TXX –0.08 –0.07 0.20* 0.20 0.09
Symbol (*) indicates statistical significance

The changes in TN-based indices were more apparent, which were detected in
almost every cities. TNMEAN and TNX are noteworthy regarding the number of
detectable cities with significant enlargements (except for BKK), while TNN has a
relatively higher increasing magnitude than the other two indicators. The warming
trend of TNX was consistently identified across the cities. KLP has experienced the
highest warming among other cities for every nocturnal index. However, the warming
trend in TNN was rarely found, which was only significant in JKT (+0.3 °C/decade)
and KLP (+0.37 °C/decade). The daytime warming was also detected, however,
this change is less significant compared to those observed during nighttime. The
significant warming was only found in KLP (TXMEAN and TXN) and JKT (TXX).
During the thirty years, there have been critical increasese in the city’s daytime
and nighttime temperatures and heat index. These variations were observed through
changes in extreme indices, which describe different temperature aspects. Nocturnal
warming is more apparent compared to daytime warming. However, daytime
warming can be detected when considered together with the corresponding relative
humidity, reflected via heat index. The severity of extreme indices was recognised in
most cities via at least one significant indicator. And, the cities in this region exposed
to high heat index were KLP, JKT, and HCM.

3.2 Urban Expansion and Alternations of Surface

Characteristics

3.2.1 Urban Expansion Trends from 1990 to 2020

The cities have experienced urbanisation along with LULC changes (LULCC) over
the past thirty years to different extents. The primary dynamic is none other than
urban expansion, which is observed through urban sprawl and vegetation shrinking.
The primate city cores in 1990 have expanded outwards by unique forms depending
on each city’s characteristics in terms of geographical location and topography, but
158 C. T. Nguyen et al.

mainly in the flat plains and valleys along transportation systems. These forms of
expansion are prominently observed in BKK, HCM, and JKT (Fig. 3).
In the 1990s, it indicates that BKK held the largest urban areas, about 448 km2 .
It was then followed by MNL and JKT, which were approximately a quarter of the
urban areas in BKK. The urban areas in HCM and KLP only sealed a relatively small
proportion. After thirty years of development, BKK was still the largest metropolitan
in terms of urban areas. There were 1,114 km2 of built-up areas in the buffer zone of
the BKK metropolitan. JKT has rapidly expanded its urban areas to gain an extensive
area of 1,070 km2 and to be the second-largest city. The proportion of built-up areas
in these two megacities is approaching 50%, i.e., 45.3% in JKT and 39.6% in BKK.
Notably, the urbanisation in HCM has considerably developed since the 2010s and
became the next largest city with 694 km2 of urban areas in 2020.
The entire region has experienced rapid urbanisation over the past three decades.
Some cities have made enormous strides over this period, which have been witnessed
through the annual urbanisation growth rate (AUGR). More explicitly, JKT is the
fastest growing city among the others with AUGR = 137%/year. The growth rate
was relatively even throughout the whole period, and it was always higher than
100%/year for each ten-year interval. BKK, HCM, and MNL have relatively similar
characteristics of urban growth, which underwent a moderate-fast urban expansion
with an average AUGR for the whole period of around 75–79%/year. The AUGR
gradually augmented over time and achieved the highest rate in the last ten years.

Fig. 3 Spatial distribution of the expended urban areas from 1990 to 2020
9 Urban Thermal Environment Under Urban Expansion and Climate … 159

Table 2 Proportion of urbanisation patterns in SEA cities over the past thirty years
City Area (km2 ) Proportion (%)
Infill Extension Leapfrog Total Infill Extension Leapfrog
BKK 58.1 555.6 100.0 713.7 8.1 77.8 14.0
HCM 7.8 456.9 181.3 646.0 1.2 70.7 28.1
JKT 12.2 779.3 187.8 979.3 1.3 79.6 19.2
KLP 1.4 334.6 220.6 556.6 0.3 60.1 39.6
MNL 16.7 348.1 75.6 440.3 3.8 79.1 17.2

During the urban expansion, it is similar to others developing cities when the
major urbanisation form is the extension—a new urban area developed at the fringe
of the already developed urban areas. This form always accounts for more than half
of total urbanised areas (Table 2). It even reaches nearly 80% of urbanized areas in
the fastest growing city of JKT (79.6%) and the city with limited potential areas for
urbanisation like MNL (79.1%). Leapfrog form, which develops separately outside
the previous urban areas in the rural areas, is the second main form. Leapfrog is the
popular urbanisation form in the newly developed cities or “young cities” as they
plan to establish new residential areas independently at potential locations in rural
areas (Hong Diep et al., 2021). Then, urban infrastructures connect these “satellite
cities” with the primate city to form a great metropolitan. KLP and HCM are the
prominent cities with a noticeable proportion of leapfrog patterns, 39.6% and 28.1%,
respectively. Infill is the least popular form among the three urbanisation patterns,
which is constructed between already developed areas. It intends to be encountered
in developed and more mature cities such as BKK (8.1%) and MNL (3.8%).

3.2.2 Alterations in Landscape Characteristics

Along LULCC and urban expansion, landscapes have been profoundly transformed
that leading to a significant shift in landscape composition and configuration. The
landscape characteristics of built-up and green spaces are the most sensitive quan-
tities during these transformations, which change towards urban agglomeration and
vegetation fragmentation. The landscape metrics mainly reflect two focused charac-
teristics of area/edge and aggregation/fragmentation (Table 3). In general, the trends
of built-up and green space features are opposite each other.
PLAND and LPI indicate edge and area attributes. It is in line with the findings
of urban expansion and increases in city size since urban PLAND was remarkably
elevated in all cities, approximately 0.73–1.38%/year. LPI also reveals the enlarge-
ment of built-up patches. It is prominent in JKT with PLAND increasing by 1.38%/
year and 1.07%/year (LPI). The large urban patch in BKK and MNL grew faster
than in HCM and KLP. At the same time, vegetation presented the corresponding
shrinking trend over time. JKT, BKK, and KLP have faced considerable degradation
in green coverage. The green spaces in almost every city have also been shrunk into
160 C. T. Nguyen et al.

Table 3 Variations in average landscape metrics for urban features and green spaces
Features Metrics BKK HCM JKT KLP MNL
Built-up AI −0.03 0.05 0.36* 0.49* 0.2*
ENN −1.36* −3.98* −1.29* −1.67* −1.5*
LPI 0.81* 0.41* 1.07* 0.26* 0.63*
LSI 2.31* 3.09* 1.76* 2.52* 1.09*
NP 265* 496* 174* 327* 86*
PD 0.09* 0.18* 0.07* 0.12* 0.04
PLAND 0.78* 0.75* 1.38* 0.75* 0.73*
Green spaces AI −0.26* −0.1 −0.32* −0.12* 0.05
ENN −0.31* 0.14 0.10 0.01 −0.06
LPI −0.68* −0.26* −2.42* −0.59* 0.18
LSI 2.87* 1.27 3.17 1.77 −0.29
NP 266* 118* 295* 120* 16
PD 0.09* 0.04* 0.13* 0.04* 0.01
PLAND −0.74* −0.37 −1.24* −0.50* 0.17
Symbol (*) indicates statistical significance

smaller patches. Notably, the green spaces in MNL have been improved steadily
since 2000, this advance is however insignificant during the considered time.
Landscape aggregation and fragmentation were assessed using LSI, ENN, NP,
PD, and AI. For urban features, there were consistent trends of increasing LSI and
decreasing ENN entire the cities, revealing that built-up patches have developed more
closely together and formed more complex shapes. Among the cities, HCM has seen
sharp changes in NP, PD, ENN, and LSI for urban features. It implies that HCM is
the most dynamic city in terms of quantity, distribution, and shape, becoming more
aggregated, compact, and complex. The same trends were found in JKT, BKK, and
KLP at a lower rate, while the urban development in MNL was relatively moderate.
The vegetation patterns were significantly changed towards increase in fragmen-
tation. There were increases in the number of green patches (NP) and PD in almost all
cities along with the complexity of green spaces (LSI), while LPI declined over time.
The extensive green patches are strongly fragmented into smaller discrete patches
by constructions and residential areas, which then leads to a compounded landscape
with degraded green coverages. JKT, BKK, and KLP have encountered noticeable
vegetation shrinking. It was reported that urban green space per capita in BKK and
HCM has even much improved compared to the first decade of the century, however,
it is still lower than the WHO recommendation (Nguyen & Chidthaisong, 2022).
Meanwhile, the vegetation dynamics in MNL tend to be more stable throughout the
period than in other cities as a sign of urban reforestation.
9 Urban Thermal Environment Under Urban Expansion and Climate … 161

3.3 Escalation in Urban Surface Temperatures

Urban thermal environments observed by LST and SUHI showed deterioration in

both spatial and temporal aggravations (Fig. 4). All cities have increasingly warming
trends and expand the dominated areas occurring in SUHI over the past 30 years.
Long-term observation of spatial changes in SUHI indicated that about one-third
of the total area in MNL (32.9%) and KLP (31.3%) has confronted the prolonged
SUHI (i.e., area with SUHI frequency of higher than 20 years). This region in JKT
and BKK also accounts for a significant share of the area, about one-fourth of the
total area. Besides, the majority of HCM areas are dominated by the newly formed
SUHI with a frequency of fewer than 10 years, about 64.2%. MNL and HCM are the
most severe cities within the last three decades because their annual average LST is
relatively hot, about 26.0 °C and 25.0 °C.
LST and SUHI have significantly increased over time. A group of three cities,
including BKK, JKT, and KLP, has overcome considerable warming in LST, which
varies from 1.23 °C/decade to 1.28 °C/decade. MNL and HCM are more modest when
their LST have been warmer, about 1.17 °C/decade and 1.08 °C/decade, respectively.
The SUHI has been aggravated at a high significance level (p < 0.01) except for
HCM (p < 0.1). MNL is the harshest city with the most intensive SUHI intensity
throughout the time (SUHI ≈ 3.01 °C). The second severe city is KLP with average

Fig. 4 Spatiotemporal changes in SUHI over the past thirty years observed by SUHI frequency
(unit: years), which represents number of SUHI occurrence. Red represents consistent and prolonged
SUHI regions, while green and cyan are new and less prolonged SUHI regions
162 C. T. Nguyen et al.

SUHI intensity of about 2.21 °C. These two cities have apparently overcome the
fastest-growing SUHI intensity, approximately 0.35 °C/decade (MNL) and 0.37 °C/
decade (KLP). They are then followed by JKT (0.23 °C/decade), HCM (0.19 °C/
decade), and BKK (0.15 °C/decade).

3.4 Integrated Impacts on Urban Surface Temperatures

Dominant mechanisms of landscape configuration and climate changes for regional

urban thermal environments are explained by a significant PLSR model (Fig. 5a–b),
with a 62.3% variance of thermal environments described by the first component
(Comp1). Specifically, the first component’s variations of LST are highly interpreted
(R2 = 0.68). The most important variables (VIP > 1) are constituted by landscape
patterns of urban features (NP and PD) and green spaces (AI, LPI, LSI, NP, PD, and
PLAND). Climate extremes also contribute to changing thermal environments by
TNX and TXX. More explicitly, the increases in built-up areas with vegetation frag-
mentation will warm up the LST in a city, while extreme climate such as an increase
in the maximum daytime and nighttime temperatures will exacerbate this severity.
Although the SUHI intensity is less characterized by the considered independent vari-
ables (R2 = 0.22), it potentially explains the escalation of SUHI intensity by most
of the urban features except for LSI and NP, in which urban agglomeration facili-
tates SUHI deterioration. The fragmentation of vegetation represented by PD will
increase SUHI, while increasing the proportion of green spaces is able to diminish
the formation of SUHI significantly. Similar to LST, SUHI is also driven by climate
change via an increase in the nocturnal temperatures of TNMEAN and TNN.
The unique driving factors of SUHI in each city were depicted by separated
PLSR models (Fig. 5c). The SUHI in SEA cities is stimulated by combined impacts
from the dynamics in urban expansion and green spaces and climate changes at
different extents. Urbanisation was detected to highly exacerbate SUHI in MNL and
KLP, reflected by several landscape composition and configuration indicators. This
impact is more moderate in JKT and BKK, where changes in urban aggregation
and morphology tend to adjust the SUHI escalation significantly. In HCM, the key
element controlling its SUHI is the expansion of urban strips. The impact of vegeta-
tion dynamics was found to have a less pronounced impact than urban features. For
instance, it is invisible in MNL, which means the SUHI growths during the period
were not mainly contributed by vegetation changes. In contrast, the increase in SUHI
in JKT was caused by a decline in vegetation proportion, while the fragmentation
of green spaces was the main culprit inducing SUHI in BKK. Noticeably, HCM
and KLP are the places that have encountered SUHI aggravation due to vegetation
shrinking and fragmentation. HCM has undergone a quantitative decline, while the
vegetation coverage in KLP has degraded proportion and fragmentation. With respect
to climate extremes, all cities tend to be influenced by changing climate and ulti-
mately reflecting via SUHI. The most severely affected cities are HCM, JKT, and
 9 Urban Thermal Environment Under Urban Expansion and Climate …

Fig. 5 PLSR analysis shows (a) correlation circle between landscape metrics of built-up and green spaces, climate extreme indices, and thermal environments;
(b) important variable selection; and (c) important variables in each PLSR model to characterize SUHI in each city. Numbers show VIP values; color shades
represent impact tendency (blue: negative and red: positive), and gray cells are insignificant variables
163
164 C. T. Nguyen et al.

MNL, where variations in heat index and nighttime temperatures prominently link
to SUHI formations.

3.5 Implications for a Long-Run Vision Toward Cooler Cities

SEA cities have been undergoing rapid urbanisation causing urban thermal environ-
ment changes throughout the cities. It will worsen due to unceasing urban expansion
and the amplification of climate change. Therefore, an insightful understanding and
long-term strategies to mitigate UHIs are essential, which could achieve by control-
ling each corresponding element. In general, the urban sprawl in developing cities
in the global South and megacities is dominated by infrastructure-led development
(ILD), e.g., built-up mainly expands along the transportation systems in BKK, HCM,
and MNL. In addition to its benefits in connecting development nodes and resource
frontiers, ILD raises different socioeconomic and environmental issues, such as high
land budget demand and daunting land acquisition (Sisson et al., 2018). ILD also
causes uncontrolled urban growth because this urban sprawl form often goes beyond
the administrative boundary, e.g., the Thailand Eastern Economic Corridor (Can et al.,
2021). Therefore, urban and land use plans should be considered at regional levels
and cross-boundaries rather than individual counties to better manage urban devel-
opment and then impede UHI growth. Uniform urban growth among primate and
secondary cities should be encouraged to relieve burdens for megacities, especially
migration waves for jobs that may lead to unintended development of infrastructures
due to shelter demands. It ultimately causes UHIs because of an increase in built-up
areas.
Built-up areas in all cities drastically expand horizontally. This expansion will
gradually encroach on neighboring areas, especially in green/blue spaces such as
forests, agriculture, and wetlands. Besides, the nominal mature cities of BKK, MNL,
and KLP expanded mainly by infill form, which is hotter than the other two patterns
(Zhang et al., 2021). Therefore, constructions between already urban areas in these
cities should be carefully considered as to whether they should be for construction
or green space conservation to mitigate UHIs. Compacting urban areas by vertical
increase with height-rise buildings, multifunctional stories, and apartments are also
a potential solution to prevent further expansion outwards. However, it should be
thoroughly considered urban morphology and ventilation to avoid adverse effects.
Especially, the severity of nighttime temperatures in HCM, JKT, and KLP is a crit-
ical sign implying the problem in urban morphology and compactness, which need
prompt attention to avoid accompanying consequences.
There is a scarcity of urban green spaces presently in SEA cities. The reduction
rate of green spaces is speedy, and the remaining green spaces are also degraded
and severely fragmented. Although the governments have made efforts to improve
average green space per capita, it is still lower than the recommendation. Therefore,
urban green space areas need to optimize in the downtowns of these cities. Also, the
9 Urban Thermal Environment Under Urban Expansion and Climate … 165

concept of ecosystem services should be strengthened and integrated into land use
planning and urban green infrastructure projects to mitigate UHIs.
Presently, it is relatively rare for a developing city to mainstream global warming
and climate change into urban planning since it is not a main diver of urbanisation. Yet,
climate change along with urbanisation is supposed to influence the urban thermal
environments significantly to different extents in each city. It should incorporate
climate change into the master plan as an important challenge to address throughout
the development of vulnerable cities due to climate changes (e.g., HCM, JKT, and
MNL). Subsequently, there is appropriate design planning for temperature changes
and SUHI formation and the risk of sea-level rise, urban inundation, and tropical
storms to sustainably develop toward more livable cities.

4 Concluding Remarks

Climate change through global warming plays as an additional driver along with
urban expansion and alternations in surface characteristics exacerbating urban
thermal environmental changes. A warming trend was found in entire SEA cities
regardless of daytime and nighttime, of which MNL and KLP have confronted the
most prominent noctural variations. All the cities are relatively dynamic in terms
of urban development with dramatic transformations in urban areas, urbanisation
patterns, and landscapes. The fastest expanding cities are JKT, BKK, and HCM. The
degradation of the urban thermal environments was also confirmed via escalations
of both LST and SUHI. The aggravation in thermal environments was mainly driven
by urbanisation-related elements and climate change as a background climate factor.
The surface changes are the main driving factors across the cities. Yet, the stimula-
tions of climate on thermal environment degradation are uneven among the cities.
The most affected cities by climate changes are HCM, JKT, and MNL, these cities
therefore are supposed to be more vulnerable due to combined impacts than the other
cities.
Climate change is considered as a return effect, further amplifying the urban
thermal environments, even though the forward effect of urbanisation on near-surface
temperature is widely accepted. The urban thermal environments in SEA cities are
dramatically affected by the integration of both climate change and local transfor-
mations from urban development. Therefore, they should have suitable strategies to
mitigate UHIs growth by controlling horizontal urbanisation, introducing ecosystem
services of urban green spaces, implementing urban green infrastructure projects, and
developing climate change resilience interventions. Yet, it is necessary to adjust flex-
ibly for each city depending on its characteristics and priorities. For example, dense
cities need to firstly improve the green space per capita, while climate change-prone
cities need to immediately develop adaptation and response strategies.

Acknowledgements This work was supported by the Petchra Pra Jom Klao scholarship of King
Mongkut’s University of Technology Thonburi (No. 09/2562).
166 C. T. Nguyen et al.

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10.1007/s10661-021-08890-w
Chapter 10
Climate-Responsive Designs to Enhance
Outdoor Thermal Comfort in Urban
Residential Areas

Tingting Yuan, Hongyun Qu, and Bo Hong

Abstract Our study aims to determine relationships among microclimate, outdoor

thermal perception, and residents’ behavior in a residential area in Xi’an, China.
Four typical open spaces in the residential area were investigated using meteoro-
logical measurements, questionnaire survey, and behavioral records to determine
how individuals’ thermal comfort relates to their outdoor activities. Physiological
Equivalent Temperature (PET) was applied to quantitatively determine the outdoor
thermal benchmarks in Xi’an, and climate-responsive strategies for open spaces were
proposed based on thermal benchmarks. Results showed that: (1) spaces differed
significantly in air temperature, wind speed, solar radiation, globe temperature, mean
radiative temperature, and PET, but not relatively humidity, (2) in summer, residents
preferred activities in shaded environments and attendance was inversely linearly
related to PET, and (3) optimum design strategies for open spaces were proposed to
consider shelterbelts, shaded facilities, plants, water, and underlying surfaces. These
results will help urban designers improve their understanding of the relationship
between behavior and thermal comfort and provide design advice for open spaces in
residential areas in China’s cold region.

Keywords Outdoor thermal comfort (OTC) · Bioclimatic design · Residential

areas · Outdoor activity · Physiological Equivalent Temperature (PET) · China’s
cold region

1 Introduction

More than half of the world’s population lives in urban areas, and most live in
residential communities (UN, 2014). This is particularly true in China, a country
with a relatively high population density in the world. Well-designed urban residential
areas offer a high degree of comfort that improve the quality of the residential space

T. Yuan · H. Qu · B. Hong (B)

College of Landscape Architecture & Arts, Northwest A&F University, Yangling 712100, China
e-mail: hongbo@[Link]; hongbo@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 169
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
170 T. Yuan et al.

and the livability of cities (Klemm et al., 2015). High-quality outdoor space can
attract more residents to have outdoor activities and increase their use of outdoor
space while reducing energy consumption. There are many factors influencing the
quality of residential outdoor spaces. Among them, outdoor thermal comfort (OTC)
is the most important (Eliasson et al., 2007; Lai et al., 2014b; Zhao et al., 2018). Types
of outdoor activity of residents are closely related to the thermal environment and
thermal comfort of these spaces (Mi et al., 2020). This correlation is of significance to
urban designs (Lenzholzer et al., 2013). Recently, researchers have begun to consider
how to create appropriate open spaces to assure human thermal comfort during
outdoor activities. Existing studies have shown that spatial design and function as well
as people’s responses to their physical environments may influence their perception
and use of outdoor environments.
The outdoor thermal environments are greatly affected by design quality. Many
studies assessed shade on urban streets through the height/width (H/W) ratio (Yin
et al., 2022). Lin et al. conducted a study on campus and found (intuitively) that
shade-free areas are more likely to be hot in summer compared to high-shade areas
and that people in these regions were more likely to feel thermal discomfort (Lin
et al., 2010). Hwang et al. reported that slightly shaded areas increase the frequency
of high temperatures, especially at noon. Moreover, the thermal comfort with shade
in summer was the best indicator of the use (Hwang et al., 2011). Mahmoud further
demonstrated that when thermal conditions were warm or hot, people were likely to
move from places with full sunshine to cool spaces (Mahmoud, 2011). In general,
thermally comfortable open spaces can encourage residents to participate in outdoor
activities better and increase usage (Huang et al., 2019).
In addition, most detailed microclimate analyses and OTC assessments in China
have been carried out in urban squares, parks, and campuses (Chen et al., 2015; Lin,
2009; Lin et al., 2010). Results to date have shown that psychological adaption and
behavioral adjustment have significant influences on thermal comfort (Lin, 2009;
Nikolopoulou et al., 2001). Studies that investigate how psychological factors influ-
ence thermal comfort have found that experiences in a specific space in a specific
season may change people’s thermal perception (Knez & Thorsson, 2008), and resi-
dents may adjust their thermal expectations among seasons (Lai et al., 2014b; Ng &
Cheng, 2012; Shooshtarian et al., 2018). Some studies have demonstrated that the
number of users is closely related to the thermal environment (Eliasson et al., 2007;
Lin, 2009). Generally speaking, the number of visitors to spaces in cool seasons is
positively related to air temperature (T a ) or mean radiant temperature (T mrt ), but it
is negatively related to these parameters during hot seasons (Lin, 2009; Lin et al.,
2012). Some have indicated that the utilization rate of outdoor spaces reaches its
maximum under neutral thermal sensation in autumn (Lai et al., 2014b).
Ever more studies concerning thermal comfort have demonstrated the necessity
of studying OTC in different climate regions. However, most studies in China have
focused on severe cold regions (Chen et al., 2018, 2019), hot summer/cold winter
regions (Chen et al., 2015, 2019) and hot summer/warm winter regions (Fang et al.,
2019; Zhao, et al., 2016). There have been relatively few studies in the cold region.
China’s cold regions have unique climatic characteristics (cold and dry in winter, hot
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 171

and humid in summer) that can induce significant differences in people’s thermal
perceptions. Studies about thermal comfort assessment in cold regions have mainly
focused on parks (Huang et al., 2021; Ma et al., 2021) and campuses (Niu et al.,
2020; Zhang et al., 2021), but have rarely involved the thermal comfort of open
spaces in residential areas. Compared with other urban public open spaces, spaces in
residential areas in cold regions have unique microclimate, user population attributes,
and spatial features and the users display different behavioral modes (e.g., seasonal
adaptations, activity types, and behavioral habits). Hence, it is necessary to study
thermal comfort in residential areas in cold regions.
Relationships among microclimate, thermal perception, and residents’ behavior
in residential areas are expected to provide guidance and improve outdoor space
design, planning, and practices in residential areas. We studied these features in
outdoor spaces within a residential community in China’s cold regions in summer.
The objectives of our study were to (1) determine the relationship between the outdoor
thermal environments and the behavioral activities and spatial use of residents, and
(2) propose a summer thermal calendar to provide a reference for space optimization
strategies based on thermal comfort benchmarks in residential areas.

2 Methodology

2.1 Study Area

According to Koppen’s climatic classification, Xi’an is located at the boundary

between semi-arid (BSk) and humid subtropical climate zones (Cwa) (Peel et al.,
2007). The study area belongs to the subtropical humid zone which the climate is hot
and humid in summer, but cold and dry in winter. According to meteorological data
from 2010 to 2019, the maximum monthly mean T a occurred in July (28.07 °C),
with a maximum T a of 39.1 °C (Tian et al., 2022).
In this study, the Hengda Community in Xi’an, China (34°15' 44'' N, 108°5' 18'' E)
was chosen as representative of the urban residential area. In this community, most
buildings were multi-story apartments; 32-floor buildings arranged in parallel. The
floor area ratio was 3.3 and the greening rate was 38%. Based on the frequency
of space use and the ratio of landscape elements, we selected four representative
types of outdoor spaces in residential areas: road between buildings (RB), landscape
pavilion (LP), exercise plaza (EP), and waterfront platform (WP) (Fig. 1). Detailed
descriptions, fish–eye photos and sky view factor (SVF) values of the four spaces
are provided in Table 1.
172 T. Yuan et al.

Fig. 1 Site locations and measured spaces

2.2 Experimental Design

2.2.1 Meteorological Measurements

Field investigations were conducted in summer (July 6–8, 2022). Meteorological

parameters, including T, Relative humidity (RH), wind speed (V a ), Global radiation
(G) (and black globe temperature (T g ), were recorded every minute. All instruments
were installed at a height of 1.1 m above the ground (Table 2). The T mrt was calculated
using ISO7726 standards (ISO, 2005).
[ ]1
( )4 1.10 × 108 Va0.6 ( ) 4
Tmr t = Tg + 273 + Tg − Ta − 273 (1)
ε D 0.4

where D is the globe diameter (D = 0.05 m in this study) and 1 is the emissivity (1
= 0.95 for a black globe).
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 173

Table 1 Descriptions of the four open spaces

Site Site characteristic Fish-eye photos
RB This space is an east-west strike and locates on the south side of the
residential building. Melia azedarach is used as the sidewalk planting
and concrete pavement is applied. The landscape elements include
buildings (9%), vegetation (29%), and pavement (62%)

SVF = 0.19
LP The landscape pavilion is adjacent to the main district road on one
side and a plant community with trees, shrubs, and grasses on the
other. The landscape elements consist of buildings (48.56%),
vegetation (9.23%), and pavement (42.21%)

SVF = 0.04
EP The space is dominated by fitness equipment and a rubberized surface
surrounded by a rich plant community with layers of trees, shrubs,
and grasses. The landscape elements consist of buildings (16.32%),
vegetation (25.87%), and pavement (57.81%)

SVF = 0.29
WP Adjacent to the south bank, the surrounding vegetation is dominated
by shrubs. The surface is brick and concrete. The landscape elements
consist of water (10.05%), buildings (13.68%), vegetation (22.83%),
and pavement (53.44%)

SVF = 0.39

Table 2 Technical details of

Instrument Parameter Range Accuracy
meteorological equipment
HOBO onset Air –40–70 °C ± 0.21 °C
U23-001 temperature
Relative 0–100% ± 2.5%
humidity
Kestrel 5500 Wind speed 0–40 m/s 0.1 m/s
DeltaOHM HD Globe –30–120 °C ± 0.25 °C
2107.2 temperature
JTR05 Global 0–2000 W/m2 ± 2%
radiation
174 T. Yuan et al.

2.2.2 Questionnaire Survey

Residents participating in free activities at the study sites were asked to complete
questionnaire surveys while we measured meteorological parameters. Residents who
had activities in the spaces were chosen randomly in the questionnaire survey. Each
one took about 5 min to fill in the questionnaire.
The questionnaire was composed of two parts. Part I collected personal informa-
tion of respondents, including gender, age, height, body weight, clothing insulation,
thermal adaptive behaviors of respondents when they felt hot, and main activity type
in the past 20 min. Clothing insulation was assessed using the ASHRAE standard
55–2017 and ISO standard 7730 (ASHRAE, 2017; ISO 7730, 2005). Respondent
activity type in the past 20 min was recorded to determine the metabolic rate (W/
m2 ).
Part II of the questionnaire investigated thermal perception (sensation, preference,
comfort and acceptability) of respondents. Thermal sensation used the ASHRAE 7-
level scale, thermal preference used the 3-level scale, thermal comfort was recorded
using a 5-level scale and the thermal acceptability vote was selected from a 2-level
scale.

2.2.3 Records of Space Use and Attendance

During trials, the number and types of activities of residents in the four spaces
were recorded by direct observation method (Martinelli et al., 2015; Shooshtarian
et al., 2018). The investigators stood in a position where they could see the complete
measurement space and recorded the number of residents and the type of activity in
the area every 60 min. Only residents who were active in each space for more than
10 min (e. g. walking, running, talking, etc.) were counted in this study to reflect
their true intention to use the space, excluding residents who were only passing by
or temporarily staying.

3 Results

3.1 Descriptive Analyses

3.1.1 Volunteers’ Attributes

In this study, a total of 398 questionnaires were collected, of which 381 were valid.
There were 325 questionnaires filled in by female respondents and 56 filled in by
males. According to statistics, most urban visitors participated in mild and moderate
activities and few participated in high-intensity activities. All respondents have lived
in the studied community for at least one year and they were familiar with the local
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 175

Table 3 Volunteers’
Gender Age
attributes
Male 56(14.7%) <18 44(11.6%))
Female 325(85.3%) 18–65 197(51.7%)
>65 140(36.7%)
Height (cm) Weight (kg)
MAX 186.00 MAX 92.00
MIN 66.00 MIN 20.00
Mean ± SD 157.61 ± 10.08 Mean ± SD 57.85 ± 12.45
Metabolic rate (W/m2 )
MAX 180.00
MIN 50.00
Mean ± SD 94.55 ± 33.42

climate. They all were capable of choosing appropriate clothing according to weather
conditions and objectively evaluating the outdoor thermal environment (Table 3).

3.1.2 Meteorological Parameters

In summer, the maximum mean T a , RH, G, T g , and T mrt were in space WP (37.5 °C,
37.7%, 628.9 W/m2 , 47.0 °C, and 67.3 °C). RH in space WP was the highest, which
is likely because space WP was surrounded by a static pool and continuously running
fountain, providing humidification and evaporation. The mean RH in space EP was
the lowest (33.6%). The mean V a of space LP (0.9 m/s) and space WP (0.9 m/s)
were relatively high compared to those of the other two spaces. Mean V a and mean
T a of space RB that was shaded by sidewalk plants and high-rise buildings were the
lowest (V a : 0.5 m/s, T a : 34.7 °C). The minimum G and T g were in space LP (52.8
W/m2 and 38.1 °C) (Table 4).
We conducted an ANOVA of the mean of meteorological variance (T a , RH, V a ,
G, T g , T mrt ) indicating that all meteorological parameters (T a , V a , G, T g , and T mrt )
except RH differed significantly among four spaces (Table 5).

3.1.3 Space Use, Attendance and PET

During trials, the number of people in the space and their type of activities (e.g.,
sitting, talking, exercising, walking) were recorded every half hour. To study the
influences of the outdoor thermal environment on residents’ activities, the spatial–
temporal distribution map of residents’ activities was plotted for each observation
(Fig. 2).
In space RB, “walking” was the dominant activity type of residents. In space LP,
residents preferred “sitting” and “talking”. In space EP, residents mainly visited the
176 T. Yuan et al.

Table 4 Meteorological variables in each measured space

RB LP EP WP
T a (°C) MAX 38.7 39.5 40.5 41.4
MIN 28.3 29.0 29.1 33.6
Mean ± SD 34.7 ± 3.0 35.5 ± 2.8 36.1 ± 3.4 37.5 ± 2.3
RH (%) MAX 52.6 50.7 50.3 48.2
MIN 20.8 20.2 19.4 26.7
Mean ± SD 36.6 ± 7.3 34.1 ± 7.0 33.6 ± 7.5 37.7 ± 5.3
V a (m/s) MAX 1.2 1.7 1.0 1.6
MIN 0.0 0.4 0.2 0.4
Mean ± SD 0.5 ± 0.3 0.9 ± 0.3 0.6 ± 0.2 0.9 ± 0.3
G(W/m2 ) MAX 853.8 127.9 895.6 935.9
MIN 36.0 14.7 62.1 119.4
Mean ± SD 274.5 ± 293.7 52.8 ± 17.0 562.7 ± 282.4 628.9 ± 225.0
T g (°C) MAX 49.5 41.6 52.0 51.5
MIN 30.4 33.4 32.1 42.1
Mean ± SD 38.9 ± 5.5 38.1 ± 2.0 45.8 ± 6.3 47.0 ± 2.0
T mrt (°C) MAX 68.8 47.6 77.1 80.2
MIN 32.4 38.4 34.9 53.9
Mean ± SD 44.3 ± 10.8 44.0 ± 2.3 61.9 ± 13.5 67.3 ± 6.7

space to “take care of children” and “exercise”. In space WP, residents mainly chose
“exercising” (Fig. 2).
In summer, most residents preferred being active in the morning. With the increase
of T a , the number of visitors in each space during 11:00–15:00 was the lowest but kept
increasing during 15:00–17:00 with a gradual decrease in T a . Attendance in space
RB was higher than those in other spaces, which might be attributed to building shade
on two sides that were present most of the time. Attendance in space WP was the
lowest. We attribute this to it having the highest SVF (0.39) and mean T a (37.5 °C)
as well as small shade in space WP, so that residents were more likely to feel thermal
discomfort. Generally speaking, the attendance of residents in each space decreases
gradually in summer with an increase in PET (Figs. 2 and 3).

3.2 Research for Design

ASHRAE 55 defines thermal acceptability range (TAR) as the temperature range

that at least 80% (normal condition) or 90% (strict condition) of respondents can
accept. In contrast, the local temperature is not acceptable to only 20% or 10% of
respondents are unacceptable. In this study, the temperature range that was accepted
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 177

Table 5 Results of analysis of variance (ANOVA) for meteorological variables

Variable Sum of squares df Mean square F Sig
RH Between Groups 152.42 3 50.807 0.758 0.518
Within Groups 25,253.51 377 66.985
Total 25,405.93 380
Ta Between Groups 880.54 3 293.513 25.143 0.000
Within Groups 4400.932 377 11.674
Total 5281.472 380
Va Between Groups 6.779 3 2.26 31.753 0.000
Within Groups 26.828 377 0.071
Total 33.607 380
G Between Groups 16,076,766 3 5,358,922 113.699 0.000
Within Groups 17,768,980 377 47,132.57
Total 33,845,746 380
Tg Between Groups 4898.966 3 1632.989 73.804 0.000
Within Groups 8341.561 377 22.126
Total 13,240.53 380
T mrt Between Groups 32,453.54 3 10,817.85 129.482 0.000
Within Groups 31,497.28 377 83.547
Total 63,950.82 380
PET Between Groups 13,301.47 3 4433.822 105.922 0.000
Within Groups 15,780.89 377 41.859
Total 29,082.36 380

by 90% of respondents was chosen. The thermal unacceptable rate every 1 °C of

PET was calculated and fit into a quadratic polynomial (Fig. 4). Here, other PET
calibrations of thermal sensation vote (TSV) were determined according to thermal
unacceptability of 33.3%, 56.7%, 80% and > 80% (Table 6).
To improve the thermal comfort of open spaces and meet the behavioral needs
of residents in summer, the key design feature is to relieve heat stress. A summer
thermal calendar was proposed and heat stress modes in each space at different times
in summer were analyzed, to provide reference data for a space optimization strategy
based on thermal comfort benchmarks. Considering local climatic characteristics of
a hot and humid summer and cold and dry winter, the design strategy not only
should meet needs for shade in summer, but also should consider access to sunshine
in winter. We realized cooling and humidification by planting abundant deciduous
trees, changing the underlying surface, and building artificial facilities (sunshades
and corridors) as well as water features (e.g., fountains and spraying devices), thus
relieving thermal discomfort and increasing use of the leisure space. The optimal
178 T. Yuan et al.

Fig. 2 Attendance of residents in summer

optimization strategies of the four open spaces were analyzed using thermal corre-
lation. Optimum design examples were introduced in the following text (Figs. 5 and
6, Table 7).
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 179

Fig. 3 Relationship between

attendance and PET in each
space in summer

Fig. 4 Relationship between

the thermal unacceptable rate
and PET
180 T. Yuan et al.

Table 6 PET calibrations of TSV for Xi’an

Thermal sensation Thermal stress PET range (°C)
Neutral (comfortable) No thermal stress 22.84–37.2
Slightly warm Slight heat stress 37.2–47.1
Warm Moderate heat stress 47.1–53.1
Hot Strong heat stress 53.1–57.8
Very hot Extreme heat stress >57.8

4 Discussion

4.1 Outdoor Thermal Environment and Space Use

The thermal environment may influence the behavioral modes of residents depending
on the daily distribution of outdoor activities and participation of residents (Zhao
et al., 2018). Our research showed that in summer, attendance of outdoor spaces in
a residential area had a negative linear relationship with PET, similar to previous
research reporting space use in hot seasons declining as T a increased (Lin, 2009;
Lin et al., 2012). Another study indicated that more than 75% of users preferred cool
places and people were more likely to engage in active pursuits in shaded environ-
ments (Lin et al., 2015). This was consistent with our results that activities of residents
in shaded spaces (space RB) were significantly higher than that in spaces exposed
to sunshine (space WP). Residents had relatively poor tolerance to high summer
temperatures. They cannot tolerate high temperatures and excessive solar radiation
in summer. Therefore, the number of people in all spaces in summer decreased
during 11:00–15:00. This was consistent with what Mi et al. (2020) proposed. We
noted that all four spaces in the residential area were at “slight heat stress”, “moderate
heat stress” and even “strong heat stress” stated most of the time. Only space RB had
the longest period of “no heat stress” due to building shade and its occupation was far
higher than in other spaces. These phenomena suggest that the behavioral activities
of residents depend on the thermal environment and demonstrate the importance of
summer shade even in China’s cold regions.

4.2 Bioclimatic Design

Although numerous studies have indicated that strategic optimization of plants, water,
buildings, and surfaces can provide significant cooling effects and relieve urban
heat islands (UHI), their synergistic effects are not well understood nor tested in
microclimatic studies (Gunawardena et al., 2017). Some studies have reported that
a combination of designs is the most beneficial strategy to provide thermal relief
(Tseliou et al., 2022). In this study, the mean RH of space EP was the lowest, so a
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 181

Fig. 5 Daytime thermal stress in the four open spaces in summer

182 T. Yuan et al.

Table 7 Bioclimatic design strategies suitable for open spaces in the residential area
Spaces Heat stress analysis Optimal design strategies
RB The space has “moderate heat stress” Plant large deciduous trees. In summer,
during 14:00–15:00 and “slight heat deciduous trees can meet shade needs. In
stress” during 15:00–18:00 winter, they lose leaves and allow sunlight
through
Plant evergreen shrubs can both improve
ventilation in summer and hinder cold wind
in winter
LP The space has “slight heat stress” Plant deciduous vines surrounding the space.
during 11:00–18:00 Provide shade in summer and plant
evaporation can increase humidity. In winter,
leaves fall allowing sunshine to reach the
ground
Add spraying facilities on grassy areas to cool
and humidify
Provide movable chairs in the pavilion.
Change the location to meet residents’ needs
for sunlight
EP The space has “slight heat stress” and Add corridor facilities. It can provide shade in
“no heat stress” during 9:00–12:00. As summer; the hollow structure can provide
T a and G increase, the space reaches sufficient sunlight in winter
the “strong heat stress” state during Increase defoliation with a broad-leaved
12:00–18:00 arbor. Deciduous trees provide shaded spaces
in summer and won’t block winter sunlight
after leaves fall off
Add a fountain in the vicinity. Fountains not
only cool and humidify spaces, but do not
hinder the daily activities of residents
WP The space has “slight heat stress” Add removable awnings and water spraying
during 9:00–10:00, then changes to facilities. Awnings block sunshine in summer
“moderate heat stress” during and decrease local temperature. In winter,
10:00–12:00, and to “strong heat they can be removed to meet residents’ need
stress” from 12:00 to 17:00 for sunshine

fountain was added to our recommendation to improve cooling and humidification

effects. Indeed, tall deciduous trees were planted to meet residents’ need for shade.
It has also been demonstrated that thermal comfort can be improved by 15% through
the synergistic cooling effects of trees and fountains (Tseliou et al., 2022). This is
similar to the findings of Mazhar that a combination of vegetation and water pools
could improve comfort (Mazhar et al., 2015). Martins et al. (2016) also suggested
that vegetation and water have clear cooling effects (PET decreased by 7 °C and 2 °C,
respectively) (Martins et al., 2016). Cooling effects when trees are close to the water
were better (Jacobs et al., 2020). We planted deciduous trees and deciduous vines
in space RB, space LP, and space EP to meet residents’ need for shade and improve
the thermal comfort of residents. When assessing the influence of vegetation species,
Zheng et al. (2016) reported that trees (compared to lawns) provided the most comfort
(Zheng et al., 2016). Space WP exhibited “strong heat stress” for a long period. Hence,
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 183

Fig. 6 Diagrammatic sketches of optimum designs of each open space optimal design. a space RB.
b space LP. c space EP. d space WP
184 T. Yuan et al.

we set movable shading structures as well as spraying facilities in space WP to cool

residents and improve thermal comfort. Li et al. (2022) compared three groups of
people in shade, sprayed, and shaded + sprayed and reported that combining shade
and spraying could decrease UTCI most effectively (Li et al., 2022). Some have also
argued that surrounding environments with water cool due to the shielding effect of
trees, fountains, or water sprays (Jacobs et al., 2020).
Different relief strategies have different effects on urban open space microcli-
mates. A study compared the properties and characteristics of different heat relief
strategies and their synergistic effect of these strategies. Results demonstrated that
UTCI of shade, spray, and shade + spray decreased by 3.48 °C, 8.03 °C, and 12.31 °C,
respectively (Li et al., 2022). Taleghani compared vegetation and high-reflective
materials and believed that although both can lower T a , a high-reflectance surface
reflected sunshine causing discomfort. Hence, vegetation was recommended more
as the thermal relief strategy (Taleghani, 2018). The results of a comparative study
(water, vegetation, and high-reflective materials) on a campus of a Northwest China
university. Water surface had a very small effect in decreasing T a and T mrt . High-
reflective materials at the surface had the best cooling effect, while greening did not
contribute to air temperature reduction (maximum 0.3 °C), but it appeared to have
significantly decreased mean radiant temperature (32.1 °C) (Huang et al., 2016).
A study in Greece suggested the opposite conclusion that more water bodies can
provide better improvement for OTC. Such differences may be attributed to different
climatic regions (Gaitani et al., 2007).
Thermal comfort is critical to the outdoor activities of citizens in residential open
spaces. Our findings, such as the behavioral characteristics of space users and thermal
perception in China’s cold region, provided insights for the design of improving
outdoor space utilization in urban designs. It is important to consider not only the
aesthetic functions but also the thermal perception as well as the behavioral patterns
of residents. Residents in cold regions tend to seek sunny areas in winter and shaded
areas in summer to achieve a comfortable thermal environment (Lai et al. 2014a).
In summer, we recommend increasing shaded spaces by planting trees with large
crowns around spaces (i.e., Liriodendron chinense, Aesculus chinensis, and Platanus
acerifolia). Sunlight and shaded spaces should also be considered to provide more
opportunities for residents to interact with the environment, thus increasing their
thermal comfort and usage (Li et al., 2016), and can be achieved by optimizing the
arrangement of thermal mitigation measures such as buildings, vegetation, and water
sprayings. Finally, residents engaged in static activities are more sensitive to thermal
comfort than in dynamic activities. Therefore, the reasonable layout of dynamic
and static spaces should be considered. We suggest setting the static spaces with a
relatively more comfortable microclimate (Mi et al., 2020).
10 Climate-Responsive Designs to Enhance Outdoor Thermal Comfort … 185

5 Conclusions

We investigated the relationship among microclimates, thermal perception of resi-

dents, and behaviors of residents in four common space types in residential areas
in Xi’an, China through physical measurement, questionnaire survey, and behavior
records. Based on the summer thermal calendar, we suggested climate-response
design strategies for open spaces in residential areas based on thermal benchmarks.
We drew the following conclusions:
1. Meteorological parameters (T a , V a , G, T g , and T mrt ) differed significantly among
typical spaces.
2. We found residents used modes of temporal and spatial distributions of outdoor
activities. Activity type differed among spaces. There was a negative linear rela-
tionship between the use of space and PET. Attendance was lower when PET
was high.
3. PET calibration of TSV was very hot (>57.8 °C), hot (53.1 ~ 57.8 °C), warm
(47.1 ~ 53.1 °C), slightly warm (37.2 ~ 47.1 °C) and neutral (22.84 ~ 37.2 °C).
4. We recommend comprehensive vegetation, appropriate surfaces, artificial facili-
ties (sunshade and corridors), and water landscape facilities (fountains, sprayings,
and spraying irrigation facilities) to create comfortable thermal environments in
open spaces in residential areas in summer.
For climate-responsive designs in residential areas, attention should be paid not only
to the function and aesthesis of spaces but also to the thermal sensation and behavioral
modes of users. Relieving heat stress in summer can improve outdoor environments
and meet daily behavioral needs in residential areas. Behavioral needs and thermal
perceptions of residents are different among climatic regions. For example, residents
in cold regions might be more apt to seek shade in summer, and sufficient sunshine
in winter. Hence, we should consider local climatic conditions and residents’ needs
when optimizing microclimatic relief strategies for residential areas. Optimal designs
by combining buildings, vegetation, water, and underlying surfaces are proposed to
effectively relieve heat stress.

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Chapter 11
Dynamic Annual Solstice Patterns
and Urban Morphology: Bioclimatic
Lessons for In-situ Adaptation Measures
within the Warming City of Ankara,
Türkiye

Andre Santos Nouri, José Abel Rodriguez-Algecíras,

and Andreas Matzarakis

Abstract Within the existing literature, there already is a wealthy initiation into
how different types of local adaptation measures can help urban fabrics respond
to increasing temperatures as a result of climate change. Arguably propelled by the
climate change adaptation agenda, different typologies of thermal sensitive measures
are becoming continually more organised and solidified to improve the bioclimatic
responsiveness of the consolidated urban fabric. Along with this growing body of
knowledge, is the recognition that the in-situ efficacy of different measure typologies
in counteracting increasing urban heat levels depends on two interrelated factors,
these being: (1) how well the dynamic microclimatic conditions are assessed and
understood; and (2) how well characteristics such as urban morphology are under-
stood. Following this line of reasoning, in order to be utilised to their full poten-
tial, and moreover avoid symptoms of mal-adaptation, thermal sensitive adaptation
measures must account for the unremitting and symbiotic cause-and-effect between
these factors. Today, it is widely known that mean radiant temperature (MRT) is

A. S. Nouri (B)
Department of Interior Architecture and Environmental Design,
Faculty of Art, Design and Architecture, Bilkent University, 06800 Bilkent, Turkey
e-mail: [Link]@[Link]
J. Abel Rodriguez-Algecíras
Department of Architecture, University of Camagüey, Camagüey, Cuba
e-mail: joserodriguezalgeciras@[Link]
A. Matzarakis
Research Centre Human Biometeorology, German Meteorological Service, 79104 Freiburg,
Germany
Chair of Environmental Meteorology, Faculty of Environment and Natural Resources,
Albert-Ludwigs-University, 79085 Freiburg Im Breisgau, Germany
A. Matzarakis
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 189
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
190 A. S. Nouri et al.

one of the most significant factors upon human thermophysiological thresholds. In

addition, it is furthermore a particularly dynamic variable as a result of the continu-
ously shifting annual solstice. Accordingly, MRT must be understood as a variable
which modifies not just on a diurnal bases, but in addition one which oscillates
throughout the different months and seasons of the year. Depending on the time
of year, as dictated by the Urban Energy Balance, radiation fluxes interact with
the static structures of the urban fabric through different seasonal energy exchange
patterns/quantities. Such an understanding calls upon the approach of both yearly
and different seasonal analytical scopes to better comprehend the symbiotic rela-
tionship of urban morphology and solstice patterns. It permits a finer understanding
of the impacts associated to crucial climatic variables that play a significant role
in human thermal comfort. Invariably, this consequently includes the fundamental
role of in-situ dynamic radiation fluxes that are undeniably dictated by modifying
yearly/seasonal solstice patterns. Grippingly, and unlike encircling air temperature,
MRT can more easily be manipulated through different measure typologies within
the urban fabric, and in addition, presents means to alter the cause-and-effect rela-
tionship with other encircling microclimatic variables. Within this book chapter, a
structured reflection will be undertaken for Ankara, Türkiye—and how an innovative
methodical case study presents bioclimatic lessons pertinent to the crucial role of
in-situ dynamic radiation fluxes within a densifying and warming urban fabric in an
era of growing climate change.

Keywords Physiologically equivalent temperature · Urban morphology · Heat/

cold stress detection · In-situ climatic adaptation · Climate change · Ankara

1 Introduction

Given the continual densification patterns of many cities and the adjoining effects of
climate change upon cities, ensuring urban human wellbeing and safety has never
been as critical. Whether for indoor outdoor environments, such recognition has been
growing extensively as identified in numerous studies (e.g., in Charalampopoulos
et al., 2016; Ebi et al., 2021; Jay et al., 2021; Lomas et al., 2021; Matzarakis, 2021;
Matzarakis & Nouri, 2022; White-Newsome et al., 2012). As a result, the inter-
national community is continually seeking to develop processes of local thermal
sensitive urban design and planning attitudes that salient the direct understanding
of both local microclimatic risk factors, and their symbiotic relationship with urban
morphological characteristics (as discussed in e.g., Alcoforado & Matzarakis, 2010;
Charalampopoulos et al., 2013; Ketterer & Matzarakis, 2014; Nouri et al., 2017;
Oke, 2016; Oke et al., 2017; Rodríguez-Algeciras et al., 2021; Xiong et al., 2022).
Within the concrete context of Türkiye, the study conducted by Can et al. (2019)
identified that within urban fabrics, little work has been done regarding the impacts
of heat related risk factors on humans, including with regards to their intensity and
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 191

frequency rates. Additionally, and as conducted in the top-down based study under-
taken by Ozturk et al. (2015), climate change projections are expected to amplify
such local intensity and frequency levels, particularly during the summer season,
which are already not being correlated effectively with human wellbeing standards
in cities such as Ankara (Nouri, Çalışkan et al., 2022; Nouri et al. 2022). As a result,
and given Türkiye’s considerable climatic variability across the country as a result of
its unique geographical and topographical characteristics (Nouri et al., 2021; Unal
et al., 2003; Yılmaz & Çiçek, 2018); lessons suggested by other studies pertaining to
the synergy with local climatic conditions as heat risk identification and/or launching
of bioclimatic adaptation in urban design and planning approaches becomes all the
more essential (Matzarakis et al., 2018; Nouri & Matzarakis, 2021, 2021; Nouri et al.,
2023; Piticar et al., 2019; Yang & Matzarakis, 2019).
Within this book chapter, an introductory comparison with three other major urban
centres in Turkey was undertaken to complement existing top-down climatic determi-
nations using the Köppen Geiger Classification (KGC) system, which is constructed
upon temperature and precipitation descriptors. Using a well-used Energy Based
Model (EBM) thermal index, which permitted the inclusion of additional variables
such as radiation and wind patterns, local general urban human thermophysiological
threshold frequencies were assessed for each centre.
Subsequently, and focusing upon the urban centre of Ankara, through the
continued use of the EBM thermal index, the bottom-up in-situ impact of variables,
including radiation fluxes with typical urban morphology was assessed. The assess-
ment allowed the determination of both seasonal heat and cold threshold vulnerability
within different characteristic urban canyon systems, and their sub-regions across the
seven districts of central Ankara. These were mapped across the different districts
and then linked with potential opportunities for bioclimatic adaptation possibilities
using different typologies of thermal Measure Review Frameworks (MRFs) (Nouri,
Costa et al., 2018) to address the identified thermophysiological risk factors in the
study.

2 Methodology

This book chapter initiates its methodical analysis by undertaking an encompassing

analysis into three of the densest cities within Türkiye. The intention is to start at
a more encompassing scale which, due to the country’s interchangeability in KGC
varies within such urban centres.
As demonstrated in Table 1, the KGC thresholds for both precipitation and temper-
atures descriptors were presented, for the three major cities in Türkiye that were corre-
lated with selected urban World Meteorological Organisation (WMO) stations; these
being: Istanbul (#17,064, 40°54’°N 29°9’°E, 18 m ASL), Izmir (#17,220, 38°26’°N
27°10’°E, 29 m ASL), Ankara (17,130, 39°58’°N 32°51’°E, 886 m ASL). For each
hour four climatic variables were processed, these being air temperature (Ta), Relative
Humidity (RH), wind speed (at 10 m) (V), and cloud cover (Oct).
 192

Table 1 Descriptive environmental summary of the Köppen Geiger classification system adapted from Peel et al. (2007) in association to three of Türkiye’s
largest cites
Specific environmental thresholds
Precipitation descriptors Temperature descriptors
City KG class Colloquial name of General classification General Climate specification General Climate
sub-classification descriptors description description specification
- ‘Dsb’ Snow/Cold climate Thot ≤ 21 °C & Dry Summer Psdry < 40 & Psdry < Warm Thot ≤ 21 °C &
with dry/warm Tcold ≤ 0 Pwwet /3 Summer Tmon10 ≥ 4
summer
Ankara ‘Dsa’ Snow/Cold climate Thot ≤ 21 °C & Dry Summer Psdry < 40 & Psdry < Hot Summer Thot ≥ 22 °C
with dry hot Tcold ≤ 0 Pwwet /3
summer
Istanbul, ‘Csa’ Warm temperate with Thot > 10 °C & Dry Summer Psdry < 40 & Psdry < Hot Summer Thot ≥ 22 °C
Izmir dry Tcold < 18 Pwwet /3
hot summer
Key – Thot = temperature of the hottest month; Tcold = temperature of the coldest month; Tmon10 = number of months where the temperature is above 10;
Psdry = precipitation of the driest month in summer; Pwdry = precipitation of the driest month in summer; Pwwet = precipitation of the wettest month in
winter
A. S. Nouri et al.
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 193

Parallel with the temperature and aridity thresholds inherent to the KGCs, the first
two variables enabled a similar meteorological assessment. However, and focusing
upon the objectives of this book chapter, to effectively understand the climatic
impacts upon the biometereological system, V and Oct permitted the significant
effects of urban wind dynamics and radiation fluxes. This thus permitted a more
effective understanding and approach towards the ‘human-centred approach’ even
they are based upon general urban conditions; the intention was to depart from the
initial KGC comprehension with the added encompassing inclusion of Mean Radiant
Temperature (MRT) and V considerations.
Resultantly, from the aforementioned stations, hourly recorded Oct values were
assessed in combination with the previous climatic variables within the biometere-
ological RayMan Pro Model (Fröhlich et al., 2019; Matzarakis & Fröhlich, 2018;
Matzarakis et al., 2010a, 2010b) to obtain MRT estimations for each urban setting.
Since the V values were recorded at 10 m by the WMO station, using the method-
ology defined by Kuttler (2000), the values were subsequently translated to a height
of 1.1 m (henceforth V1.1 ) which is defined as the centre of the human body.
Subsequently for the three urban centres, RayMan was utilised to process the
Physiologically Equivalent Temperature (PET) (Höppe, 1999; Matzarakis et al.,
1999; Mayer & Höppe, 1987). Based upon the work by (Charalampopoulos, 2019;
de Freitas & Grigorieva, 2015; Nouri et al., 2017; Potchter et al., 2022; Staiger et al.,
2019), the respective EBM thermal index’s applicability has been recognised in terms
of it effective evaluations of body-atmosphere balance dynamics.
In addition, and as shown in Table 2, the application of the PET also further
permitted the correlation against Physiological Stress (PS) grades as originally
described by Matzarakis et al. (1999). In parallel with previous methodologies, in
the case of Cold Stress (CS), the added PS grades ‘beyond’ the original ‘extreme
cold stress’ classification were applied based the increment methodology undertaken
by Bauche et al. (2013) and Matzarakis (2014). Pertaining to Heat Stress (HS), the
expansion methodology was undertaken using the method applied in Nouri, Lopes
et al. (2018), where increments of 5 °C were applied beyond the initial original
‘extreme heat stress’ classification.
As demonstrated in Table 3, based upon similar studies (e.g., Ketterer &
Matzarakis, 2014; Matzarakis et al., 2018; Nouri et al., 2023), the study config-
ured different urban morphological settings within the obstacle plugin of RayMan.
These resulting Urban Canyon Cases (UCCs) were modelled in respect to different
Height-to-Width (H/W) ratios ranging between 0.25 and 3.50.
Within the segment of the chapter that focused upon urban conditions within
the specific case of Ankara, the most typical existing Aspect Ratios (ARs) were
assessed between the seven districts within the city centre. A focus was made upon the
most common morphological characteristics. More specifically, UCCs were required
to: (1) be clearly defined canyons with two vertical facades; (2) have clear defini-
tions between pedestrian and vehicular areas; (3) consist of a symmetrical geometric
profile; and lastly, (4) have a façade continuity of at least 20 m. In addition to the
definitions of the UCCs for each of the ARs, 12 different orientations were simulated
194 A. S. Nouri et al.

Table 2 Ranges of the thermal index of physiologically equivalent temperature for different grades
of physiological stress on human beings
PET* (°C) PS level Stress level abbreviation Existing/added
< −20 Beyond extreme cold stress 3 CS (CS7) Added
−20 ~ −10 Beyond extreme cold stress 2 (CS6) Added
−10 ~ 0 Beyond extreme cold stress 1 (CS5) Added
0~4 extreme cold stress (CS4) Existing
4~8 Strong cold stress (CS3) Existing
8 ~ 13 Moderate cold stress (CS2) Existing
13 ~ 18 Slight cold stress (CS1) Existing
18 ~ 23 No Thermal Stress NTS NTSEXP (NTS) Existing
23 ~ 29 Slight Heat Stress (HS1) Existing
29 ~ 35 Moderate Heat Stress HS (HS2) Existing
35 ~ 41 Strong Heat Stress (HS3) Existing
41 ~ 46 Extreme Heat Stress (HS4) Added
> 46 Beyond Extreme Heat Stress (HS5) Added
Sources Adapted from Matzarakis et al. (1999), with expanded cold/heat levels as delineated by
(Nouri et al., 2021)
*1 Ranges of PS for PET calculation based upon an internal heat production of 80 W, and a heat
transfer resistance of the clothing set to a value of 0.9 clo according to Matzarakis and Mayer (1997)

Table 3 Description of
H/W ratio Canyon height (m) Canyon width (m)
utilised Aspect Ratios (ARs)
depicting information into 0.25 5 20
their Height, Width, H/W 0.50 10 20
Ratio
1.00 20 20
1.50 30 20
2.00 40 20
2.50 50 20
3.00 60 20
3.50 70 20

with increments of 15° to account for the elevated variability of Ankara’s urban fabric
as well (Fig. 1).
Based on Ankara’s consolidated fabric (Fig. 2), numerous recurrent characteris-
tics were utilised to erect the UCCs ARs, including the recurring canyon width of
20 m between the facades (Table 3). In addition, their distribution was based upon
categories, those that: (1) presently existed within Ankara’s consolidated urban fabric
(with ARs between 0.25 and 1.50); and (2) could result from patterns of future urban
densification (with AR’s between 2.00 and 3.50).
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 195

Fig. 1 Map of central Ankara and location of its seven districts

In alignment with previous studies (e.g., Nouri, Charalampopoulos, Afacan et al.,

2023, Nouri, Rodriguez-Algecíras et al., 2023; Rodríguez-Algeciras et al., 2021), the
constructed UCCs hosted three Reference Points (RPs), i.e.,: (i) two lateral RPs to
represent the ‘sidewalk area’, each 3 m away from the respective facades, represented
by the Left Lateral (RPLL ), and Right Lateral (RPRL ); and, (ii) one central RP (i.e.,
RPC ) to portray the middle of the canyon 10 m away from both canyon façades.
Resultantly, each of these three RPs determined distinguished three in-situ locations
within each canyon, thus presenting the possibility to better differentiate the exposure
to urban dynamic radiation fluxes as a result of the winter/summer encompassing
solar path.
For the case of Ankara, based upon the hourly processed data retrieved for the
summer and winter periods between 2008 and 2020; a frequency window of 10 days
was used. For both summer and winter months, given also the increased rate of urban
activity, the hours between 12:00 and 15:00 were utilised to determine the frequency
and intensity of the calculated CS and HS based upon the retrieved PET and associated
PS levels. Moreover, this and in alignment with the studies undertaken by Ketterer
and Matzarakis (2014) and Nouri et al. (2023), CS1 (symptomatic of ‘slight cold
stress’) and HS1 (symptomatic ‘slight heat stress’) were combined with NTS PS
grade. As a result, and with the aim of accepting slight variations within the original
NTS threshold (hereafter referred to as NTSEXP ), the new grade was expanded to
encompass PET values ranging between 13.1 °C and 29.0 °C (Table 2).
196 A. S. Nouri et al.

Fig. 2 Frequency distribution of Physiological Stress (PS) grades PS between 2014 and 2019 at
15:00 and 05:00 for the most populated Turkish urban centres, Istanbul, Izmir and Ankara

3 Results and Discussion

3.1 Comparison of Overall Human Thermophysiological

Thresholds

The comparison of the urban human thermophysiological frequencies between the

three major cities of Istanbul, Izmir and Ankara revealed strong dissimilarities both
during the summer and winter seasons (Fig. 2). For both CS and HS, it was possible to
link the hourly resolution of annual PET between the years of 2014 and 2019 with the
divergent thresholds of the KGC of ‘Csa’ and that of ‘Dsa’. These initial results were
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 197

already indicative of how thermophysiological assessments that combined factors

such as how radiation fluxes complemented the divergence in the KGCs built solely
upon aridity and temperature descriptors.
The largest difference in the case of Ankara could be highlighted by the increased
frequency of CS. Even during the hottest hour of the day, the occurrence of CS
was substantially higher, with CS5 frequencies varying between 53 and 36% for the
month of January. In contrast, such a frequency in Izmir and Istanbul was particularly
lower, with a maximum frequency of CS5 only reaching 20% during the first days
of the month in Istanbul. The only periods where both Izmir and Istanbul reached
comparable frequencies of CS were during the colder hours for the winter months.
However, during the same colder period in Ankara, CS5 frequency remained around
70%, with an additional noteworthy frequency of CS6 (between 15 and 28%). While
CS reached CS7 (i.e., of PET ranging below −20.0 °C) for a minor frequency of up
to 3% at the end of January. Istanbul and Izmir did not present any frequency of CS7,
nor significant CS6 vulnerability.
For HS, all cities presented considerable exposure to diurnal heat, with grades
varying considerably between HS3 through to HS5 during the summer season. Izmir
presented the highest exposure to such grades, including to HS5 (i.e., of PET ranging
above 51.0 °C) for noteworthy frequencies of up to 8% during June and July. In the
case of HS3/4, between July and August, the combination of both thresholds revealed
almost a continuous frequency of over 90%. Just as importantly, from late June to
early September, the frequency of HS4 alone remained between 20 and 30%. The
frequency of both HS4 and HS5 were similar in Istanbul, albeit with slightly more
oscillations. Nonetheless in the case of Ankara, with the exclusion of mid-July which
presented a similar HS4 frequency of 30%, the rest of the summer season witnessed
lower frequencies, between 10 and 20%. In the case of HS3, Ankara still observed
significant frequencies that remained predominantly between 50 and 60% for the
same period.
Like CS conditions, the colder hours revealed significant distinctions from HS as
well. For most of the summer period, both Izmir and Istanbul presented almost no CS
exposure, with frequencies of NTS conditions varying up to 86%. In addition, there
was also some degree of HS during the nocturnal period, as revealed particularly for
the case of Izmir, with HS1 frequency varying up to 50%. In the case of Ankara, the
nocturnal period was particularly different with NTS frequencies rarely surpassing
40%, and moreover, with a more predominant occurrence of CS1 throughout the
summer period.

3.2 Frequency of HS in Ankara’s Urban Morphological

Characteristics

The analysis of HS frequency amongst Ankara’s typical morphological character-

istics revealed clear trends with regards to processed human thermophysiological
198 A. S. Nouri et al.

in-situ conditions. Firstly, as to be expected, there was a clear downward trend in HS

frequency conditions as the AR increased given the reductions in radiation fluxes
within the UCCs. However, and as shown in Fig. 3, considering the specification
of in-situ locations within the twelve orientations, the reduction of HS during the
summer varied this aforementioned trend considerably. With an AR of 0.25, most
UCCs started with a HS frequency of between 83.0 and 85.0% (2988 and 3060 min,
respectively). At an AR of 0.50 clear disparities could were already found between the
urban settings. For example, most of the RPC of the UCCs revealed a HS frequency of
83.0%, and a large number of RPLL witnessed already considerable reductions down
to 75.0%, representing a reduction of HS exposure by 8.0% (equating to 288 min).
It was also verified that the abovementioned summer HS variability took place
within the same orientations as well. An example of this could be withdrawn from
the UCCs with an orientation of 90°, where the RPRL continuously remained one of
the most vulnerable to HS across all ARs. On the hand, and still at an orientation of
90°, the RPLL almost continuously revealed the lowest exposure to such thermophys-
iological stress. With regards to the RPC s, in the case of orientations between 15.0°
and 75.0°, it was possible to identify that their comparative vulnerability shifted as

Fig. 3 Frequency distribution Heat Stress (HS) for central Ankara within existing and projected
Urban Canyon Cases (UCCs) and canyon Reference Points (RPs) (Left Lateral [LL], Central [C],
and Right Lateral [RL]) in association to each orientation with an average hourly resolution between
12:00 and 15:00 for the years 2008–2020 for the summer period
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 199

the ARs increased. In lower ARs, starting from 85.0% (3060 min) they presented
the in-situ conditions with highest exposure to HS. By AR 3.50, these central areas
of the respective orientations were those with some of the lowest exposures to HS,
with frequencies varying around 70.0% (2520 min).
These disclosed results demonstrated three key factors with regards to the rela-
tionship with UCCs and HS vulnerability during the summer using the PET index,
namely: (i) while ARs presented a crucial means to downscale the understanding
of in-situ conditions pertaining to human thermophysiological stress intensity and
frequency, they do not provide the entire picture when considering factors such as
radiation fluxes and exposure; (ii) overall frequencies to HS were high during the
summer, but the determined variations in frequencies also presented considerable
differences in terms of diurnal duration, particularly considering that some of the
largest dissimilarities took place within the same UCCs, with 20 m in width between
facades; (iii) similar to the previous point, with a focus upon thermal adaptation
processes, it moreover provided a further spatial understanding where in-situ inter-
ventions could take place within the UCCs themselves; and finally, (iv) how the effects
of further central urban densification patterns could modify present HS levels.

3.3 Seasonal Division of Human Thermophysiological Stress

Frequency

In addition to the in-situ morphological assessments which focused upon the summer,
to better understand the inherent dynamism with regards to the different summer
months, HS averages (of all 12 orientations [henceforth expressed as HS]) for each
AR was conducted. As shown in Fig. 4, although June witnesses the highest axial
tilt towards the sun for the Northern hemisphere, it was by far the month with lower
quantity of HS frequency, across all ARs. Even in AR 0.25 where the building facades
were only 5 m in height (Table 3), the HS frequency was of 63.9%, which decreased
to 43.0% in the case of AR 3.50. Such trends were considerably less accentuated
for the months of July, August and overall summer which can be related with the
influence of other variables such as peak summer Ta values. For the case of August
which always surpassed HS frequency for the whole summer season, the decrease
in HS frequency between an AR of 0.25 and 3.50 was of 7.9%, the lowest between
all months.
These results presented another crucial aspect and/or perspective to approaching
human thermophysiological thresholds via the applied EBM index. By dividing the
summer period into separate months, it was possible to identify large variations of
HS exposure levels, which would need to be considered in the design/erection of
any permanent in-situ adaptation measures to address summer heat vulnerability.
Naturally, this is coupled with the essential recognition that such measures would
also have to consider their impact during winter conditions. In the case of Ankara, this
200 A. S. Nouri et al.

Fig. 4 Average frequency distribution Heat Stress (HS) for central Ankara during different summer
months based upon in-situ averages within existing and projected Urban Canyon Cases (UCCs) in
the divergent Aspect Ratios (ARs) at an average hourly resolution between 12:00 and 15:00 for the
years 2008–2020

is particularly significant given the previously identified oscillation between summer

and winter thermophysiological stress conditions.
Due to limiting the scope size of the chapter, the frequency distribution of CS
was not assessed along with the HS analysis. However, given the importance of the
results disclosed in Fig. 4, the same methodical assessment was undertaken for the
winter months. The inclusion of such results emphasised the required avoidance of
‘maladaptation’ occurrences by moreover recognising urban CS vulnerabilities as
well.
As demonstrated in Fig. 5, it was possible to determine that the month with the
highest CS frequency, which by a large margin, was January that mostly remained at
above 90%. These results moreover were in alignment with the results presented for
the identified overall urban thermophysiological conditions during the three 10-day
temporal window for January as presented in Fig. 2 (5/6). Unlike in the case of HS,
CS altered less between AR 0.25 and 3.50. The reason for this can be attributed to
the decreased capacity of radiation in cold weather given other variables such as
increased V1.1 and lower Ta values. As stated, the overall frequency CS distribution
also proved to be noticeably more similar between the different ARs, however in
the case of the months with highest amount of thermophysiological stress (i.e., CS);
ARs ≥ 2.00 (representing UCCs associated to future potential urban densification
patterns, the frequencies remained almost identical.
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 201

Fig. 5 Average frequency distribution Cold Stress (CS) for central Ankara during different winter
months based upon in-situ averages within existing and projected Urban Canyon Cases (UCCs) in
the divergent Aspect Ratios (ARs) at an average hourly resolution between 12:00 and 15:00 for the
years 2008–2020

3.4 District Vulnerability Mapping with Morphological

Characteristics

As shown in Fig. 6, based upon mapping the typical morphological characteris-

tics throughout the seven urban districts, it was possible to link the identified in-
situ human thermophysiological conditions at a neighbourhood scale within central
Ankara. The produced drawings revealed a more detailed mapping of both UCC
areas, and the canyons themselves, including their encompassing orientation.
Containing a total of 1348 relevant canyons based upon the disclosed study selec-
tion criterion, the southern Keçiören district, presented the highest number of assessed
canyons. Most of the canyons either had an AR of 0.80 (with 637 canyons) or 0.60
(with 438 canyons), with a smaller occurrence of 1.00 (with 273 streets). It more-
over was one of the areas with the highest amount of canyon orientations, yet with
a predominance oscillating between 90° and 105°.
The south-western Altındağ district area accommodated one of smallest quantities
of relevant canyons in the study with a total of 630 assessed canyons. It consisted of
several different ARs, these being prominently, 0.80 (with 461 canyons), 0.60 (with
123 canyons), 1.00 (with 46 canyons), and lastly, a restricted number of 1.20 cases
(with 12 canyons). The general range in canyon orientation resembled the case of
southern Keçiören.
Within the area of western Mamak, the predominant AR typology was 0.80, with
a total of 765 canyons (out of a total of 862). While this district represented another
202 A. S. Nouri et al.

Fig. 6 Mapping of the different Urban Canyon Cases (UCCs) and Aspect Ratios (ARs) across the
seven districts within Ankara’s urban centre with overlapped street locations/orientations
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 203

example of notable oscillation in orientations (including intermediate ones), there

was still a notably tendency towards those equal or adjacent to 90°.
The central area of Çankaya presented a more balanced distribution amid its
comparatively higher number of 1202 canyons, with the three ARs, 0.60 (with 225
canyons), 0.80 (with 604 canyons), and 1.00 (with 373 canyons). As was the case
for Mamak, this district also had a similar propensity towards orientations close or
equal 90°.
The northern Etimesgut district presented the lowest amount canyons, with a total
of 582 streets. There were only two types of ARs within the area which oscillated
between 0.80 (with 386 canyons) and 1.00 (with 196 canyons). While there was a
noteworthy number of canyons with an orientation between 0° and 15° (ranging up
to 62 streets) in the case of 0.80, the canyon orientations with the highest frequency
of streets were again at 90° and at 105°.
In the north-eastern area of the Sincan district there was a total of 793 streets,
and a higher fluctuation in orientations. The orientations of 0° and 90° continued
to present the largest number canyons (particularly in the case of AR 0.80, with 81
and 78 streets respectively). Nevertheless, given the areas total number of canyons,
including 415 of those with an AR of 0.80, Sincan also hosted a considerable amount
of canyons with different orientations, including at 60° and 150°.
Within southern Yenimahalle, this was the district with the lowest number of
assessed canyons. The predominant AR was 0.60, with restricted areas reaching
0.80 and 1.40. Regardless of this lower canyon amount (with a total of 604 streets,
of which 461 had an AR of 0.60), there was a significant variation in orientations,
in addition to the recurrent 90° (with 52 canyons) and 0° (also with 52 canyons)
between most districts.

3.5 Opportunities for In-Situ Bioclimatic Interventions

Based upon MRF Typologies

3.5.1 ‘Green’ MRF—Urban Vegetation

While there are a lot of studies that discuss the cooling potentiality resultant of urban
vegetation within the urban fabric, an emphasis was made to highlight those which
utilised an EBM thermal index to evaluate potential reductions in indices such as
PET. These studies also highlight the crucial effects of radiation fluxes within the
studied in-situ setting. Given that this book chapter was focused upon the determined
UCCs commonly found in Ankara, studies based upon slightly larger scales, (e.g.,
Park Cooling Islands (PCIs)) were not considered to the same extent. This being
said, the valuable lessons, including those highlighted in prominent review studies,
regardless of their age (e.g., Bowler et al., 2010; Givoni, 1991; Nouri, Costa et al.,
2018; Santamouris et al., 2017) should not be overlooked.
204 A. S. Nouri et al.

Given the already extended scope of this chapter, the objective of this final segment
was not to provide an extensive analysis of the existing literature, nor undertake any
type of further microclimatic assessment. Instead, as with the other MRF typolo-
gies, the aim was to highlight the potential of urban vegetation under pertinent
morphological settings.
As revealed in the prominent early studies before the turn of the century (e.g.,
Brown & Cherkezoff, 1989; Brown & Gillespie, 1995; McPherson, 1984), different
in-situ tree species result in considerably dissimilar levels of radiation permeation
due to their leaf/twig density and foliage development. As also identified in early
bioclimatic studies, different planting layouts also symbiotically interrelated with the
characteristics of the individual tree. Furthermore, these can be an effective means to
influences outdoor comfort levels due to radiation offsetting (e.g., Abreu-Harbich
et al., 2014; Almeida, 2006; Bartholomei & Labaki, 2003; Brown & Gillespie,
1990; Erell et al., 2011; Hwang et al., 2011; Shashua-Bar et al., 2010; Streiling &
Matzarakis, 2003; Torre, 1999; Viñas et al., 1995).
Slightly shorter than the diurnal window set in this study, concomitant with other
studies, Tsilini et al. (2014) highlighted that the hours which revealed the greatest
variations as a result of in-situ vegetation were between 12:00 and 15:00. Following
this line of reasoning, any implementation of vegetation to reduce HS in Ankara
would have a direct impact upon the overall frequencies disclosed in this study.
Many studies moreover determined elevated reductions in PET as a result of radiation
attenuation, with smaller reductions in Ta given its rapid diffusion into the encircling
atmosphere (Abreu-Harbich and Labaki, 2010; Abreu-Harbich et al., 2014; Kong
et al., 2017; Martins et al., 2016; Morakinyo et al., 2017; Nouri & Costa, 2017a;
Nouri, Fröhlich et al., 2018; Perini & Magliocco, 2014; Wang et al., 2016). Based
on most of these aforementioned studies, while Ta oscillated to a maximum of ~ −
2.5° for in-situ reductions, ~ −7.6° for PCI reductions; PET presented maximum
reductions of ~ −16.0° for in-situ, and ~ −24.0° for PCI reductions.
As stated in this chapter, geographic location and climatic context are imperative
factors for any bioclimatic measure, particularly at such a microscale (Matzarakis,
2021; Matzarakis et al., 2018). For this reason, the specific variables themselves are
symbolic on their own, as they can change considerably when considered for the case
of Ankara. However, for urban designers/planners, architects and other local based
professions, further bioclimatic lessons can be extracted, these being the:
• Continued intrinsic association with radiation, whereby the full extension of their
impact at the pedestrian level must be strongly associated to the divergent impacts
upon annual radiation levels, frequency, and seasonal periodicity. Within an annual
perspective, this includes considering the winter seasons in order not to cause the
trapping of otherwise desired radiation.
• Correct placement of thermal sensitive adaptive measures within a specific UCC
and, more specifically, their inner regions to avoid occurrences of maladaptation.
Such a bottom-up centred upon the human biometereological system and local
in-situ characteristics relays entirely to the ‘human-centred approach’. One which
includes the depiction further detailed breakdown of UCCs into different RPs, each
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 205

with potentially different conditions to one another, including within a modest

canyon span of 20 m.
• Careful consideration of the correct tree species, not only between deciduous and
evergreen, but just as significantly, into the species that lose their foliation at the
suitable time of the year to maximise the microclimatic in-situ contribution to a
given location (Almeida, 2006; Nouri, Fröhlich et al., 2018; Viñas et al., 1995).
Such awareness also includes the comprehension of both their growth patterns/
requirements, and how these can directly: (i) modify their impact over time (Picot,
2004); and, (ii) other associated, yet meaningful, vegetative pros-and-cons impacts
upon the local public realm (Soares et al., 2011).
Within Ankara’s frequently occurring districts with high numbers of UCCs and lower
ARs (such as 0.60 and/or 0.80) as exemplified by southern Keçiören, western Mamak,
central Çankaya, north-eastern Sincan, there was a strong opportunity to consider
vegetation solutions, particularly within most RPC and RPRL areas. Nevertheless,
and just as importantly, as already stated, such green measures would require to
be cross-examined by local actors against CS frequency during the winter, where
radiation would improve in-situ human thermophysiological conditions, particularly
within ARs up to 1.00.

3.5.2 ‘Sun’ MRF—Shelter Canopies

As revealed in this chapter, radiation fluxes changed dramatically based not only on
AR, but just as significantly, due to the orientation, and the inner areas of a respective
UCC. In climate sensitive planning and design terms, and when considering measures
such as shading structures within the ‘Sun’ MRF, another crucial factor must be
considered for such bottom-up approaches. While Ta under a shading canopy may
be identical (or even slightly hotter depending on other variables, such as V1.1 ) to an
area fully exposed to the sun, MRT values will be significantly different. Invariably
this will have strong influences upon thermal indices of an EBM nature, including
in the case of PET index.
As discussed in the existing literature, like the case of vegetative tree crowns,
the resulting MRT underneath a canopy and/or structure can be significantly lower.
The implication of this directly results in the reduction of associated PS grades
upon pedestrians (Nouri, Costa et al., 2018). Invariably, the opposite is also true,
whereby a misplaced structure might provide effective attenuation for HS during
the hotter months yet may also induce higher CS frequency due to the reduction in
required/desired MRT levels during colder seasons and/or months. Such examples of
bioclimatic maladaptation can be serious within the consolidated fabrics exposed to
cold winters, and limited opportunities for the winter solstice to permeate the public
realm. Further associating such concerns to the case of Ankara, its continued rapid
and mal-regulated densification patterns which will lead both to the proliferation of
the urban edge, but the very density within the city centre (Karaca et al., 1995; Nouri
et al., 2021; Yuksel & Yilmaz, 2008). Within this chapter, this occurrence linked
206 A. S. Nouri et al.

with the patterns of CS in ARs 1.00 through to 3.50 which almost remained identical
between orientations 30° through to 120°. Moreover, this was further highlighted
when considering oscillations within the colder season itself, as exemplified by the
retrieved monthly CS frequencies in the study.
Given the UCC characteristics found across Ankara’s identified districts, and
within concrete measure solutions, a particular emphasis can be upon Ephemeral
Thermal Comfort Solutions (ETCS) (Nouri, 2015; Nouri, Costa et al., 2018). These
flexible types of solutions are those that can provide short-term solutions during
months of increased HS without the risk of reducing thermal comfort during the
winter. In addition, given the identified oscillation within the seasons themselves
(e.g., the identified lower frequencies of HS during the month of June during the
summer period), such reflections could present beneficial results for the same season
as well. More encompassingly, and given the composition of the ARs, such measure
typologies could present numerous opportunities. Examples of these can be found
frequently within urban centres as exemplified by: (i) the ‘Umbrella Sky Project’
in Águeda in canyons with an AR of 1.30; (ii) Calle del Arenal in Madrid within
canyons with an AR of 1.10; and (iii) Calle del Sierpes in Seville within canyons
with an AR of ~ 3.00.
To date, the reductions of human thermophysiological thresholds have not been
undertaken for these predominantly design orientated solutions, however their erec-
tion have resulted in many years of experience within urban centres with high frequen-
cies of HS with yet the pursuit of radiation during the winter months to reduce in-situ
CS. As a result, similar solutions can be found in different cities, which did not origi-
nate from a bioclimatic project with a rooted understanding of the actual quantitative
effects upon human thermophysiological thresholds. This being said, amid the limited
studies, a few have already started to quantify such reductions during the summer
period as presented by: (i) Kántor et al. (2018), who through the use of nylon sun
sails in Pécs, Hungry within an AR of 1.70, induced maximum MRT/PET reductions
of −27.0 °C and −13.0 °C, respectively; and (ii) Nouri and Costa (2017a) and Nouri,
Lopes et al. (2018), who also through the use of nylon sun sails in Lisbon within an
AR of 0.20, revealed maximum projected MRT/PET reductions of −20.0 °C and −
9.9 °C, respectively.
Invariably, such reductions in HS would vary in the specific context of Ankara,
and a case-study should be considered based on the assessment of local quantitative
reductions in thermophysiological stress grades. Nonetheless, the methodology of
approaching such human biometereological thresholds through frequency distribu-
tion in this chapter enabled the consideration of how similar ETCS measures could
reduce HS frequency: (i) in recurrent ARs such as 0.60 and 0.80 in districts such
as southern Keçiören, western Mamak, central Çankaya, north-eastern Sincan and
southern Yenimahalle; and, (ii) in relevant RPs for most ARs at particular orienta-
tions, as exemplified by the case of RPRL in orientations 0° through to 90°, and RPLL
orientations 135° to 165° (Fig. 3).
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 207

3.5.3 ‘Surface’ MRF—Materiality

The major architectural typology throughout the different districts were that of
medium–low-rise residential buildings constructed out of coated brick walls (many of
which representing remaining out-dated thermal construction requirements (Nouri,
Çalışkan et al., 2022), with a central asphalt road in the middle (Nouri et al., 2023). It
is well recognised by the existing literature that when considering the urban energy
balance (as detailed by Oke, 2016; Oke et al., 2017), urban materials such as tradi-
tional concrete and asphalt perform very poorly, and strongly associated to UHI
patterns (Nwakaire et al., 2020; Santamouris, 2014, 2016).
For this reason, even early approaches have already been well discussed (e.g., in
Fintikakis et al., 2011; Gaitani et al., 2011; Kyriakodis et al., 2016; Santamouris,
Gaitani et al., 2012; Santamouris, Xirafi et al. 2012), including: (i) increasing reflec-
tivity and emissivity values by changing the composition, aggregate, texture and
colour; and, (ii) decreasing the amount of radiation that materials receive as a result
of limiting the amount of energy reaching surface/pavement solutions in the first
place. As presented in the exemplified studies, the modification of such traditional
materials (including traditional concrete and asphalt typologies) in ARs ranging from
0.15 to 0.60 rendered reductions of surface temperatures between 4.5 °C and 11.0 °C.
These results were obtained via the obtention of new albedo levels (which did not
always require the implementation of lighter coloured surfaces), that ranged between
0.60 and 0.70.
While these values should be considered indicative only and require in-situ studies
to hold evocative meaning, they provide examples that could be explored in many
of the UCCs within Ankara. Such opportunities were applicable both for the lower
ARs with higher HS frequencies, but in addition, the more susceptible RPs within
mid-range ARs. As already suggested, such a measure typology would invariably
require to be approached in combination with other typologies to effectively reduce
the amount of radiation when required in the vulnerable in-situ settings.

3.5.4 ‘Blue’ MRF—Misting Systems

With regards to the ‘Blue’ MRF, given the identified typology of the ARs found in the
city centre, and emphasis was attributed more towards the capacity of misting systems
to potentiality reduce human thermophysiological thresholds. In addition, the focus
upon misting systems also relayed back towards ETCS that could potentially provide
a means to reduce summer HS without counteractively affecting winter CS. When
conceiving the specific case of Ankara, given its hot yet dry summers based upon
its KGC (Table 1), a fertile ground of opportunity can be conceived for this type of
in-situ measure.
More concretely, this launches the opportunity to look at concrete ETCS based
thermal sensitive measures which can reduce encircling Ta levels by manipulating RH
without the reduced risk of exacerbating encircling atmospheric moisture. Through
effective thermal sensitive design rationales (that moreover must consider dynamic
208 A. S. Nouri et al.

V1.1 patterns and MRT fluxes) this can be launched within more problematic UCCs
and, just as importantly, within their inner regions. These design rationales must
thus consider factors such as appropriate water pressure, nozzle type/height, and
functioning periods (Nouri & Costa, 2017b; Nouri, Costa et al., 2018; Nouri, Lopes
et al.2018; Su et al., 2022).
Based upon the early Japanese teachings of ‘Uchimizu’ which entailed the
controlled wetting of surfaces to reduce encircling urban HS and air-conditioning
requirements, this section shall emphasis upon engineering projects that reduce Ta
through the controlled augmentation of RH. It was important to note that such projects
were mostly applied within a KGC of ‘Cfa’, thus the comparatively lower RH levels
during the summer of Ankara permitted more possibilities without the risk of exac-
erbating acceptable atmospheric moisture levels. Within such studies, noteworthy
explorations were undertaken, including into ‘Dry-Mist’ systems with maximum
reductions of Ta ranging between −0.8 °C and −6.0 °C through the use of different
pump pressures, type and/or height, and functioning periods (Farnham et al., 2011;
Ishii et al., 2008, 2009; Yamada et al., 2008; Yoon et al., 2008). In the case of Lisbon,
and also using the PET, it was found that the use of such systems could render reduc-
tions of up to −4.7 °C during the summer period through the incorporation of such
mechanisms within the surrounding tree crowns on the lateral side of a larger UCC
(Nouri & Costa, 2017a). In one of the most recent field studies, Su et al. (2022)
undertook a similar assessment within Xi’an China who also found reductions in
MRT between 9.7 °C and 31.5 °C depending on nozzle configuration (including
height) during the summer months.
There are of course other types of bioclimatic measures, including those that have
a stronger ‘architectural/design perspective’, and moreover presented some of the
first ‘contemporary’ constructed solutions that linked mist with total and/or partial
water bodies (Alvarez et al., 1991; Velazquez et al., 1992). However, as stated, given
the more narrow composition of the predominantly residential UCCs analysed in
this chapter, an emphasis was attributed to the first group, where HS: (i) could be
reduced within specific RPs within mid-range ARs, including in generally more
susceptible orientations; and, (ii) interlinked with other aforementioned bioclimatic
measures in lower ARs, including within in-situ contexts with higher footfall, with
high exposure to HS, where the design of the public realm can most benefit from such
ETCSs. In association, both perspectives can be interlinked with Ankara’s districts
with a number of lower ARs (e.g., southern Keçiören, western Mamak, and southern
Yenimahalle), and with higher UCCs numbers altogether (e.g., in southern Keçiören,
and central Çankaya).

4 Concluding Remarks

Ankara, one of the most densely populated cities in Türkiye, presented numerous
bioclimatic in-situ lessons for densifying urban centres that are also already
witnessing the clear and growing effects of climate change. The capital city serves as
11 Dynamic Annual Solstice Patterns and Urban Morphology: Bioclimatic … 209

a relevant case study to learn from the: (i) augmented exposure to both annual cold
stress and heat stress in comparison other national urban centres, where winter condi-
tions serve as a unwavering cue that adaptive interventions must continually contem-
plate relationships with local dynamic annual/seasonal/seasonal radiation fluxes;
(ii) typification of an urban context that is still rapidly densifying, yet witnesses
limited urban bioclimatic regulation and/or planning; (iii) future risks associated to
its encompassing geographic and topographical attributes that render the area to be
particularly prone to further augmentations of both the frequency and intensity of
local extreme events as a result of future climate aggravations; and (iv) encompassing
exposure to heat stress as a result of its predominantly low-to-mid ranged aspects
ratios, and vulnerable canyon orientations regardless of their aspect ratio.
These lessons discussed in this book chapter resulted from scrutiny of the symbi-
otic relationship between local radiation fluxes and typical morphological charac-
teristics. The results emphasised the importance of climatic bottom-up and interdis-
ciplinary approaches, and the inclusion of energy-based model thermal indices that
permitted the better understanding of climatic stimuli upon the human biometere-
ological system. Such an approach was based upon strengthening the value of the
‘human-centred approach’, that without diluting the crucial role of more climatic top-
down perspectives/assessments, enforced the need to assess/modify the symbiotic
relationship between the urban climate with that of the human being.
For this reason, commencing from a more regional assessment of overall human
thermophysiological between Turkish centres, the specificity of Ankara’s compara-
tively diverse exposure to annual cold and heat stress, were also downscaled through
the assessment of its existing and future potential morphological patterns. Ulti-
mately such a methodology permitted typically found urban canyons to be explored
in more detail by going beyond aspect ratio considerations—and moreover raise
synoptic potentialities for specific in-situ measure review frameworks typologies
across Ankara’s different central districts.

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Chapter 12
Comparison of Thermal Indices in Urban
Environments with SkyHelios Model

Marcel Gangwisch and Andreas Matzarakis

Abstract Global climate change and its thermal implications on cities makes it
necessary to react with long-term climate-adaptive urban planning. This should be
part of heat action plans to be implemented by municipalities, to minimize future
risks of overheated city districts on the city dwellers and especially on risk and
vulnerable groups. The evaluation of the thermal impact, based on thermal indices
(depicting human thermoregulation) is most important in order to allow for a safe and
risk-minimized but also human-adapted urban planning. The assessment of thermal
impacts can be achieved using numerical urban microscale models, which are suitable
to analyse the human thermal outdoor conditions of future building- and local climate-
scenarios. This chapter aims to demonstrate the applicability of the urban microscale
model SkyHelios and thermal indices to an urban district in Freiburg, Germany. The
findings demonstrate the thermal vulnerabilities, strengths and similarities of the
indices and provide additional information for future action.

Keywords Thermal indices · Urban microscale modelling · Heat action plans ·

Human outdoor thermal comfort

1 Introduction

The risks to cities and urban environments from heatwaves and thermal discomfort
will worsen by 2100 due to global climate change and further urbanisation (Dodman
et al., 2022; World Health Organization, 2021). Vulnerable and risk groups of people
(e.g., the elderly, the sick, children, and the poor) are particularly affected. Further
urbanization and the aging of society additionally increase this risk (United Nations,
2015; United Nations et al., 2019). The risk is not only a challenge in the health sector

M. Gangwisch (B) · A. Matzarakis

Research Centre Human Biometeorology, German Meteorological Service, Freiburg, Germany
e-mail: [Link]@[Link]
Chair of Environmental Meteorology, Institute of Earth and Environmental Sciences, Faculty of
Environment and Natural Resources, University of Freiburg, Freiburg, Germany

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 215
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
216 M. Gangwisch and A. Matzarakis

with an increased mortality rate or hospital admissions, but also in the productivity
of society in a wide variety of business areas (Flouris et al., 2018; Matzarakis, 2021).
After all, it is also about the simple things like the quality of life, the popularity of
the city, or the well-being of the citizen (Gehl, 2010). Therefore, we have to ask
ourselves how we want to design our cities and especially how we want to live in
our cities (Matzarakis, 2022).
To reduce this risk for the society, the city and its inhabitants, it is necessary
to identify, determine, quantify the risk, define appropriate (short- and long-term)
actions and finally implement them. The actions have to be quantified according to
the recommendations for heat action plans and monitored in the long term (Matthies
et al., 2008; Matzarakis & Nouri, 2022).
This work is dedicated to the quantification of thermal risk and perception. Both
can be assessed by thermal indices (e.g., Physiologically Equivalent Temperature,
Perceived Temperature, and Universal Thermal Climate Index). These indices map
human metabolism, behaviour, and the interaction of ambient, meteorological condi-
tions differently on the human body. Most thermal indices quantify thermal sensation
via an equivalent temperature, which often has the physical unit “°C”. Usually, phys-
ical units (e.g., SI units) provide comparability and standardization. However, thermal
indices (due to different implementations, approaches, backgrounds, theories, and
complexities) are only directly comparable to each other to a limited extent (VDI,
2021).
The thermal indices, which are based on a complete human heat balance (PET,
PT) were correlated to UTCI (Blazejczyk et al., 2012). But these indices also provide
varying temperature thresholds for the same degree of thermal sensation (Blazejczyk
et al., 2012). At the same time, these thresholds for thermal sensation would need to be
adjusted to a particular region (tropics, arctic and mid-latitudes) and to season because
of (temporal and cultural) acclimatisation (Potchter et al., 2018). A direct comparison
of PET, PT and UTCI as conducted by (Blazejczyk et al., 2012) is difficult, because
of different underlying technical implementations in the urban microscale models.
Thus, the models differ in the implementation of the mean radiant temperature, as
well as in the resolution of the meteorological variables, which in turn are needed as
input for the thermal indices.
Measurements have been normalized in the past for urban heat island analysis
(Dobrovolný & Krahula, 2015; Unger et al., 2010), in order to consider physical
quantities independently of their respective unit and to relate them independently of
their magnitude.
In this study, we apply a novel and different approach to counter the direct compa-
rability of thermal indices. Spatial min–max normalisation of the thermal indices
allows the direct comparison of PET, PT and UTCI, because of the independency of
the fundamental underlying technical implementation and physical unit. The normal-
isation was applied to show the differences of the thermal indices among each other,
and to show the possibilities of the SkyHelios model. A linear regression analysis
reveals the correlations between the individual indices on a normalised scale. At the
12 Comparison of Thermal Indices in Urban Environments with SkyHelios … 217

same time, the spatial analysis shows the differences of thermal indices in areas with
modified wind speed and shade based on modelling results of the urban microscale
model SkyHelios.

2 Background Knowledge

2.1 Thermal Indices

There are a large number of thermal indices in the literature. Each index has its own
application and properties, so it is most important to know the exact background
and implementation of each index to understand the index. Typically, a thermal
index represents the thermal sensation of a standardised reference person for given
meteorological parameter. Often this person is male, 80 kg and moves at a slow pace
(Fig. 1). Thermal indices require the basic meteorological conditions that have an
impact on people’s thermal sensation (air temperature, relative humidity or vapour
pressure, radiation and wind speed) as input parameters. Thermal sensation is then
given as the indoor air temperature, which would lead to the same thermal sensation
as the meteorological outdoor conditions (Staiger et al., 2019).
The most common indices (Staiger et al., 2019) are Physiologically Equiva-
lent Temperature (PET) (Höppe, 1999; Matzarakis et al., 1999), modified PET
(mPET) (Chen & Matzarakis, 2018), Predicted Mean Vote (PMV), Standard Effec-
tive Temperature* (SET*) (Gagge et al., 1986), Universal Thermal Climate Index
(UTCI) (Bröde et al., 2012; Havenith et al., 2012; Jendritzky et al., 2012), and
Perceived Temperature (PT) (Staiger et al., 2012; VDI, 2021). PT is the basis for a
complete heat model (Klima-Michel-model) which is utilized by the German Mete-
orological Service, DWD, for the national Heat-Health Warning System (Jendritzky,
1990; Matzarakis et al., 2020).
The aforementioned thermal indices vary mainly in the complexity of the under-
lying endogenous processes (i.e., human thermoregulation) and the implemented
clothing models. E.g., mPET and UTCI incorporate an automatic adaptation of the
clothing. In addition, thermal indices differ in interpretation and linking of the index
to thermal sensation. The categories for thermal stress vary between the indices (e.g.,
UTCI and PET).

2.2 Modelling of Urban Environments

In urban regions, the morphology (Green, Grey and Blue Infrastructure) modify the
meteorological conditions, so that the thermal sensation is altered. The Urban Heat
Island (UHI) is formed by alteration of thermal properties of surfaces within the city.
218 M. Gangwisch and A. Matzarakis

Fig. 1 Meteorological variables modify human thermal comfort and can be summarised in
a comprehensive way to thermal indices. These indices rely on meteorological conditions as
well as behaviour and clothing. Meteorological conditions are modified by urban morphological
surroundings

The UHI can be defined by an increased air temperature in the urban area in contrast
to the surrounding, rural areas.
Computer programs and algorithms can be applied to simulate thermal sensa-
tion in urban environments. Simple models can calculate thermal indices by taking
the meteorological parameters as given. These models are steady-state models and
include the processes of the human body (e.g., sweat rate or metabolism in general)
(VDI, 2021).
On the other hand, there are statistical and process-based models that can calculate
the meteorological outdoor conditions in the city and subsequently determine thermal
sensation by thermal indices. These models can be separated by their spatial and
temporal resolution into urban micro- and mesoscale models.
There are requirements to determine thermal comfort from a wide variety of
sectors. This finds appeal in the indoor-design and design of buildings, from
neighbourhoods to larger cities.
For individual buildings, thermal comfort is often calculated in the area of compu-
tationally aided design (CAD) for an environmental friendly design (Rhinoceros,
Ladybug and Grasshopper) (Roudsari et al., 2013). The most accurate results are
obtained with the computational fluid dynamics methods (CFD) used in the models
12 Comparison of Thermal Indices in Urban Environments with SkyHelios … 219

like OpenLB and OpenFOAM on the microscale (Siodlaczek et al., 2021). However,
these methods are very complex, time-consuming and expensive. Therefore, other
models try to represent the urban atmosphere and its processes in a simplified,
parametrized way.
For example, the urban climate model PALM-4U can be executed in Reynolds-
averaged Navier Stokes (RANS) mode in addition to the complex Large Eddy Simu-
lation (LES) mode to reduce complexity (Fröhlich & Matzarakis, 2020; Maronga
et al., 2019).
In Muklimo_3, on the other hand, the spatial resolution is reduced and the build-
ings are considered as a porous medium (Sievers & Deutscher Wetterdienst, 2012,
2016).

2.3 Microscale Modelling in SkyHelios

SkyHelios is a freely available urban microscale model (Fröhlich & Matzarakis,

2018; Matzarakis & Gangwisch, 2020; Matzarakis & Matuschek, 2011; Matzarakis
et al., 2021). It utilizes three-dimensional geodata to generate a virtual scene (see main
user interface of SkyHelios [Fig. 2]). The virtual scene enables SkyHelios to conduct
complex computations in this three-dimensional domain by a graphics computing
engine (managed OGRE) on the Graphics Processing Unit (GPU). With the aid
of the graphics engine, mainly radiation-based calculations (e.g., shading, sunshine
duration) can be conducted. SkyHelios was developed to overcome the limitations of
classic numerical process-based models by applying highly parallelised algorithms
on parallel hardware.
For human-biometeorological analyses, it is especially important to determine the
long and short wave radiation fluxes. These can be summarised to the mean radiant
temperature (Tmr t ). SkyHelios offers the simple possibility to calculate spatially
resolved Sky View Factor (SVF). Since the scenery is generated from vector data,
the spatial resolution of the calculation can be defined by the user. Thus, also the
considered reference height for the calculation of the SVF as well as the desired
parameters can be defined. Meanwhile, other functions and products are available
within SkyHelios, such as aerodynamic roughness length and diagnostic wind speed
and direction (Fröhlich, 2017; Ketterer et al., 2017). Currently SkyHelios is not
yet able to calculate the air temperature and humidity spatially resolved. The user
determines these for the entire study area.
SkyHelios is only one model among others from the domain of urban microscale
models, which is capable of calculating human outdoor thermal comfort (Table 1).
220 M. Gangwisch and A. Matzarakis

Fig. 2 SkyHelios main window with its 3D-scene in the center, Sky View Factor in the top right
and list of input layers in the left. The shown scene is located in the north of Rieselfeld and is based
on LOD1 data and tree cadaster data of the municipality of Freiburg (Sect. 3.1)

3 Data and Methods

In this study, we want to compare the spatial patterns of three different thermal
indices (PET, PT, and UTCI) for human thermal outdoor conditions. The first step
is to calculate the thermal indices for a predefined standardised day with standard-
ised meteorological conditions spatially resolved for the study area (Table 2). This
standardization serves as benchmark for the subsequent analysis. Subsequently, the
thermal indices are normalised, i.e. mathematically mapped to the value range [0,1].
Finally, the hourly-normalised datasets are spatially aggregated, resulting in one
raster dataset per index. The three created raster data sets are compared with each
other and statistically analysed. The whole process is depicted in Fig. 3.

3.1 Rieselfeld in Freiburg

Freiburg is located in the warm Upper Rhine Valley in Germany. The city centre
is located at 47.9°N, and 7.8°E at about 278 m above mean sea level. In 2021,
231,848 inhabitants lived in an area of 153.0 km2 (1515 inhabitants/km2 ) (Statistis-
ches Landesamt Baden-Württemberg, 2020). Out of these, 9459 people live in district
Rieselfeld (Stadt Freiburg im Breisgau, 2022). High heat stress in the Upper Rhine
Valley reflects various climatic particularities, some of which caused by topography.
These result in warm, humid air, high irradiation combined with low wind speeds,
Table 1 Classification of the SkyHelios model and comparison with other urban microscale models
Model type Spatial scale I/O OS Speciality Field of application
SkyHelios Stand-alone, Micro OGR/GDAL Win Sky View Factor, Urban climate studies,
Steady state Area of Interest Thermal Comfort,
Adaptation
RayMan Stand-alone, Micro Obstacle Win Sky View Factor, Urban climate studies,
Steady state Point of Interest Thermal Comfort,
Adaptation
ENVI-met Stand-alone, Micro Area Win Comprehensive tool; with Urban climate studies,
Steady state Input different surfaces and tree Thermal Comfort,
File species Adaptation
Ladybug/Grasshopper Rhino-Plugin, Micro Open-NURBS Win/Mac Architectural design Architectural outdoor
CAD comfort studies,
Evaluation of urban
design
UMEP/SOLWEIG QGIS-Plugin Micro GDAL Win/Linux/Mac Mean radiant temperature Spatial variation of 3D
radiation fluxes
MUKLIMO_3 Fluid dynamics Micro/Local Fortran-NAMELIST Linux/Unix Fluid dynamics and Urban climate studies
thermodynamics on HPC,
Process-based, physical
model
PALM-4U Fluid dynamics Micro/Local NetCFD Linux/Unix LES and RANS mode Urban climate studies
12 Comparison of Thermal Indices in Urban Environments with SkyHelios …

Thermodynamics and on HPC

Chemistry Process-based, physical
model,
Dispersion
221
222 M. Gangwisch and A. Matzarakis

Table 2 Meteorological
Day 01.08.2022
input parameters for
simulations in SkyHelios Time 00:00–24:00 LST
describing an ideal day for Air temperature (Ta ) 30 °C
benchmark testing
Relative humidity (R H ) 50%
Vapour pressure (V P) 21.1 hPa
Cloud cover (CC) 0
Wind velocity (v) 1 m · s−1
Wind direction (W D) 265°

Fig. 3 Workflow of this study to normalise and spatially compare different thermal indices (PET,
PT and UTCI). Comparison of indices is conducted for a typical hot day (1st of August) based on
standardised meteorological variables (Table 2) and for a standardised person (Table 3). The initial
calculation of the indices is conducted in SkyHelios; subsequent analysis is performed by Quantum
GIS
12 Comparison of Thermal Indices in Urban Environments with SkyHelios … 223

Fig. 4 District of Freiburg in the southwest of Germany. The district was planned independently
from the main city and is therefore particularly well suited for urban climatological studies (Source
Photo taken by Erich Meyer and used with permission)

reflecting the Köppen-Geiger class Cfb for warm temperate, fully humid with warm
summer (Rubel & Kottek, 2010).
The municipality of Freiburg provided a Level of Detail 1 (LoD1) dataset in the
CityGML format (Gröger et al., 2012) for the urban district Rieselfeld in the western
part of Freiburg (Fig. 4). The Rieselfeld is very well suited for microscale, urban
climatological studies, since the building and tree cadastre is of high quality and the
district was independently planned and implemented from the main city.

3.2 Calculation of Thermal Indices

Based on SkyHelios, the thermal indices PET, PT and UTCI were spatially estimated
for Freiburg’s district Rieselfeld. The thermal indices were calculated for a hypo-
thetical, standardised day. The conditions correspond to a hot summer day and serve
as a typical day for benchmark testing with fixed boundary conditions. The meteo-
rological outdoor conditions were set as shown in Table 2. The boundary conditions
are the same for all time steps. The meteorological boundary conditions remained
constant, only the time of interest was changed on hourly basis so that the simulation
varied the radiation fluxes and thus Tmr t .
224 M. Gangwisch and A. Matzarakis

Table 3 Additional default

Height 1.75 m
input parameters for
simulations in SkyHelios to Weight 75.0 kg
describe the human body, Age 35 years
personal behavior and
Sex Male
clothing
Clothing 0.9
Activity 80 W

Other parameters for persons’ behaviour, humans’ metabolism as well as clothing

were set as shown in Table 3.
The calculation was performed with a temporal resolution of one hour and a spatial
resolution of one meter. All parameters were calculated for the height of 1.1 m, which
is the average height of a standing person’s gravity centre in Europe.

3.3 Normalisation of Thermal Indices

All thermal indices use a different scale to map the reference temperature of the index
to the thermal sensation. For this reason, we apply a spatial min–max normalisation
for each time step to spatially compare the thermal indices. This processing is done
with Geographic Information Systems (GIS): Quantum GIS (QGIS) and SAGA GIS
(Conrad et al., 2015). The min–max normalisation was calculated in accordance to
Eq. (1).

pnor m = p−min( p)
max( p)−min( p) (1)

After normalising each time step for each thermal index, the individual time steps of
each index were aggregated so that a normalised averaged gridded dataset per index
was obtained. The averaged gridded dataset per index is normalised once again.
The normalised indices are named after the original designation. Thus, nPET, nPT,
nUTCI stands for the normalised version of PET, PT and UTCI, respectively.

4 Results: Pattern and Differences of Normalised Thermal

Indices

The normalised thermal indices show spatially similar patterns for PET, PT and UTCI
(Figs. 5, 6 and 7). The spatial analysis reveals that all indices show a similar pattern
with decreased heat stress in the shade of buildings and trees as well as in areas
with high wind speed. In shaded areas, the normalised values of the thermal indices
are generally lower than in open areas. However, the areas that are characterised
12 Comparison of Thermal Indices in Urban Environments with SkyHelios … 225

by a change in the wind field are particularly prominent. The spatial influence of
the buildings and the trees is clearly visible. The hourly averaging of the individual
indices shows the influence of the buildings on the northern side, since the influence of
the shadow cast over the diurnal cycle is most pronounced here. The linear regression
analysis shows great similarity between all three indices. The regression lines are
close to the identity lines. All indices agree for higher values but differ on the lower
part of the scale between 0 and 1 (Figs. 8, 9, and 10). UTCI shows systematically
larger values and PT systematically smaller than PET.
nPT (mean: 0.79, sd: 0.19) shows the greatest contrast between low and high
values, compared to nPET (mean: 0.83, sd: 0.16) and nUTCI (mean: 0.85, sd: 0.13).
nUTCI shows the lowest contrast and thus has the most homogeneous spatial pattern
and is less influenced by shading and wind.
The differences between the individual indices are particularly evident in the
spatial difference images (nPET–nUTCI and nPET–nPT), which indicate precisely
the areas with low and high wind speeds (recirculation and stagnation zones) as well
as shaded areas (Figs. 11 and 12).

Fig. 5 Averaged and

normalised PET for 1st of
August in 2022 showing the
effect of shading and wind.
The data originates from
hourly output of absolute
PET values by SkyHelios

Fig. 6 Normalised UTCI for

1st of August in 2022
showing the effect of shading
and wind. The data
originates from hourly
output of absolute UTCI
values by SkyHelios
226 M. Gangwisch and A. Matzarakis

Fig. 7 Normalised PT for

1st of August in 2022
showing the effect of shading
and wind. The data
originates from hourly
output of absolute PT values
by SkyHelios

Fig. 8 Comparison of
normalised PT and UTCI. A
linear regression analysis
shows the link between both
indices (red) in comparison
to the identity line (blue).
nPET and nUTCI differ
especially for low values of
nPT but align for greater
values

5 Discussion and Conclusion

The thermal indices were calculated within the same micro-scale model SkyHelios.
Errors in the implementation of the individual indices or in the calculation of the
meteorological conditions cannot be excluded. In particular, SkyHelios currently
does not include a spatial calculation of air temperature and humidity, therefore the
results or the thermal indices must also be compared to other models. Comparing
the thermal indices across multiple models could reveal errors in the implementation
of the models itself. In the future, it would certainly be very exciting to perform a
spatial comparison under standardised boundary conditions of different, micro-scale
models. In this way, not only the thermal indices could be compared with each other,
12 Comparison of Thermal Indices in Urban Environments with SkyHelios … 227

Fig. 9 Comparison of
normalised PET and PT. A
linear regression analysis
shows the link between both
indices (red) in comparison
to the identity line (blue).
nPET and nPT differ
especially for low values of
nPET but align for greater
values

Fig. 10 Comparison of
normalised PET and UTCI.
A linear regression analysis
shows the link between both
indices (red) in comparison
to the identity line (blue).
nPET and nUTCI differ
especially for low values of
nPET but align for greater
values

but also the technical implementations of the individual indices in the respective
models (e.g., SkyHelios, ENVI-met, and Palm-4U).
The thermal indices were benchmarked for one specific test scenario, which is
typical for a heat wave (autochthonous weather conditions with high air temperature,
low wind speed, and clear sky conditions) in Western Europe. Other test cases with
228 M. Gangwisch and A. Matzarakis

Fig. 11 Spatial difference of

normalised PET and
normalised UTCI for 1st of
August in 2022. Differences
with greatest magnitude are
in the area of shade and in
stagnation and recirculation
zones of wind. The data
originates from hourly
output of absolute PET
values by SkyHelios

Fig. 12 Spatial difference of

normalised PET and
normalised PT for 1st of
August in 2022. Differences
with greatest magnitude are
in the area of shade and in
stagnation and recirculation
zones of wind. nPET is of
lower magnitude compared
to nPT. The data originates
from hourly output of
absolute PET values by
SkyHelios

higher wind speed, humid air or sultry conditions could be considered and should be
tested, as e.g., the influence of humidity on PET is limited (Blazejczyk et al., 2012).
All indices show great agreement in the warm areas, but vary especially in the cold
regions of the study area. This means that the influence of the cooling factors (e.g.,
shading and wind speed), because of the clothing mechanisms, have different impact
on the thermal indices.
SkyHelios is a steady-state model, i.e., for a given time, the areal thermal indices
are calculated under the given boundary conditions. This reduces the complexity of
the model, but at the same time it is not as accurate as a dynamic model, which, for
example, takes into account the heat storage capacity of buildings or the inertia of
the human body to adapt to meteorological conditions.
A major challenge is still the integration and linking of building models with
GIS systems. For example, despite the Geodata Abstraction Library (GDAL), archi-
tectural data (CAD data) are often not georeferenced, so that they cannot be easily
integrated into microscale models.
Normalisation of thermal indices enables spatial comparison of indices indepen-
dent of prevailing absolute meteorological conditions. This makes it possible to
compare different situations within a city and also between several cities of different
latitude. This method is not only applicable to Rieselfeld in Freiburg, but rather trans-
ferable and applicable to various situations. The min–max normalization is directly
12 Comparison of Thermal Indices in Urban Environments with SkyHelios … 229

dependent on the min/max values and is only suitable if the data is evenly distributed.
Instead of min–max normalization, Z-score normalization should also be considered
in future research.

Acknowledgements We want to thank the German Aerospace Centre and the Federal Ministry of
Education and Research of Germany for providing the financial support (GrüneLunge project—
funding reference number 01LR1726C, [Link]

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9289055406
Part III
Policies
Chapter 13
Urbanisation and Urban Heat Island
in a Mekong Delta City: From
Monitoring to Dominant Factors

Phan Kieu Diem, Nguyen Kieu Diem, Can Trong Nguyen,

and Nguyen Thi Hong Diep

Abstract Urbanisation is an indispensable process along with socio-economic

development. However, this is also the root of various challenges in urban areas from
social to environmental and microclimate changes such as urban heat islands (UHI).
This book chapter showcases a case study regarding rapid urbanisation, dynamic of
surface urban heat island (SUHI), and controlling factors of UHI in Can Tho city—a
regional newly developing city in the Vietnamese Mekong Delta since 2005. Using an
integrated methodology framework of earth observation analyses and Analytic Hier-
archy Process (AHP), we assessed the urbanisation trends based on urban density
and annual growth rate (AGR). The deterioration of SUHI was analysed using land
surface temperature (LST) retrieved from Landsat thermal infrared band. AHP is a
social approach via expert interviews to identify the key elements and their contri-
bution weights to UHI under the local conditions. It revealed that urban areas have
continuously expanded outwards since 2005 towards the Western and main roads
along the Bassac river. The AGR is about 0.73%/year over the period of 2005–2019.
In particular, the city center has experienced a relatively high rate of urbanisation
compared to other areas (i.e., 3.98–5.04% versus 0.5%/year). LST increased signif-
icantly and the growth of SUHI was more moderate in terms of intensity and spatial
patterns. SUHI is frequently observed in industrial zones and densely populated
areas. Urban sprawl was found to significantly stimulate the variations of SUHI
intensity. Regarding to the driving factors of UHI, five (05) main factors including
nature, society, infrastructure, policy and environment are found contributing to form
of UHI at this specific area. In which, the natural factors including coverage ratio of
vegetation and water surface are the most contributors to UHI. The key analytical

P. K. Diem (B) · N. K. Diem · N. T. H. Diep

College of Environment and Natural Resources, Can Tho University, Can Tho, Vietnam
e-mail: pkdiem@[Link]
C. T. Nguyen
Faculty of Engineering, Prince of Songkla University, Hat yai campus, Songkhla 90110, Thailand
Space Technology Research Center, Geo-Informatics and Space Technology Development
Agency (GISTDA), Chonburi 20230, Thailand

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 235
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
236 P. K. Diem et al.

factors from AHP are likely to be prioritised elements, which should be mainstreamed
into urban planning to mitigate UHI towards a cooling city.

Keywords Analytic Hierarchy Process (AHP) · Can Tho city · Land surface
temperature · Surface urban heat island · Urbanisation

1 Introduction

Can Tho city is an important regional and national city in Southern Vietnam as it is
located in the “heart” of the Vietnamese Mekong delta—a critical economic region in
the Southwest of the country. It was established in 2004 based on the division of Can
Tho province into Can Tho city and Hau Giang province. With massive investments
over the past decades, Can Tho city owns key elements for development and becomes
a rapidly developing city compared to the other five national municipalities. It has
made drastic transformations in population and urban areas. For example, it has
witnessed a population growth of 564 thousand over ten years from 2005 to 2015,
in which urban residents increased by 2.6% (UNs, 2015). Urban areas have also
expanded speedily, especially from 2005 onwards (Diep et al., 2021; Son & Thanh,
2018). In 2009, the city was upgraded from Class-2 city to Class-1 city due to its
significant growth.
Rapid urbanisation creates favourable conditions for attracting more investment
capital and general development motivations. However, it also raises many issues
that need to be efficiently solved such as investment policy, land budget, land use
transformation and planning, environmental degradation, microclimate change, and
career transition due to changes in economic structures (Can et al., 2021; Nguyen
et al., 2022). Among these alterations, urban microclimate change is one of the most
concern issues since it influences human health and well-being of urban residents.
It is induced by rapid urbanisation since urbanisation extensively removes natural
surfaces and uses more heat retention materials. Urbanisation also reduces heat
evaporative and transformative rates, modifies local climate, airflow and atmosphere.
Urban heat island can be understood as a phenomenon that at the same time,
the average temperature in urban development areas with many man-made struc-
tures is higher than in rural areas with natural surroundings (Oke, 1982). Urban
heat islands are often characterised by built-up areas with most surface materials
such as metal roofs, paved roads, concreted structures with low reflection and high
absorption of solar energy (Smith et al., 2011). The changes of surface properties and
anthropogenic heat sources from human activities along with the urban expansion
and industrialisation are jointly contributing to form UHI (Li et al., 2021; Raj et al.,
2020).
UHI is one of the main concerns in urban areas due to its negative impacts
on human health, energy consumption, and environmental pollution. A number of
studies revealed the increased risk of heat-related mortality and morbidity, which
mostly affected due to the land surface temperature variations (Benmarhnia et al,
13 Urbanisation and Urban Heat Island in a Mekong Delta City: From … 237

2016; Longden, 2019). In addition, the increase in UHI leads to an increase in

energy consumption due to the high demand for cooling during the extreme heat
events (Can et al., 2020). UHI also affects the air and water quality and greenhouse
gases emissions (Li et al., 2018).
There are several efforts to control and mitigate UHI. It is apparent that UHI is
the main consequence of urban development. Yet, UHI is actually controlled jointly
by many factors. Therefore, the current strategies intervening a few elements may
lead to inefficient mitigation UHI. Enhancing understanding of controlling drivers of
UHI will definitely improve the efficiency of solutions for mitigation and adaptation
strategy toward greener and low carbon cities in the future, as a basis for urban
development planning and orientation of the region. Besides, it also provides a good
example for urban planning in similar new developing cities.

2 Rapid Urbanisation in a Just-Established City

of a National Municipality

2.1 Evidence of Urban Expansion Through Earth

Observation Data

The observation of normalised difference built-up index (NDBI) presents the index
accumulation over the past twenty years. The high values regions are the former and
unchanged urban areas over time, while the regions with lower values belong to newly
developing areas and non-urban areas when it approaches minimum values of NDBI.
The expanded urban areas tend to sprawl from the urban core outwards to vicinities
and along the transportation system with high urban areas mainly concentrated in
Ninh Kieu and Thot Not districts (Fig. 1).
A change detection analysis using land use/cover (LUC) maps was adopted to
explore land use/cover changes (LUCC) and urbanisation dynamics. Specifically,
LUC maps were obtained from the object-based classification using Landsat spectral
bands. There were drastic shifts in LUC over the past 14 years toward urbanisation
(2005–2019). LUC has converted from pure agriculture to an economy that less
depends on agricultural production. In 2005, about 93.91% of the city’s area was
covered by green spaces. The green space proportion gradually decreased to 83.31%
with more than 10% shared by paddy fields and annual crops in 2019. At the same
time, the built-up areas have expanded by 146.63 km2 to gain urban proportion from
2.16 to 12.34%.
The urban areas are also distributed along the roads and rivers as tree branch
form. Specifically, it has experienced dynamic urbanisation along the Bassac River
in Cai Rang, Ninh Kieu, Binh Thuy, O Mon, and Thot Not districts. It also inherits
the characteristics of urban expansion as in other flat plain deltas that urban areas
dominate vicinities under extension form. This expansion has clearly been observed
in Ninh Kieu and Thot Not districts, where are both the two urban cores and gateways
238 P. K. Diem et al.

Fig. 1 Accumulative landsat-based NDBI from 2000 to 2020 in the entire Can Tho city and zoom-in
areas in two primary urban cores in Ninh Kieu and Thot Not districts

connecting provinces in the Ca Mau peninsula and other parts on the West side
(Fig. 2).
The urbanisation at subdistrict level was analysed by two criteria including urban
density and annual growth rate (Can et al., 2021). Urban density measures the relative
rate of urban area against the total area of each administrative unit. Besides, the
annual growth rate (AGR) reveals the average urbanisation speed yearly. Natural
break (Jenks) presents urban density and AGR at five levels corresponding to Low/
Relatively low/Medium/High/Very high. It indicates that most subdistricts had low
and relatively low urban density at the beginning (<8.26%). The high and very high
urban density subdistricts were in the city center of Nink Kieu. At the end of the
period, there were significant improvements in urban density. The high and very high
urban density regions (>32.34%) expanded and occupied almost Ninh Kieu, Binh
Thuy, and Cai Rang districts. The neighboring counties and the town of districts
(e.g., Vinh Thanh, Co Do, Thoi Lai) had medium urban density, while rural counties
in the transition zone have improved their density from low to medium–low levels
(Fig. 3).
It is in line with social evidence that earth observation data also reveals the dynamic
of urbanisation in terms of AGR. The subdistricts have a relatively high urbanisation
speed, higher than 0.75%/year except for the slow regions in immense paddy fields
in the South and Southwest of the province. An Khanh (Ninh Kieu district) is the
most dynamic county within this period, with AGR = 5.04%/year. High urbanisation
regions are in town of Thot Not district (3 subdistricts) and An Binh and Hung Loi
(Ninh Kieu district). The contiguous areas of Ninh Kieu in An Thoi (Binh Thuy
district) and Hung Thanh, Ba Lang, Phu Thu (Cai Rang district) are also relatively
13 Urbanisation and Urban Heat Island in a Mekong Delta City: From … 239

Fig. 2 Land use/cover changes from 2005 to 2019, urban changes, and fragmented maps show two
primary urban cores in Ninh Kieu and Thot Not districts

Fig. 3 Urban density over subdistricts in 2005 and 2019, annual growth rate over the period, and
subdistrict groups based on urban density and AGR
240 P. K. Diem et al.

dynamic (AGR = 1.5–3.98%/year). Besides, the development in peri-urban and

district centers also deserves to be considered with medium and relatively low speed.

2.2 A Conventional Framework for Urbanisation Assessment

Subdistricts were considered by a conventional grouping method, which differenti-

ates using median values of urban density and AGR as a proxy standard (Can et al.,
2021). A county with an urban density higher than the median value is an urban
county. A county has an AGR value higher than the median value assigned to be a
fast urbanisation county and vice versa. This method generates four groups based
on two-dimensional data. It reveals four unique groups with different concerns. A
group of urban subdistricts with a high urbanisation rate (orange shade), where it
should have efficient solutions to address common urban problems such as infras-
tructure overload, environmental pollution, clean water, and sanitation. Besides, rural
counties with fast urbanisation have experienced the most dynamic processes when
transforming from rural to urban areas. It should have a long-term vision and strate-
gies to develop the city and ensure consistency of infrastructures. On the other hand,
urban subdistricts with low urbanisation are city centers with the city seeming to be
highly concentrated and saturated. Urban morphology and spatial planning should be
taken into account as they will significantly contribute to stimulating urban microcli-
mate (e.g., urban heat islands, thermal discomfort) and ultimately impact on human
well-being.

3 Deterioration of Urban Thermal Environment

3.1 Spatial Distribution of Land Surface Temperatures

Landsat thermal infrared band is the main data source for retrieving land surface
temperature (LST). It was obtained by converting brightness temperature and then
calibrating by NDVI-based land surface emissivity (Son & Thanh, 2018; Van De
Griend & Owe, 1993). LST was reclassified into seven groups from low to high
based on average value and standard deviation for peer comparison (Zhang et al.,
2017).
The distribution of LST shows that most of the high and very high surface temper-
atures were located in the central areas such as Ninh Kieu, Binh Thuy, Cai Rang
districts. The surface temperature in 2019 elevated significantly compared to those
in 2005, especially in sub-central districts of O Mon and Thot Not districts. In
contrast, the temperature remained relatively lower than average value in the rural
areas cultivating rice farming, annual crops, and agricultural crops. Notably, the dense
13 Urbanisation and Urban Heat Island in a Mekong Delta City: From … 241

Fig. 4 Land surface temperature in 2005 and 2019 and comparison at zoom-in locations, whereas
a, b, c present for first, second and third locations of LST variation between 2005 and 2019

construction and areas with high concentration of impervious surfaces, such as indus-
trial zones of Binh Thuy and Cai Rang, thermal power plants and airport at O Mon
district, where always experienced high LST of higher than 28.5 °C (Fig. 4). The areas
with high-density population, built-up and less vegetation were found corresponding
to higher surface temperatures over the years. The percentage of impervious surfaces
and its expansion during urbanisation are closely associated with the increase in LST.

3.2 Formation of Surface Urban Heat Island Over the Past

Decade

Surface urban heat island (SUHI) is determined when the surface temperature at any
location greater than the average temperature of the entire considered area (Ya et al.,
2010).

LST > Tmean + 0.5 × Sd

where Tmean is the average land surface temperature; Sd is the standard deviation.
Surface urban heat island magnitude (ISUHI ) is estimated based on the difference
in the average surface temperature of the urban area (LSTurban ) compared to the non-
urban area (LSTnon-urban ), whereas the non-urban defined as the eliminating of urban
242 P. K. Diem et al.

areas.

ISUHI = LSTurban −LSTnon - urban

Surface urban heat island tended to aggravate over time both in terms of dominated
areas and heat threshold. In 2005, there was about 17.37% of Can Tho city occurred
SUHI. It then expanded up to 24.18% of total areas in 2019 (Fig. 5). SUHI distributed
mainly in Ninh Kieu district, residential areas along the 1A national highway in Cai
Rang district, the 91 national highway connecting Ninh Kieu District, Binh Thuy and
the center of O Mon, Thot Noi, Phong Dien Town, Co Do, Thoi Lai, Vinh Thanh and
Thanh An Town (Fig. 5). SUHI intensity has also witnessed dramatical elevation. If
the SUHI intensity of higher 6 °C is set up as an extreme proxy, SUHI severity was
recognised its encroachment throughout the time. For instance, the highest SUHI in
year 2005 was estimated at 6.28 °C and the areas with SUHI higher than 6 °C was
only about 27 ha. These values were increased to 8.96 °C and occupied about 87 ha
in the year of 2019. The areas with high SUHI intensity also distributed at industrial
zones, e.g., Hung Phu 2 Industrial Park, Viet Nhat Industrial Park, and Cai Cui Port,
O Mon Thermal Power Plant, Can Tho International Airport, where the temperature
is always higher than the surrounding areas about 1–2 °C.

Fig. 5 Development of surface urban heat island and its spatial distribution over time at typical
sites
13 Urbanisation and Urban Heat Island in a Mekong Delta City: From … 243

3.3 Significant Hotspots in Surface Urban Heat Island

Formation Along with Urban Development

The significantly meaningful hotspots have experienced changes in urban thermal

environment, where urban dwellers are supposed to face thermal severity. The
hotspots were detected by calculating Getis-Ord Gi* statistical value for each object
in the data layer. Specifically, probability (p-value) and standard deviation (z-score)
are the criterion to identify a certain region belonging to hot or cold regions of SUHI.
This tool works by looking at each feature within the context of neighboring features.
A feature with a high value of SUHI is interesting but may not be a statistically signif-
icant hot spot. To be a statistically significant hot spot, a feature need to have a high
SUHI value and be surrounded by high SUHI values as well. The local sum for a
feature and its neighbors is compared proportionally to the sum of all features; when
the local sum is very different from the expected local sum, and when that difference
is too large to be the result of random chance, a statistically significant z-score results.
P-values and z-scores were estimated the aggregation significance (90%, 95% and
99%) for hotspots as well as coldspots. Aggregation is considered to be statistically
significant when z-scores are higher than 1.65 (confidence level of 90%), higher
than 1.96 (confidence level of 95%), higher than 2.58 (confidence level of 99%) for
hot spot areas, or lower than −1.65 for cold spot areas. Otherwise, the result will
be responded to a random spatial distribution (Getis & Ord, 1992; Rossi & Becker,
2019). Thus, in this research, the hotspots of SUHI with a significance level of higher
90% representing a high concentration of SUHI, which distributed mainly into three
isolated zones (Fig. 6). Zone I has the highest SUHI intensity in the city center
of Ninh Kieu, Cai Rang, and Binh Thuy districts with the dense concentration of
population and industrial zones. Zone II has the moderate SUHI intensity, distributed
in the center of Thot Not district. Plus, Zone III owns a relatively low SUHI intensity
in the center O Mon district.

Fig. 6 Surface urban heat island clusters in 2005 and 2019 (The zone 1, 2, and 3 present the specific
highlight locations of UHI clusters)
244 P. K. Diem et al.

SUHI is highly correlated with the ratio of urban areas (positive) and the ratio of
vegetation areas (negative) (|r| > 0.9). It also has a relatively high relationship with
LST (r = 0.72). The urbanisation leads to vegetation reduction and urban expansion,
which strongly contribute to exacerbate SUHI intensity. It implies a promising solu-
tion to mitigate SUHI in urban areas by enhance cool surfaces such as green spaces
and water bodies within the city.
In terms of earth observation for urban theme, further studies need to be taken
into consideration to overcome the uncertainty in urban extraction, the different
remote sensed indices may need to apply for distinguish bare land and small parcel
of impervious areas. Besides, LST analysis need to be considered by cloud issues
and temporal resolution in further applications.

4 Key Controlling Factors of UHI

Analytic Hierarchy Process (AHP) was conducted through expert interviews to detect
the key elements and their contribution weights to UHI under local conditions. A list
of key elements (principal factors and sub-factors) was formed based on the litera-
ture review and first round interview. The elements rated by about 50% of experts
as unimportant will be removed in second interview. The relative importance of the
key elements was rated in nine importance scales, from absolutely less important
(1/9), very less important (1/7), less important (1/5), somewhat less important (1/3),
equal important (1), somewhat more important (3), much more important (5), very
much more important (7), and absolutely more important (9). Nine experts were
interviewed, who are considered as to have expertise in their fields related to envi-
ronmental resources, economy, society, and policy to figure out different aspects of
UHI. The weight of each elements was then estimated using the pairwise compar-
ison matrix (Saaty, 1980). The Consistency Ratio (CR) is an indicator to evaluate the
consistence of expert’s opinions, which was obtained as follows fomular (Samo &
Anka, 2009):

CR = CI/RI

where: RI is a random index; CI is a consistency index measuring the consistent

deviation (Saaty, 1977, 1980). According to AHP approach, as explaintation in text,
the expert’s opinion with CR < 10% were selected as it is relatively consistent. In
contrast, if CR > 10%, the assessment are inconsistent, there are a need to be re-
checked and conduct the interview again. This study, the only CR met requirements
of consistence are further processed. The bold values in Table 1 showed the highest
weight in the sub-factors. Accordingly, the importance levels of five groups, principal
factors, and 23 sub-factors were analysed and presented in Table 1.
Among principal factors, nature is the most important contributor to UHI (WN
= 0.493). It is then followed by society (Ws = 0.211), infrastructure (WI = 0.116),
environment (WE = 0.101) and policy (WP = 0.081). In essence, the nature of surface
13 Urbanisation and Urban Heat Island in a Mekong Delta City: From … 245

Table 1 Weights of key elements obtained by AHP

Principal factor Weight of Sub-factors Weight of Overall weight
principal sub-factors (W = W1 ×
factors (W1 ) (W2 ) W2 )
Nature (N) 0.493 N1. Ratio of water surfaces 0.368 0.181
N2. Vegetation areas 0.202 0.100
N3. Weather, climate 0.152 0.075
N4. Solar radiation 0.113 0.056
N5. Urban form (sky view) 0.080 0.040
N6. Climate changes 0.052 0.026
N7. Ratio of cool surfaces 0.032 0.016
Society (S) 0.211 S1. Urbanisation 0.411 0.087
S2. Population density 0.237 0.050
S3. Traffic at transit station 0.149 0.031
and intersection
S4. Bussiness activities 0.117 0.025
S5. Lifestyle 0.086 0.018
Infrastructure 0.116 I1. Urban design 0.512 0.059
(I) I2. Building materials 0.175 0.020
I3. Concrete pavement 0.130 0.015
I4. Urban structures 0.101 0.012
I5. Direction of buildings 0.082 0.009
Policy (P) 0.081 P1. Urban planning 0.640 0.052
P2. Urban design orientation 0.175 0.014
P3. Architectural planning 0.107 0.008
policy
P4. Policy for rural 0.078 0.006
construction
Environment 0.101 E1. Environmental factors, 0.865 0.087
(E) air pollution
E2. Solid waste disposal 0.135 0.014

characteristics mainly defines and contributes to UHI significantly compared to other

factors. For example, the natural surfaces (e.g., lake, river, and dense vegetation) are
always cooler than constructions at the same time.
Regarding the sub-factors of nature, the ratio of surface water and vegetation
areas are the most important in comparison to others (WN1 = 0.368; WN2 = 0.202).
Among sub-factors of society, urbanisation has the highest overall weight (WS1 =
0.411) following by population density (W WS2 = 0.237), traffic at intersection (WS3
= 0.149), transit stations (WS3 = 0.117) and lifestyles (WS4 = 0.086). Meanwhile,
urban design is the most important element that was believed to significantly cause
UHI in urban areas among the infrastructure elements (WI1 = 0.512). Urban planning
246 P. K. Diem et al.

is the most critical policy factor that influences UHI through stimulating or hindering
urbanisation at a certain city (WP1 = 0.640). Besides, environmental variables and air
pollution were supposed to be favorable conditions amplifying UHI (WE1 = 0.865).

5 Heat Mitigation Strategies

In recent, there are number of guidelines and proposed solutions to mitigate UHI
from different perspectives of urban policies. However, it is obvious that UHI is
regulated by a bun of different controlling factors from nature to climate, policy, and
society. These factors could even interact and contribute to UHI at different extents.
Therefore, the local governments often fail in UHI mitigation efforts because they
only control a limited element, or they are too ambitious in trying to adjust too
many elements at the same time. The AHP revealed the key controlling factors of
each category, which are widely perceived by experts. Therefore, these elements
should be prioritised to mainstream into urban planning to effectively mitigate UHI.
Additionally, these factors are the highlights that easy to receive the consensus from
the community in the development strategies toward a greener city. The following
sugguestions of heat mitigation strategies could be considered in future:
. The intergated solutions need to be developed base on the interdisciplinary
approaches. In fact, the UHI formed by many different factors as mention in
previous sessions, so one single aspect solution could be less effectively adress
the mitigation strategies.
. The increase, conservation, and optimisation, and diversification urban green
and blue spaces are needed since they are considered as sink landscapes with
contributing to cooling urban.
. The practical urban planning and actions based on the finding of scientific reseach
intergating with the participatory of local people would be the principle framework
contributing in UHI mitigation strategies.
. The pracitical urban design need to consider to construction standards, and distri-
bution planning inside urban areas to encourage urban ventilation as well as
increase landscape heterogeneity.
. The intergated implementation of environmental solutions to improve the increas-
ingly degradation of air pollution in urban areas are need to be part of mitigation
strategies.
. The raising awareness of local people specific to young people and children on
UHI mitigation modelling and visualization would be long term impacts and
effectively contributing on mitigation toward the greener city.
13 Urbanisation and Urban Heat Island in a Mekong Delta City: From … 247

6 Conclusions

This chapter analysed the urbanisation and surface urban heat island in a typical city
in the Mekong delta. An overall scene of spatial urban development, alternations
in urban thermal environment, and controlling factors of UHI under indigenous
conditions was depicted by different approaches to reflect the current context of the
city. To conclude, Can Tho city owns the following characteristics and highlights:
. The city has rapidly developed with spatial urban expansion clearly observed
during the period from 2005 to 2019. The urban density and annual growth rate
have significantly increased over time, especially in the main city center, the towns
at each regional districts, and the ribbon of urban areas along the Bassac River.
. SUHI has dramatically elevated with close association with urban expansion in
developed centers, where have experienced rapid urban sprawl, especially in high
concentration areas of constructions and industrial parks.
. The changes in urban microclimate specified as UHI in Can Tho city are relatively
similar to other cities. It is dominated by a set of factors including natural and
environmental characteristics, society, infrastructures, and policy. Maintaining
and improving natural spaces such as water bodies and vegetation are the most
promising intervention to mitigate UHI. However, integrated interventions regu-
lating the key elements in each aspect should be a more effective solution to
release UHI severity.
Beside evaluating the spatial urban expansion using remote sensed data, the highlight
of this chapter is quantitatively measured the important of key elements, which
support the valuable information for identifying the priorities to be implemented
in urban planning. The lesson learned in Can Tho city, typical emerging city in
Mekong region, will be good example for similarly cities to avoid the forming of
UHI in development strategy.

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Chapter 14
A Study on Thermal Comfort Assessment
Frameworks and Models in Cities

Hadi Alizadeh and Ayyoob Sharifi

Abstract Considering the increasing trends of urbanization, climatic change, and

air temperature in cities, the issue of urban heat island mitigation for ensuring thermal
comfort is of high importance. Enhancing thermal comfort also has implications for
human health, well-being, and productivity. In recent decades, several assessment
frameworks and models have been proposed to measure and predict thermal comfort
in cities. This chapter tries to explore major assessment frameworks and models
that explain and measure thermal comfort in cities by considering physical, physi-
ological, psychological, and behavioral dimensions. It shows that thermal comfort
models could be divided into two major categories, namely, knowledge-based thermal
comfort methods and data-driven thermal comfort models. Each of these two has
subset models for thermal comfort testing in cities. The findings indicate that recent
trends in measuring thermal comfort are focused on data-driven models based on
simulation algorithms.

Keywords Climate change · Urban heat islands · Thermal comfort · Thermal

comfort models

1 Introduction

The increasing trends of urbanization across the globe have caused tremendous pres-
sure on the environment (Zhang, 2016). Such pressure shows itself as unsustainable
pattern of urban growth (sprawl), the increasing number of cars, decreasing green

H. Alizadeh (B)
Department of Geography and Urban Planning, Faculty of Humanities, Shahid Chamran
University of Ahvaz, Ahvaz, Iran
e-mail: h-alizadeh@[Link]
A. Sharifi
The IDEC Institute, Hiroshima University, Higashi-Hiroshima, Japan
H. Alizadeh
Iran Ministry of Road and Urban Development, Office of Housing Planning and Economies,
Tehran, Iran

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 249
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
250 H. Alizadeh and A. Sharifi

space per capita, and huge amounts of energy consumption in the cities. These have
led to a large-scale modification in urban land use and land cover pattern and, conse-
quently, brought about adverse effects in cities (Mohan et al., 2020). All these, which
threaten the health of citizens and urban sustainability, have caused concerns among
researchers, policymakers, and urban planners (Bartholy & Pongrácz, 2018).
Recently, the significant growth of some concepts in the literature, such as ‘cool
cities’, ‘urban heat islands’, and ‘thermal comfort’ are justified in line with the
concern of climatic manifestations of urbanization (Qi et al., 2021; Taha, 2015).
Among these, thermal comfort refers to the existence of a satisfactory temperature
for individuals in urban spaces that does not lead to endangering their health (Ahmed,
2003). In fact, this matter is related to the quality of outdoor and semi-outdoor spaces
in the city, such as parks, squares, pedestrian streets, public recreational spaces,
residential areas, sports stadiums, etc., that assist in creating spaces for exercising
and socializing of the citizens. The quality of design and placement of these spaces
and the pattern of land cover significantly impact the city vitality and livability,
especially individuals’ thermal comfort (Chen & Ng, 2012).
Considering the importance of urban sustainability, urban climate change adap-
tation, and urban health, many scholars have attempted to explain how to estimate
and create manners to reach thermal comfort in the cities. In this road, particularly,
numerous studies have sought to present and expand assessment tools and models
to measure thermal comfort in cities. Concerning this matter, previous literature
shows that thermal comfort models have mainly focused on two aspects, namely,
knowledge-based thermal comfort methods and data-driven thermal comfort models.
To this end, an effort has been made to describe these models and assessment tools
in this chapter.

2 Knowledge-Based Thermal Comfort Models

Based on the literature, knowledge-based thermal comfort models are known as

traditional models that are classified into heat balance models and adaptive models. In
brief, heat balance models based on laboratory studies believed that thermal comfort
could be obtained by holding body temperature in a narrow range, low skin moisture,
and minimizing the physiological effort of regulation (De Dear et al., 2020). On the
other side, adaptive models, based on field studies, claim that a variety of temperature
ranges can be assumed comfortable for individuals because they can adapt to varying
boundary conditions (Yao et al., 2009).
Some of the most famous models related to both aspects are described in the
following.
14 A Study on Thermal Comfort Assessment Frameworks and Models … 251

2.1 Predicted Mean Vote (PMV)

Predicted Mean Vote (PMV) has been proposed by Fanger in 1970 based on his labo-
ratories and chambers studies (Yau & Chew, 2014). In this model, Fanger expanded
a type of heat balance equation, which consists of a combination of six factors that
affect achieving a thermal balance between the human body and the environment
(Li & Liu, 2020). These factors include four primary and two personal factors shown
in Fig. 1.
According to Yao et al. (2009) “The PMV model is based on extensive Amer-
ican and European experiments involving over a thousand subjects exposed to well-
controlled, extensive and rigorous laboratory environments” (p. 2089). The PMV
model estimates thermal comfort based on the six factors mentioned and quantifies
the absolute and relative impact of the factors in light of what is thermally comfortable
(Efeoma & Uduku, 2014). The equation of PMV model is shown below:

f = (T A, T M, V E L , R H, M E T, C L O) = 0 (1)

Based on the model equation, it is predicted that in terms of the skin temperature
and sweat rate limits, a person will have thermal comfort when the thermal load of
his body is equal to zero (Zhang & Lin, 2020). This model has been used widely and
measures thermal comfort based on a seven-point scale (+3 = hot, +2 = warm, +1 =
slightly warm, 0 = neutral, 1 = slightly cool, 2 = cool, 3 = cold) (Zheng et al., 2021).
Practically, “PMV is also commonly interpreted by the Predicted Percentage Dissat-
isfied Index (PPD), which is defined as the quantitative prediction of the percentage
of thermally dissatisfied people at each PMV value” (Chen & Ng, 2012, p. 129).

Fig. 1 Constituent factors of PMV model—Modified from (Adapted from Efeoma & Uduku, 2014)
252 H. Alizadeh and A. Sharifi

Fig. 2 ASHRAE thermal

comfort scale (Adapted from
Lu et al., 2019)

2.1.1 ASHRAE

American Society of Heating, Refrigerating, and Air-Conditioning Engineers

(ASHRAE) gained considerable ground among researchers in the 1990s in terms
of field studies (Toe & Kubota, 2013). The model is considered a method to fill
the gap between comfort theory and practice. ASHRAE was developed by de Dear
and Brager,”is based on the analysis of about 9,000 of the 21,000 sets of raw data
compiled from field studies in 160 buildings located in diverse climatic zones around
the world” (Carlucci et al., 2021, p. 2).
As shown in Fig. 2, this model measured thermal comfort based on a seven-point
sensation scale, which runs from “cold” (–3) to “neutral” (0) to “hot” (+3) and is
drawn from the PMV model of Fanger (1970) (Langevin et al., 2012). In the edited
version of ASHRAE by Humphreys and Nicol, 2004, ASHRAE scale is from −3
(much too cool) to +3 (much too warm).
The Humphreys 1975–1981 database and the ASHRAE RP-884 database as a
meta-analysis of a larger database in the context of field surveys were applied for
developing ASHRAE adaptive standard. In between, the ASHRAE RP-884 database
that could cover various climatic areas, such as hot–humid areas, has been applied
by numerous studies (Farghal & Wagner, 2010; Schweiker & Shukuya, 2012; Toe &
Kubota, 2013). This database was used as the basis for the development of ASHRAE
standard 55: Thermal Environmental Conditions for Human Occupancy. Since then,
“the adaptive thermal comfort model was first included in the 2004 edition of
the ASHRAE Standard 55; and subsequent revision of the Standard thereafter”
(Efeoma & Uduku, 2014, p. 403).

2.1.2 ISO 7730

The ISO 7730 standard is an adaptive thermal standard based on Frager’s work
with young Danish students on the PMV model (Ealiwa et al., 2001). This standard
is presented to predict the general thermal sensation and degree of discomfort. It
can analyze and interpret thermal comfort based on the PMV and PPD (predicted
percentage of dissatisfied) and local thermal comfort (Zare et al., 2018).
14 A Study on Thermal Comfort Assessment Frameworks and Models … 253

Overall, The ISO 7730 standard was expanded in parallel with ASHRAE 55. This
standard is part of a series of ISO standards (Such as ISO 7243, ISO 7933, and ISO/
TR 14415) that are revised every 5 years and used in a range of thermal environments
from mild to extreme (Wilde, 2020).

2.2 The Physiological Equivalent Temperature (PET)

The Physiological Equivalent Temperature (PET), which is known as a steady-state

method, is a temperature dimension index based on degrees Celsius. PET has been
formed considering Munich Energy-balance Model for Individuals (MEMI).The
MEMI is defined according to the energy balance equation for the human body.
Below, the structure of this equation and the definitions of its components are
described (Matzarakis & Amelung, 2008):

M + W + R + C + E D + E Re + E Sw + S = 0 (2)

M: “the metabolic rate (internal energy production)”;

W: “the physical work output”;
R: “the net radiation of the body”;
C: “the convective heat flow”;
E D : “the latent heat flow to evaporate water diffusing through the skin”;
E Re : “the sum of heat flows for heating and humidifying the inspired air”;
E Sw : “the heat flow due to evaporation of sweat”;
S: “the storage heat flow for heating or cooling the body mass”.
Two points is important in this equation. First, the unit of all heat flows is defined
based on Watt, and second, “the individual terms in this equation have positive signs if
they result in an energy gain for the body and negative signs in the case of an energy
loss (M is always positive; W, E D and E Sw are always negative)” (Matzarakis &
Amelung, 2008, p. 165).
PET has been found suitable for the analysis of outdoor thermal comfort. As stated
by Chen and Ng (2012) in this model, “the evaluation of a complex outdoor climatic
environment translates to a simple indoor scenario on a physiologically equivalent
basis” (p. 114) in an easy understanding and interpreting manner.

2.3 Black Box Theory

The black box theory, widely used in cybernetics, applies the variables, such as
culture, climate, social, psychological, and behavioral adaptations that significantly
impact thermal perception (Shooshtarian, 2019). The main point of this theory is to
explore and assess the logical and statistical relationships between information that
254 H. Alizadeh and A. Sharifi

is applied in the box and instructions that are known as output (De Dear et al., 2020).
The principles of this theory can be described as follows:
. Defining a deterministic stimulus for the black box that is the input of the system;
. Black box output and focus on establishing a meaningful statistical relationship
between input and output;
. Using mathematical methods to express the relationship and develop the black
box with a mathematical model (Yao et al., 2009).

2.4 Adaptive Thermal Comfort Standards

Besides the models mentioned above related to knowledge-based thermal comfort

models, adaptive standards have also had a key effect in expanding these kinds of
models across the globe. In fact, adaptive standards have had a significant impact on
the visibility of adaptive models since 2004. The trend of consideration of adaptive
standards began from ASHRAE 55, elaborated in 2004. In addition to ASHRAE
55 and ISO 7730 described above, there are some major standards in expanding the
adaptive models. These are briefly explained in the next section.

2.4.1 EN 15251

EN 15251, the European standard, which specifies the indoor environmental param-
eters, and its revision prEN 16798 are adaptive standards that were applied PMV
and adaptive models in their structure (Carlucci et al., 2018). Presented in 2007, EN
15251 was formed based on empirical data obtained from close to 1,500 participants
recorded in the pan-European Smart Controls and Thermal Comfort (SCATs) project
(De Dear et al., 2020; Pozas et al., 2022).
The main aim of this standard was to reduce the energy usage by air conditioning
systems through varying setpoint temperatures in line with outdoor temperature by
applying an ‘adaptive algorithm’. To this end, numerous physical measurements and
subjective responses from numerous locations in France, Greece, Portugal, Sweden,
and the UK were recorded. As pointed out by De Dear et al. (2020), to optimize
the performance of the EN 15251 standard, “the Griffiths method rather than linear
regression was applied to estimate the neutral temperature with Griffiths Coefficient
of G = 0.5, meaning that thermal sensation votes were presumed to change at the rate
of one vote (on the 7 point scale) per 2 K change in operative temperature” (p. 12).

2.4.2 Dutch ISSO 74-2004/2014

This is another adaptive standard used to assess thermal comfort in unconditioned,

mixed-mode, and conditioned spaces (Hamdy et al., 2017). Like ASHRAE 55, ISSO
14 A Study on Thermal Comfort Assessment Frameworks and Models … 255

is based on data from the RP-884 database. Moreover, the ISSO algorithm for thermal
neutrality is in the same manner as the RP-884 project (De Dear et al., 2020).
ISSO followed two application scenarios, namely, Alpha-space and beta-space.
The first one is “free-running situations in summer with operable windows and a
non-strict clothing policy for the occupants”, and the second one is related to those
“which primarily rely on centrally-controlled cooling in summer.” (De Dear et al.,
2020, p. 14).
Compared to the 2004 version, in the 2014 version of ISSO, four types of changes
were applied: (1) Considering specific interior spaces rather than the entire building.
(2) Being based on a smaller and entirely European SCATs database. (3) Division of
temperature conditions in four classes instead of three classes, and (4) Adopting a
different method in calculating the outdoor temperature and adopting 7-day outdoor
temperature horizon instead of 3-day temperature horizon (De Dear et al., 2020).

2.4.3 GB/T 50785

GB/T 50785 standard is a Chinese comfort standard for free-running buildings. This
standard is based on a field study, and its data source comes from fourteen major
cities in China with five climate zones (Li et al., 2018). The topology of the buildings
assessed in this standard is public buildings, such as official and educational buildings,
and multi-family residential buildings (De Dear et al., 2020; Xu et al., 2016).
The process of conducting field studies included 28,000 subjects by coverage of
summer, winter, spring, and autumn seasons. In this standard, a graphical method
has been applied for calculating neutral temperature, and for adopting a climate
temperature index, a running mean temperature was used (De Dear et al., 2020).
Using a graphical method to calculate the neutral temperature in this standard is an
approach similar to that of ASHRAE 55-2013. Also, there are three categories for
describing operative temperature: (I) “a still air comfort zone (<0.15 m/s)” (II) “the
rest of the acceptable area”, and (III) “unacceptable temperatures” (Khovalyg et al.,
2020).

3 Data-Driven Thermal Comfort Models

Since the second decade of the twenty-first century, rapid advances in statistic science
have brought new approaches and methods into the human thermal comfort field.
Since 2016, using IoT sensing technologies, big data, machine learning, and deep
learning techniques has been more popular among researchers to assess thermal
comfort (Zhao et al., 2014). These models in the context of human thermal comfort
are known as data-driven models (Gao et al., 2021). The ability to simulate different
situations and use new methods in data management, classification, and analysis can
be one of the advantages of data-driven models.
256 H. Alizadeh and A. Sharifi

A variety of algorithms based on new analytical methods and tools can be seen
in previous literature. In the next section some of the frequently used data-driven
models that have been applied for assessing thermal comfort are described.

3.1 Gaussian Naïve Bayes (GNB) Algorithm

This algorithm is a defined kind of naïve Bayes algorithm. This algorithm can be
used in a situation where the requested variables (P) have non-interrupted values to
solve. When we work with real-time data in thermal comfort analysis and have this
assumption that the data (objectives) (x) associated with each class (y) is regularly
distributed with a Gaussian distribution, we can use the GNB algorithm. In fact, this
algorithm helps us to have a model with high-performance capability, high training
speed, and the ability to correctly predict the characteristics of the data belonging to
each class (Srivastava, 2020). At the following, Fig. 3 shows the function of GNB
classifier.
According to Fig. 3 and as it has been stated by Raizada and Lee (2013), in the
assessment process of GNB algorithm, “for each data point, the z-score distance
between that point and each class-mean is calculated, namely the distance from the
class mean divided by the standard deviation of that class ” (p. 2).

Fig. 3 The function of GNB classifier (Adapted from Raizada & Lee, 2013)
14 A Study on Thermal Comfort Assessment Frameworks and Models … 257

Fig. 4 An example of KNN diagram2

3.2 K-Nearest Neighbor

K-Nearest Neighbor algorithm (KNN) is known as a supervised machine learning

algorithm that can be applied to either classification or predictive regression problems
(Xiong & Yao, 2021). The main assumption in this algorithm is that similar points
can be placed next to each other (Wang et al., 2019). As can be seen in Fig. 4, for
assessing classification problems, a class label is produced considering the majority
vote. The meaning of “majority voting” is applying majority of over 50% of vote
when just two classes have established the data.1
Besides the same manner as classification problems, for regression problems, it
is important taking into account the average of the k (as a tuning parameter) nearest
neighbors for creating a prediction about a classification (García-Laencina et al.,

1 [Link]
2 [Link]
258 H. Alizadeh and A. Sharifi

Fig. 5 The structure of DT algorithm3

2015). Contrary to classification in which discrete values are used, it is considered

continuous values for regression (Gu et al., 2018).

3.3 Decision Tree

Known as a non-parametric supervised learning algorithm, Decision Tree (DT) is

used for both classification and regression tasks (Ramosaj & Pauly, 2019). This algo-
rithm advances the work of analysis by creating a hierarchical tree graph that expands
the partition of a dependent or target variable by multiple independent variables. By
this partitioning, the strength of relationships in a dataset is determined through the
size of the split at each step (Vellei et al., 2017).
Based on Fig. 5, the structure of DT has been established by a hierarchical struc-
ture, which includes a root node, branches, internal nodes, and leaf nodes (Shorabeh
et al., 2022).
The analysis process in this algorithm starts from the root node and the data space
divides into several regions as new nodes. By repeating this process, some more
new nodes are created. In the tree-shaped structure of the algorithm, each branch
of the tree finishes in a leaf node. Leaf nodes provide categories that are the best
interpretation of the state of the respective regions as long as the data cannot be
further divided than the current state (Vellei et al., 2017).

3 [Link]
14 A Study on Thermal Comfort Assessment Frameworks and Models … 259

Fig. 6 Examples of SVM outputs by using multiple kernel functions4

3.4 Support Vector Machine

Support Vector Machine (SVM) is a supervised learning model related to learning

algorithms that analyze data for both classification and regression analysis. Due to
generalization ability, SVM classifiers are widely used in the previous literature (Du
et al., 2020).
Besides making linear classification, SVMs are able to accomplish a non-linear
classification using kernel trick and mapping their data into high-dimensional feature
spaces (Tiwari, 2022). in fact, The SVM algorithm can create a variety of learning
machines by applying different kernel functions (Du et al., 2020). Figure 6 illustrates
SVM classifier outputs by applying multiple kernel functions.

3.5 Random Forest

Random Forest (RF) is a commonly-used machine learning algorithm that provides

a single result by the combination of multiple decision tree outputs. RF also handles
both classification and regression problems. Regarding this, as stated by Vellei et al.
(2017) RF “is an ensemble of tree-based models and can be used for classification
tasks when the base models are classification trees, or regression tasks when the base
models are regression trees” (p. 18).

4 [Link]
260 H. Alizadeh and A. Sharifi

Fig. 7 A diagram of RF5

Three main hyperparameters exist in RF: node size, tree numbers, and the
number of features sampled (Lulli et al., 2019). Overall, the advantages of this algo-
rithm include its use in big data, being resistant to outliers, dealing with simple
and complex linear relationships, and creating competitive prediction accuracy in
high-dimensional data (Han & Kim, 2021). Figure 7 shows a diagram of RF.

4 Comparison of the Knowledge-Based and Data-Driven

Models

As revealed in this study, the models that are known as thermal comfort models are
classified into knowledge-based models and data driven models. The knowledge-
based models, called traditional models, started to apply in the thermal comfort
analysis in 1970 (Carlucci et al., 2018). In between, the data-driven models became
famous, especially since the last decade (Schwieker, 2022). Historically, these two
kinds of models have been raised in different times. In fact, considerable advances
in analytical and statistical tools make significant differences among them (Park &
Nagy, 2018).
The main difference between these models is based on the methodological
approach. In this regard, in the knowledge-based thermal comfort models, researchers
use laboratory and field studies to obtain and analyze data (De Dear et al., 2020;
Zheng et al., 2021). The data are also analyzed considering some pre-articulated
standards for assessing the results (De Dear et al., 2020). The analysis process
is time-consuming, and the accuracy of the results may be low. Moreover, these
models use a series of mathematical deductions with certain inputs, for example,
clothing thermal resistance, ambient temperature, and wind speed, to obtain outputs

5 [Link]
14 A Study on Thermal Comfort Assessment Frameworks and Models … 261

(Zhao et al., 2021). Carlucci et al. (2018) state that despite promoting the uptake of
knowledge-based models, especially adaptive comfort models by practitioners and
designers, full exploitation of these models is impossible due to uncertainties related
to their application.
On the contrary, data-driven models are flexible and utilize new advanced statis-
tical tools and software (Feng et al., 2022; Park & Nagy, 2018). These models
provide and facilitate using big data and simulating different and various situations
in the thermal comfort analysis for researchers. This means that the data can be
analyzed simultaneously in different and diverse conditions with several statistical
methods, and a better comparison of the results can be obtained (Zhao et al., 2014,
2021). In fact, they are established based on big data, machine learning and deep
learning algorithms, and neural network and provide high matching of input and
output for assessing thermal comfort. Under this circumstance, the prediction accu-
racy is improved, and the possible errors are reduced (Feng et al., 2022; Zhao et al.,
2021). As stated by Zhao et al. (2021) “data-driven models can make accurate and
efficient prediction of individual thermal comfort, which will also make the thermal
comfort model more practical and have more life-oriented applications” (p. 31).
Overall, compared to the inflexibility, relatively limited amount of data, time-
consuming process, and the use of relatively old methods in knowledge-based
models, data-driven models are flexible, use new and various methods and big data,
and have high efficiency in complex conditions. All these conditions have caused
researchers to benefit more from data-driven models in studies related to thermal
comfort.

5 Conclusions

Considering the recent transformations of urbanization and the increasing trend of

climate change in cities around the world, the issues of urban heat islands and moving
toward cool cities and having thermal comfort are essential for urban dwellers. To
reach and assess thermal comfort in cities, numerous models and assessment frame-
works have been accomplished. According to the literature, there are two major
classifications for describing thermal comfort assessment frameworks and models.
They are knowledge-based models and data-driven models.
Knowledge-based models and tools are known as traditional methods that have
gained their ground among scholars since 1970. These kinds of thermal comfort
models obtain their data through both laboratory and field studies. They are divided
into heat balance models and adaptive models. Adaptive models and standards have
played a pivotal role in transformations and considerable development of thermal
comfort models and assessment tools in the past three decades.
Since last decade and following massive transformations and advances in statistics
and analytical tools, IoT and smart simulation algorithms based on deep and machine
learning have been widely used for assessment of thermal comfort in cities. They are
known as data-driven models, which use big data and simulate a variety of situations
262 H. Alizadeh and A. Sharifi

to analyze and explain an individual’s thermal comfort. As we have shown in this

study, data-driven models have some major advantages compared to knowledge-
based models. These advantages are summarized as: the capability to use big data,
the ability to achieve a high level of prediction, robustness to outliers, and the ability
to deal withcomplex situations.

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Chapter 15
Who Benefits More from Urban Cooling
Strategies? Exploring Climate Justice
in Vulnerable Groups’ Access
to Blue-Green Infrastructure in Mashhad
City, Iran

Safoora Mokhtarzadeh and Mahdi Suleimany

Abstract Climate change and consequently global warming have made the decision-
makers adopt a set of urban cooling strategies and policies. These policies, the most
common of which is the development of blue-green infrastructures, lead to a decrease
in the ambient temperature of cities. However, many studies suggest that the uneven
development of these infrastructures has led to climate injustice in many cities. In
other words, developing blue-green infrastructure to meet predefined standards is one
side of the coin in coping with global warming, which indicates the efficiency of urban
resiliency measures. While ensuring equitable access to these services and infras-
tructures is the other side, which shows the effectiveness of adaptation programs.
Therefore, in this research, we have analysed climate justice in a case (Mashhad
metropolis, Iran) considering vulnerable groups’ access to blue-green infrastruc-
ture. We have implemented spatial analysis techniques and multi-scale geographic
weighted regression (MGWR) model to identify the patterns of the aforementioned
climate (in)justice at two scales of city and neighbourhoods. The results have indi-
cated the significant climate injustice in low-income groups’ access to blue and green
infrastructures on both scales. Besides, the findings have depicted patterns of climate
injustice in the access of sensitive age groups, the disabled, and immigrants to blue
infrastructure. The most important reason for this injustice is the uneven distribution
and development of blue infrastructures and their spatial concentration in the western
half of the city which arose from the inequitable decisions of city management and
planning. Although these findings are context-specific, the research process is appli-
cable to any other context. We have also provided some recommendations to promote
climate justice in the adoption of urban cooling policies.

S. Mokhtarzadeh
Department of Urban Planning, Faculty of Architecture and Urbanism, Daneshpajoohan Pishro
Higher Education Institute, Isfahan, Iran
M. Suleimany (B)
Department of Urban Planning and Management, University of Tehran, Tehran, Iran
e-mail: [Link]@[Link]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 265
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
266 S. Mokhtarzadeh and M. Suleimany

Keywords Blue-green infrastructure · Climate justice · Vulnerable groups ·

Multi-scale geographically weighted regression (MGWR) · Mashhad city

1 Introduction

The persistent global warming in both air and surface temperatures has imposed
significant challenges to the planning and decision-making systems at different
scales. These challenges, which include a wide range of physical and non-physical
issues, have become one of the main concerns of many cities worldwide (Carter et al.,
2015; FAO, 2015). The reduction of thermal comfort in human settlements (Hosseini
et al., 2022), casualties due to heat waves (CDC, 2020), and the increase in the inten-
sity of urban heat islands (Hsu et al., 2021) are common examples of the aforesaid
global warming impacts on various cities. Many cities around the world have adopted
urban cooling strategies to cope with these challenges. Urban cooling strategies are
a set of spatial policies and physical regulations that benefit urban communities to
mitigate the impacts of global warming and adapt to changing climatic conditions
(Gunawardena et al., 2017).
Urban cooling strategies, which are discussed in detail in the next section, include
public policies and measures that reduce citizens’ exposure to heat stress and waves.
These strategies include multiscalar decisions from micro (i.e. building structure
and design) and meso-scale (i.e. urban blocks and neighbourhood layout and design)
regulations to macro policies. Furthermore, many municipalities have allocated part
of their public budget to the implementation of these policies and regulations (Chesh-
mehzangi & Dawodu, 2020). The improvement of green infrastructure (including
urban gardens, street trees, and drains) and water bodies (such as urban streams)
are prevalent forms of these policies in different urban cases (Marando et al., 2022).
Numerous studies and simulations have indicated the significant effect of blue-green
infrastructures on urban thermal comfort and the reduction of urban heat island
intensity (Li et al., 2022).
Considering that global warming and heat waves are not limited to geograph-
ical boundaries, decision-makers must somehow adopt urban cooling strategies that
benefit all citizens, especially vulnerable groups (Gunawardena et al., 2017). Plan-
ners must ensure equitable access to blue-green infrastructure in cities. Particularly,
sensitive groups, such as children, the elderly, the disabled, immigrants, and low-
income households, who are more vulnerable to heat waves and climate crises, should
be less exposed to these stresses and have proper access to blue-green infrastruc-
ture (McMillan et al., 2022). Supporting climate justice in cities and planning to
improve blue-green infrastructure are among the fundamental efforts in building
climate-resilient communities and sustainable development. Constant monitoring,
assessment, and context-specific planning are essential to maintain urban climate
justice (Steele et al., 2015).
Funding the urban cooling strategies and the development of the blue-green infras-
tructures from the public budget, along with the significant need of vulnerable groups
15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 267

to access these infrastructures in the climate change era, face us with two research
questions; 1—How is the access of vulnerable groups to blue-green infrastructure
in cities compared to other citizens?, 2—What policies and solutions are there to
promote climate justice in the adoption and implementation of urban cooling strate-
gies? Indeed, in this study, we seek to explore and assess climate justice in the access
of vulnerable groups to blue-green infrastructure. Researching to answer these ques-
tions in this study enables us to comprehend how to ensure the equitable distribution
of policies and measures (specifically urban cooling) in coping with global warming
and climate change.
To answer the research questions and develop a theoretical framework, we have
first reviewed urban cooling strategies and climate justice philosophy. Then, using
spatial analysis techniques, we investigated climate justice in the access of vulner-
able groups to blue-green infrastructure in the case study. Finally, by analysing
the obtained results, we provided recommendations to promote climate justice and
develop blue-green infrastructure in the case. The contribution of this study to the
literature is to provide a process for exploring and assessing urban climate justice
with an emphasis on the development of blue-green infrastructure. The process of this
study, which has been implemented on a case in this article, helps decision-makers
to assess the fairness of their actions in coping with global warming and urban heat
waves and to promote climate justice in cities.

2 Cooling Cities with Blue-Green Infrastructure

Global warming, extreme heat waves, and urban heat islands are intense challenges
for human settlements today and tomorrow, which impose many consequences on
the socio-economic structure of communities. Extreme heat leads to an increase in
energy consumption on a large scale and endangers the public health of communi-
ties. Numerous studies and reports suggest that extreme temperatures significantly
increase mortality rates, particularly among vulnerable groups (CDC, 2020; Tong
et al., 2021). Besides climate change and global warming as driving factors, several
contextual characteristics influence the temperature of urban environments. Urban
form by directing wind and heat flow, reflective surfaces, and blue-green infrastruc-
ture are among the most important of these characteristics (Abdulateef & Al-Alwan,
2022; Ibrahim, 2021).
Urban cooling strategies are a wide range of policies and measures to reduce
ambient temperature and mitigate the heat exposure of citizens (Khosla et al., 2021).
Most of these policies and measures fall into two main cooling strategies: 1—imple-
menting “cool materials” with high solar reflectance as pavements and buildings’
façades; and 2—developing blue-green infrastructure which causes passive cooling
through evaporation, environmental transpiration, and shading (Hayes et al., 2022;
Peng et al., 2020). Green infrastructure refers to any form of urban vegetation,
including forests, agricultural fields, pastures, lawns, parks, private gardens, green
roofs, green walls, and other facilities; And blue infrastructure directs to water bodies
268 S. Mokhtarzadeh and M. Suleimany

(both natural and artificial) such as lakes, water reservoirs, rivers, wetlands, swamps,
water engineering facilities, and the like (Cao et al., 2022; Sanusi & Jalil, 2021).
Blue-green infrastructures diminish the temperature and mitigate the UHI effect
through two main natural processes: 1—shading on urban surfaces; 2—improving
environmental humidification and evapotranspiration (Antoszewski et al., 2020).
While green infrastructure is widely known to reduce the adverse effects of urban
heat, the impacts of blue infrastructure to regulate thermal comfort are still under-
studied (Balany et al., 2022). Blue infrastructure is an essential factor of the urban
environment responsible for many ecological services whose UHI mitigation func-
tions are often overlooked. This is because the effect of water facilities in reducing
the urban heat is seasonal, and the cooling impacts of reservoirs and waterways are
strongly influenced by wind speed and direction. However, blue-green infrastructure
as a planned network, could combine natural and designed landscapes in urban areas
and embed the spaces aiming to provide various environmental benefits, including
urban cooling (Gunawardena et al., 2017).
Blue-green infrastructures and their functional connections and interrelationships
within and adjacent to cities have the potential to provide a wide range of ecosystem
services for urban residents (Andersson et al., 2019). Besides modifying urgent issues
such as rising temperature, and poor environmental quality, these infrastructures can
help alleviate broader challenges of urban sustainability, like the need for outdoor
recreation, improvement in mental health, and improved socialisation of the commu-
nity residents by spaces for social activities (Kabisch et al., 2017). The improvement
and fair distribution of blue-green infrastructure in cities as nature-based solutions
can significantly reduce the ambient temperature of urban spaces. Therefore, the
urban decision-making systems should ensure proper and fair access to these infras-
tructure to mitigate heat exposure of citizens, particularly vulnerable groups, and
advance the climatic adaptability of communities (Silva et al., 2018).

3 Climate Justice

Urban cooling strategies have been adopted in many cities to cope with global
warming as one of the consequences of climate change. However, studies have indi-
cated that due to the lack of balance and climate justice in the adoption of these
strategies and the implementation of related policies, efforts to curb the consequences
of global warming have failed in some cases (Juhola et al., 2022). To comprehend
the philosophy of climate justice, we must foremost understand the following key
aspects:
1. There is no equal responsibility and burden for climate change and global
warming
2. Some people and groups are more vulnerable to global warming impacts. There
is no equal suffering from climate change and crises
15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 269

3. This vulnerability arises from the political, economic, and social trends in the
communities that led some to have fewer and worse facilities and conditions in
face of climate crises
4. The mechanisms of disadvantage ingrained in the current economic systems
will cause climate change impacts to worsen as more people live in developing
countries
5. Vulnerability and inequality may be exacerbated or maintained by some unequal
climate change policies, and uneven distribution of services and infrastructures
(Steele et al., 2015).
Climate justice is a broad and common concept in the literature of planning and
climate change, and several definitions have been provided for it. In common, climate
justice refers to the fair division, equitable sharing, and just distribution of the advan-
tages and disadvantages of climate change in addition to the responsibilities and
facilities to cope with its consequences (Schlosberg & Collins, 2014). Considering
vulnerable socio-economic groups in climate adaptation programs, including urban
cooling strategies, is one of the main prerequisites for improving climate justice.
Since vulnerability to climate crises is context-specific, it is necessary to diagnose
mitigation and adaptation needs among societal groups to ensure climate justice
(Juhola et al., 2022).
Considering that climate justice has a lot in common with social and distributive
(spatial) justice, in this research we seek to investigate the distribution of blue-
green infrastructure to vulnerable groups (those who suffer more). Fair distribution
in climate change adaptation plans and measures, including urban cooling strategies,
is one of the foundations of climate justice in communities. This fair distribution
requires constant monitoring of adaptation regulations and policies and also evalu-
ation of vulnerable groups’ access to blue-green infrastructure (Carter et al., 2015).
Although the definition and extent of vulnerable groups vary in different studies and
contexts, in common, four vulnerable groups can be identified according to global
warming:
1. Sensitive age groups, including children and the elderly, are more vulnerable to
extreme heat and urban heat waves due to their physical condition (Meade et al.,
2020).
2. Disabled people have less ability to face bad climatic conditions due to physical
or mental problems (Mitchell & Chakraborty, 2015).
3. Immigrants are often more vulnerable to extreme heat due to their low adjustment
to climatic conditions (Black et al., 2016).
4. Low-income households are often more exposed to extreme heat and urban heat
waves due to less access to HVAC1 systems and public or welfare services
(Sandholz et al., 2021).
Some studies have also measured climate justice concerning women (gender
equality), ethnicities, and different races (Mashhoodi, 2021). Although these efforts
led to the study of climate justice in further dimensions, as mentioned, the concept

1 Heating, Ventilation, and Air Conditioning.

270 S. Mokhtarzadeh and M. Suleimany

of vulnerability to climate change and global warming is contextual and should be

determined according to existing social, economic, and institutional trends (Fitzgib-
bons & Mitchell, 2021). The aforementioned groups should be less exposed to climate
crises and heat waves due to various limitations and weaknesses. Therefore, these
groups should have proper access to the blue-green infrastructure on different scales.
Figure 1 represents the conceptual theoretical framework of the study based on the
discussed literature.

4 Material and Method

We used spatial analysis techniques to evaluate climate justice considering the access
of the four mentioned vulnerable groups to blue-green infrastructure. This analysis
included three main steps: data collection, model implementation, and interpretation
of findings.

4.1 Data Collection

The data required for this analysis contained demographic information of vulnerable
groups in the case study and spatial maps of blue-green infrastructures. We collected
demographic information from national census data, which was at the scale of urban
blocks. We obtained spatial maps of blue-green infrastructures by remote sensing and
satellite image processing, since there were no documented up-to-date and accurate
maps of the case blue-green infrastructures. We used the map of the normalized
difference vegetation index (NDVI) to determine green infrastructure and the map of
the normalized difference water index (NDWI) to determine water bodies (Labib &
Harris, 2018). We prepared these indicators by processing Landsat 8 Collection 1
Level-1 satellite images from the [Link] database. Table 1
represents more details of the collected data.

4.2 Model Implementation

We implemented multi-scale geographically weighted regression (MGWR) model

to analyse the spatial accessibility of vulnerable groups to blue-green infrastructure
in the case. Geographically weighted regression (GWR) is a geographical statistical
approach that addresses the potential limitations of conventional “global” regression
models in cases where spatial processes differ depending on the context of the data
(Oshan et al., 2019). This model analyses the influence and relationship between
independent and dependent variables according to the change of data on the same
spatial scale. MGWR is a new modification to the GWR framework that enables each
15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 271

Fig. 1 Conceptual theoretical framework of the study (Source Authors)

272 S. Mokhtarzadeh and M. Suleimany

Table 1 List of data and information used in the research and their sources
Category Data/information Scale Source
Vulnerable Rate of children (less than 10 years old) or Urban Block National
groups elderly people (over 60 years old) residing 2015 Census
Data
Rate of residents with any physical or mental Urban Block National
disabilities 2010 Census
Data
Rate of residents who migrated to the city Urban Block National
less than 10 years ago 2015 Census
Data
Rate of unemployed residents or those with Urban Block National
low-income jobs 2010 Census
Data
Infrastructures Green infrastructure (area with the NDVI Map (with Landsat 8
higher than 0.1) 30.m pixel 2013–2015
resolution) Images
Water Bodies (area with the NDWI higher Map (with Landsat 8
than 0.0) 30.m pixel 2013–2015
resolution) Images
Source Authors

connection to change at a different spatial scale. Since the connection between the
answer and independent variables is permitted to fluctuate locally, regionally, or not
at all, MGWR is significantly less constrained in its deductions than GWR (Stewart
Fotheringham et al., 2017).
To implement the MGWR model, we ran MGWR 2.2 open source application
which was developed by Arizona State University based on Oshan et al. (2019)
proposed python codes (Oshan et al., 2019).2 First, we calculated the population rate
of each vulnerable group and the area rate of blue-green infrastructure for neigh-
bourhoods with ArcMap software. We did this to reduce the number of calculations
and enable the examination of changes at the city scale. Subsequently, we extracted
the information of each neighbourhood, including the data related to vulnerable
groups and blue-green infrastructures, as well as the geographical coordinates of the
centre of each neighbourhood to a spreadsheet. We separately defined the blue-green
infrastructure area rate of each neighbourhood as the response variable and each
vulnerable group population rate as the covariate. Therefore, we implemented this
model twice, once to measure climate justice in the access of vulnerable groups to
green infrastructure and once in their access to water bodies.

2 This free software is accessible at: [Link]

15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 273

4.3 Interpretation of Findings

In the neighbourhoods where the regression coefficient is significant (p-value < 0.05),
if the regression coefficient is positive, it indicates that vulnerable groups have more
access to blue-green infrastructure in the case, and if it is negative, it suggests that
these groups have less access to blue-green infrastructure. The global regression, if
significant, is interpreted in the same way and indicates climate (in)justice at the city
scale.

4.4 Case Study: Mashhad Metropolis, Iran

The case study of this research is the Mashhad metropolis, the second-largest
metropolis of Iran, and the centre of Khorasan Razavi province. This city is located in
the northeast of Iran and has a population of about 3 million people. The city’s latitude
is from 36:37' to 36:58' north and the longitude is 59:26' to 59:44' east, and it has an
area of about 300 square kilometres (Mansouri Daneshvar et al., 2019). According to
the Köppen-Geiger climate classification, Mashhad city has a dry climate It has cool
winters and hot summers. The city has an average annual rainfall of 250 mm (9.8
in), and summers have high temperatures that sometimes exceed 35 °C (Naserikia
et al., 2019).
Mashhad metropolis experienced rapid growth from 1988 to 2017, along with
intense land cover change. Its cultural, religious, and economic attractions have
caused many people to travel or migrate to this city for different purposes. This has
led to a dramatic increase in construction, especially in recent decades. With the
vast increase in population and the development of built areas and infrastructure,
a significant area of vegetation and ecosystem services have been converted into
built-up surfaces (Soltanifard & Aliabadi, 2019). Furthermore, climate change has
manifested in prolonged periods of drought and, as a result, reduced water levels
(blue area) in the city. These changes, along with socio-economic inequalities and
widespread marginalization, especially in the northern and eastern parts of the city,
have caused inequitable access to urban services for some socio-economic groups
(Mansouri Daneshvar et al., 2019). Today, the intensification of urban heat islands and
the increase in land and air temperatures are instances of the climatic challenges of the
Mashhad metropolis. With the growth of the built area, the natural vegetation cover
has decreased and been replaced by urban uses and built coatings such as concrete
and asphalt, which leads to additional heat on mutual surfaces (Naserikia et al.,
2019). Figure 2 represents the geographical and political location and blue-green
infrastructures of the Mashhad metropolis.
 274

Fig. 2 Location and blue-green infrastructures of the Mashhad metropolis (Source Authors)
S. Mokhtarzadeh and M. Suleimany
15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 275

5 Findings and Discussion

Developing blue-green infrastructure and safeguarding ecosystem services to meet

predefined standards is one side of the coin in coping with global warming, which
indicates the efficiency of urban governance resiliency measures. While ensuring
equitable access to these infrastructures and services is the other side of the coin,
which shows the effectiveness of adaptation measures and programs (Ambrey et al.,
2017; Coutts & Hahn, 2015).
We have analysed the access of vulnerable groups to blue-green infrastructure in
the Mashhad metropolis to evaluate climate justice, in two global scale and spatial
units, comparisons by neighbourhoods. Table 2 represents the global regression
results. Global regression results demonstrate no significant injustice in access to
green infrastructure. This implies that access to green infrastructure is equitable at
the city scale. In contrast, the results of the global regression indicate a severe injus-
tice in the access of low-income people to blue infrastructure. This can lead to an
increase in the heat exposure rate of these people and intensify their vulnerability.
Considering that the purpose of this research is not to find the cause and analyse
the effect, the moderate value of R-square can be justified. However, adding physical
and environmental vulnerability variables to the model, as a control variable, can
increase the explained variation of the model (Mashhoodi, 2021). Although the global
regression results show only one pattern of injustice at the city scale, the MGWR
results indicate different spatial patterns of climate injustice at the neighbourhood
scale. Figures 3 and 4 depict the significant results related to access to blue and green
infrastructure. In these maps, the orange spectrum reflects the injustice in the access
of vulnerable groups to blue or green infrastructure. While the green spectrum means
that the vulnerable group has more access to these infrastructures than other citizens.

Table 2 The results of global regression by separating access to blue and green infrastructure
Access to green infrastructure Access to blue infrastructure
Variable β value t(β/SE) p-value Variable β value t(β/SE) p-value
Aged rate −0.121 −1.193 0.233 Aged rate −0.046 −0.467 0.640
Disabled −0.428 −1.763 0.078 Disabled 0.840 3.527 0.000
Immigrant 0.149 1.466 0.143 Immigrant 0.140 1.409 0.159
Low income 0.385 1.601 0.109 Low income −0.733 −3.114 0.002
R2 0.482 R2 0.429
Adj.R2 0.461 Adj.R2 0.419
Source Authors—Output of MGWR software
276 S. Mokhtarzadeh and M. Suleimany

Fig. 3 Spatial patterns of climate injustice in access to blue infrastructure at Mashhad metropolis
(Source Authors)

Fig. 4 Spatial patterns of climate injustice in access to green infrastructure at Mashhad (There
is no significant association among the disabled or low-income population with the area of GI in
neighbourhoods) (Source Authors)
15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 277

5.1 Low-Income Groups’ Access to Blue-Green

Infrastructure

The analysis of the distribution of blue-green infrastructures in the Mashhad

metropolis, concerning the low-income residents in the neighbourhood scale, indi-
cates that there is no significant injustice in the access of this group to green infras-
tructures. Since a major part of the city’s green infrastructure dates back to before
modern planning and new designs, the remaining green areas and gardens are from
the rural backgrounds of the neighbourhoods. Therefore, there is no specific spatial
concentration of these lands in different parts of the city (Naserikia et al., 2019).
Furthermore, the green infrastructure in the Mashhad suburbs is very scattered and
dependent on the surrounding agricultural lands and does not have a significant corre-
lation with the income of settled citizens. In contrast, there is an intense injustice
in the access of low-income people to blue infrastructure in the central and western
neighbourhoods.
Mashhad metropolis does not have any other natural blue infrastructure (e.g. rivers
or lakes) except a seasonal waterway in the north-western part. This waterway is often
dry in recent years due to successive droughts. Therefore, most of the blue infrastruc-
tures in Mashhad are artificial and built. These areas are often blue infrastructures
in local and urban parks (such as ponds or artificial lakes) or water facilities related
to tree irrigation or street green axes. The distribution of these infrastructures shows
that the marginal areas of Mashhad city, especially the northern, north-eastern, and
eastern margins, are the most deprived of these infrastructures. Therefore, as blue
infrastructures have been affected by recent city plans more than green infrastruc-
tures in the Mashhad metropolis, these infrastructures have been unfairly distributed
throughout the city. Blue infrastructures are often spatially concentrated in the central
and western neighbourhoods where high-income groups have settled and there is a
significant injustice in the access of low-income groups to these infrastructures.

5.2 Sensitive Age Groups’ Access to Blue-Green

Infrastructure

Sensitive age groups, including children and the elderly, have a greater spatial concen-
tration in the central and eastern neighbourhoods of Mashhad. Most of the natives
and people with a long history of residence in Mashhad have settled in these parts
which caused more elderly people to live in these areas. Furthermore, the high rate of
Afghan refugees and the residence of low-income groups in the northern and eastern
marginal areas made the average family size and the number of children to be more
due to socio-cultural issues (Mokhtarzadeh et al., 2012). Therefore, we can expect a
significant correlation between these sensitive groups and blue-green infrastructures
in these parts.
278 S. Mokhtarzadeh and M. Suleimany

Analysing the changes in the green infrastructure of Mashhad metropolis from

1988 to 2017 reveals that a large part of the inner natural green area and infrastruc-
ture, especially in the north-eastern and eastern neighbourhoods, has been degraded.
In contrast, many parts of the green areas in the western neighbourhoods have
been preserved and most of them are gardens owned by private sectors and less
used publicly (Naserikia et al., 2019). Therefore, the high population of the elderly
and children and the considerable degradation of green infrastructure have led to
intense patterns of climate injustice in the access of sensitive age groups to green
infrastructure in the eastern neighbourhoods.
The access of sensitive age groups to blue infrastructure is also relatively less
in the eastern neighbourhoods. The poor development of blue infrastructure along
with the high population of sensitive age groups in eastern parts are the main reasons
for this inequality. However, sensitive age groups have relatively more access to
blue infrastructure in several wealthy neighbourhoods in the central districts. The
difference in the access of vulnerable groups to blue infrastructure in the eastern and
western areas clearly shows the role of urban planning and management decisions in
the unfair development of this infrastructure and the aggravation of climate injustice
in the Mashhad metropolis.

5.3 Immigrants’ Access to Blue-Green Infrastructure

Immigrants living in the Mashhad metropolis generally include two groups; Iranian
immigrants and Afghan refugees. Most Iranian immigrants are relatively wealthy
households who immigrated to the city due to its religious and economic attractions
and settled mainly in the western areas. While Afghan refugees are often low-income
people who mostly live in the northern and eastern suburbs, according to some field
surveys (Mokhtarzadeh et al., 2012). However, due to informal migration and lack of
legal identification documents, many refugees are not counted in national censuses.
Therefore, the results of immigrants’ access to blue-green infrastructure in the eastern
and northern areas of the city cannot be discussed and followed up. But in the western
neighbourhoods, due to the residence of more Iranian immigrants and the high spatial
concentration of private gardens and meso-scale green infrastructure, the immigrants
relatively benefit from better access to green infrastructure and green areas.

5.4 Disabled People Access to Blue-Green Infrastructure

There are fewer cases of climate injustice in the access of disabled people to blue
infrastructure at the neighbourhood scale. This is due to the low number of disabled
people in the city and their residential concentration in areas with an average level
of blue infrastructure. It should also be noted that there is no significant injustice in
the access of disabled people to green infrastructure at the neighbourhood scale.
15 Who Benefits More from Urban Cooling Strategies? Exploring Climate … 279

6 Conclusion and Recommendations

In this research, we have analysed climate justice in Mashhad city concerning the
access of vulnerable groups to blue-green infrastructure. We have implemented
spatial analysis techniques and multi-scale geographic weighted regression (MGWR)
model to identify and investigate climate injustice patterns. Although the research
results (patterns of climate injustice) are context-specific, the research process is
applicable to any context. In other words, urban decision-makers can implement this
study process to measure climate justice and consequently the effectiveness of their
mitigation and adaptation plans.
The findings of this study indicate the patterns of climate injustice at two urban and
neighbourhood scales in the Mashhad metropolis. The patterns of climate injustice
in the access of vulnerable groups to blue infrastructure are more significant and
intense than to green infrastructure. This injustice in access to blue infrastructure,
which is more intense for low-income individuals and households, arose from the
uneven distribution/development of blue infrastructure and inequitable city cooling
policies. Here are some recommendations to improve climate justice in urban cooling
policies:
• Planning for ecosystem services, especially in suburbs, and development of
meso-scale blue-green infrastructure in each neighbourhood (taking into account
the neighbourhood area, temperature, and vulnerable population) can help to
ensure climate justice in the city. This also can be a part of the regeneration
and empowerment programs of deprived areas, historical core, and informal
settlements.
• Safeguarding the existing blue-green infrastructure is a fundamental measure
in promoting climate justice. Urban management can ensure the monitoring
and preserving of these infrastructures in city developments by training and
cooperating with local stakeholders along with establishing protection regulations.
• Integrated management and planning of blue-green infrastructure as a city-wide
network allow urban decision-makers to promote climate justice in new urban
developments. This includes the development of blue-green infrastructure at
different scales and can be combined with other urban cooling policies such as
the use of reflective surfaces.
Although the access of vulnerable groups to blue-green infrastructure was the crite-
rion for measuring climate justice in the current study, climate justice can be measured
with a more complete set of indicators. These indicators can include a set of the natural
and built environment and also urban services/infrastructures indicators that affect
the vulnerability of communities to global warming and climate crises. Furthermore,
measuring climate justice and the effectiveness of urban cooling policies, consid-
ering the vulnerable groups’ access, requires accurate location information from
these people. This information is not limited to the place of residence or the number
of vulnerable people living in a spatial unit and can include their place of employment
and education. Lack of access to this up-to-date information, especially regarding
280 S. Mokhtarzadeh and M. Suleimany

illegal refugees, was the main limitation of the present study. The lack of micro-scale
blue-green infrastructure information also prevented us to analyse the climate justice
in access to these cooling facilities at the sub-neighbourhood scale. This micro-scale
climate justice should be investigated in future research.

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Chapter 16
Urban Biometeorology of Tropical
Climate: Af, Am, Aw, a Propensity of 34
Provincial Cities in Indonesia

Beta Paramita and Andreas Matzarakis

Abstract Indonesia lies between 6° North Latitude and 11° South Latitude and
95° to 141° East Longitude. Located in the eastern hemisphere, this geographical
location causes Indonesia to be included in the equatorial zone and has a tropical
climate. Indonesia is the largest archipelagic country in the world with 17,000 islands,
416 districts and 98 cities in 34 provinces. In general, there are three city charac-
teristic that are in the coast (+0masl) have maximum temperatures above 33 °C.
In lowland areas (10–20 masl) the maximum air temperature recorded above 30
°C Meanwhile the cities located in the hills area (above 500 masl) which are not
many in number, have the lowest maximum air temperature between 25 and 28 °C.
Based on Köppen-Geiger, climate of Indonesia is almost entirely tropical. Domi-
nated by the tropical rainforest climate (Af); tropical monsoon (Am); and tropical
savannah (Aw) that occurs on every Indonesian island. This article then reveals the
perspective of biometeorology of 34 cities of provincial capital in Indonesia. Cities
that represent the tropical rainforest climate such as Medan, Balikpapan, Padang,
and Pontianak. Meanwhile Jakarta, Semarang, and Yogyakarta represent cities with
tropical monsoon climate. Last, Denpasar and Surabaya represent cities with trop-
ical savannah climate. The climate data is generated from 2009 to 2019 that provides
a link between the microclimate elements and human activities that affected on
human perception in their living space. The biometeorology perspective for each
climate characteristic gives an understanding on meteorological vulnerability and
physiological aspects in the city inhabitant, such as thermal stress.

B. Paramita (B)
Department of Architecture, Universitas Pendidikan Indonesia, Bandung, Indonesia
e-mail: betaparamita@[Link]
A. Matzarakis
German Meteorological Service (DWD), Research Centre Human Biometeorology, Freiburg,
Germany
Institute of Earth and Environmental Sciences, University of Freiburg, Freiburg Im Breisgau,
Germany

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 283
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
284 B. Paramita and A. Matzarakis

Keywords Urban biometeorology · Hot and humid climate · Physiologically

equivalent temperature

1 Introduction

The study of built-up urban areas or urban agglomerations worldwide calculated

990 cities with urban characteristics and 57.1% of them are located on the Asian
continent (Demographia, 2022). Indonesia contributes 3.2% of the total urban popu-
lation in the world which includes 56.7% of the 237.5 million total population of
Indonesia (BPS-Indonesia, 2019; Demographia, 2022). Located in low latitude, cities
in Indonesia generally have tropical characteristics of hot and humid. Based on the
Koppen classification, most cities in Indonesia specifically have the characteristics
of A tropical rainforest climate (Af), tropical monsoon climate (Am) and tropical
wet and dry climate (Aw) (K̈oppen et al., 2011; Peel et al., 2007). Figure 1 shows
the spread of tropical characteristics Af, Am, and Aw throughout Indonesia. The
general climate of tropical cities, long solar radiation, high air humidity, and low
wind speed cause outdoor spaces to be unable to offer outdoor comfort at a neutral
preference temperature in the tropics at 26–30 °C (Binarti et al., 2020; Lin et al.,
2010). In spite of the fact that most tropical inhabitants are accustomed to heat, there
may be an increase in morbidity and loss of productivity due to stresses caused by
well-established climate modifications, such as the heat island phenomenon. The
study of urban outdoor thermal quality especially related to human-biometeorology
in Indonesia consider less compared other hot and humid climate regions. In fact,
residents in tropical cities tend to do their work in outdoor spaces for long hours.
This is based on the employee data that informal sectors are still dominated 57.27%,
compared with formal workers 42.73%, in 2019 (Lokadata, 2019). Informal sector
workers who are located in the outdoor urban areas include: (1) business selling
street vendors (2) non-permanent workers (mostly in construction sites) or markets,
(3) freelance workers in agriculture, and (4) free workers in the transportation sector
(motorcycles/online car). They are not only vulnerable to air pollution from traffic
plus urban heat trapped in urban outdoor spaces.
As the biggest archipelago country in the world, Indonesia consists of 17,000
islands (BIG, 2022), and has 93 cities with 34 provincial capitals (plus 3 new provin-
cial capitals with the expansion of Papua no data can be retrieved yet). This article then
discusses the propensity of urban outdoor thermal quality in 34 provincial cities of
Indonesia, how the alteration of urban climate impacts to the human-biometeorology.
The hourly climatic data was taken from 2009 to 2019 to find the tendency on urban
biometeorology. Furthermore, to determine urban performance, a biometeorolog-
ical index is made which is expressed in Physiologically Equivalent Temperature
(PET). It is defined as the equivalent of the air temperature required to reproduce
in a standard room setting, also to provide the ultimate standard and observed skin
temperature under certain conditions (Höppe, 1999; VDI, 1998).
16 Urban Biometeorology of Tropical Climate: Af, Am, Aw, a Propensity … 285

Fig. 1 Tropical climate of Af, Am, Aw in Indonesia1 (Source Present and Future Köppen-Geiger
climate classification maps at 1-km [adapted from Beck et al., 2018])

The causal relationship between the atmospheric environment on the one hand,
and human health and comfort on the other can be analyzed by a human-
biometeorological classification that considers:
1. Thermal complex (consisting of meteorological elements that have thermo-
physiological effects on humans)
2. Air pollution complex (consisting of solid, liquid and natural gas and anthro-
pogenic air pollutants that affect human health)
3. Actinic complex (consisting of the visible spectrum of the sun and ultraviolet
radiation that has a direct biological effect).
Understanding the urban biometeorology, thus, will provide an overview, how to
mitigate urban heat exposure due to the long duration of solar radiation in tropical
cities of Indonesia.

1 The climate map represents the majority characteristic only, some other climate characters but very
rare and not in urban areas including Arid, steppe, hot (BSh); Temperate Temperate, dry summer,
warm summer (Csb); Temperate, dry winter, warm summer (Cwb); Temperate, no dry winter, warm
summer (Cfb); Temperate, no dry season, cold summer (Cfc); Polar, tundra (ET).
286 B. Paramita and A. Matzarakis

2 Background Knowledge

2.1 Climate in Indonesia

Indonesia is located at low latitudes between 6° North Latitude and 11° South Lati-
tude, and spans from 95° East Longitude to 141° East Longitude. The three time zones
in Indonesia include WIB (Western Indonesian Time), WITA (Central Indonesian
Time) and WIT (Eastern Indonesian Time).
The geographical location that lies along the equator has made Indonesia’s climate
tends to be relatively even year-round which experiencing only wet and dry seasons
with no extremes of summer or winter. During May to October will be dry season,
meanwhile the wet season falls between November and April. The seasons that occur
in Indonesia are influenced by the monsoon climate because the movement of the
monsoon winds changes direction every half year.
As the archipelago country, Indonesia is surrounded by seas and waters, where
the water body is bigger than land area. This condition also causes some parts of
Indonesia which borders the waters to have a marine climate. This situation makes
the region have low temperatures, high humidity and high rainfall compared to others
(Fatma, 2017; Frederick & Worden, 2011).
Generally, climate in Indonesia is entirely tropical, Köppen-Geiger classified it
in group A (tropical), which is dominated by tropical rainforest climate (Af) that is
found in cities of every major island of Indonesia. Cities along Java’s coastal north are
predominantly influenced by tropical monsoon climate (Am). Other typical tropical
savanna climate (Aw) found at cities in Sulawesi’s coastal south and east, Bali,
lowland East Java, coastal southern Papua and smaller islands to the east of Lombok.
A tropical rainforest climate (Af) located in 10–15 degrees latitude of the equator.
This area faces excessive annual temperatures, small temperature ranges, and rain
that falls in the course of the year. A tropical rainforest climate is generally hot,
very humid, and wet. Meanwhile, a tropical monsoon climate (Am) has either less
marked dry seasons or more rainfall than a tropical savanna environment. Compared
to a tropical savanna climate, a tropical monsoon climate has less annual temperature
variation. The driest month in this environment almost invariably falls during or right
after the winter solstice. In other condition, the dry season can be particularly harsh
in tropical savanna (Aw) regions, and drought conditions can persist throughout the
year. Due to their dryness, tropical savanna climates frequently include tree-lined
meadows as opposed to dense rainforest. The Aw and As climates are frequently
referred to as the tropical savanna because of this extensive presence of tall, coarse
grass, or savanna. There is substantial debate over whether tropical grasslands are
caused by the climate. Pure savannas devoid of any trees are also uncommon rather
than the rule (McKnight Darrel, 2000) (Table 1).
16 Urban Biometeorology of Tropical Climate: Af, Am, Aw, a Propensity … 287

Table 1 Tropical climate characteristic for 34 provincial cities in Indonesia

No Tropical climate Cities Annual phenomenon
characteristic
1 Tropical rainforest (1) Banda Aceh, (14) Banjarmasin, hot, very humid, and
climate (Af) – 23 (2) Medan, v15) Tanjung Selor, wet → They
cities (3) Padang, (16) Manado, experience high mean
(4) Pekanbaru, v17) Gorontalo, annual temperatures,
(5) Tanjung Pinang, (18) Palu, small temperature
(6) Jambi, v19) Mamuju, ranges, and rain that
(7) Bengkulu, (20) Kendari, falls throughout the
(8) Palembang, (21) Ambon, year
(9) Bandar Lampung, (22) Sofifi,
(10) Pangkal Pinang, (23) Serang
(11) Pontianak,
(12) Palangkaraya,
(13) Samarinda,
2 Tropical monsoon (24) Makassar, less wet and dry, in
climate (Am) (25) Jakarta, between Af and Aw
(26) Bandung, →
(27) Semarang, monthly mean
(28) Yogyakarta, temperatures above 18
(29) Mataram °C in every month of
the year and a dry
season
3 Tropical savanna (30) Surabaya severe dry →
climate (Aw) (31) Denpasar the dry season can
(32) Kupang become severe, and
(33) Manokwari often drought
(34) Jayapura conditions prevail
during the course of
the year

2.2 Urban Biometeorology

The study of urban biometeorology not a new knowledge, but it is challenging to

analyze the impact of urbanization on various elements of weather. The effect of the
urban climate and the urban-induced changes (including air pollution) on the health
and well-being of the population living in cities constitutes the realm of biomete-
orology (Höppe, 1997; Jauregui, 1997; Nouri & Matzarakis, 2019). To define the
quality of urban biometeorology, it uses PET index that refer to a model of the
body’s thermal conditions based on Munich Energy-balance Model for Individuals
(MEMI). PET is defined as the air temperature at which the human body’s heat budget
is balanced at the same core and skin temperature as it would be in the complex
outdoor setting of assessment (without wind or solar radiation). PET also found as
the most frequently used outdoor thermal comfort indices for hot-humid regions
(Binarti et al., 2020). The study on 29 tropical areas that span from Am, Af, Aw, Cfa,
and Cwa that using software package such as ENVI-met, RayMan, SOLWEIG, OTC
288 B. Paramita and A. Matzarakis

Fig. 2 PET as the urban biometeorology index

model, also UTCI. Apparently, the study PET that published in the indexed journal in
Indonesia still limited, including the study on building layout (Paramita et al., 2018),
connection between urban morphology and microclimate (Paramita & Matzarakis,
2019), thermal condition mitigation strategies for a climate-resilient archaeological
park (Binarti et al., 2022), and PET as an index for urban performance (Paramita
et al., 2022). Other studies in hot and humid climate including the use of RayMan
software to calculate all thermoregulatory process also capable of predicting the
real skin and body core temperature, sweat rate and skin wittedness (Bastanfard &
Darbani, 2020; Lin et al., 2010; Liu et al., 2014; Middel et al., 2016, 2017; Rodríguez
Algeciras et al., 2016).
Henceforth, the human behavior input are: activity, body feature (age ad weight),
as well as the clothing.
The data collection from 2009 to 2019, it can be generated the atmospheric data,
such as air temperature (Ta), relative humidity (RH) and velocity (v). Later, from
this data we can obtain the urban biometeorology condition for each city. Figure 2
shows us the input for urban biometeorology that stated in Physiologically Equivalent
Temperature (PET °C).

2.3 RayMan Pro

RayMan stands for “radiation on the human body”. This software is free to use
and can be accessed through [Link] The
software focused on the radiation fluxes that are computed using model approaches
that take into account factors including air temperature and humidity, the amount
of cloud cover, air transparency, and the time of year. It is also necessary to specify
the solid angle proportions and the surrounding surfaces’ albedo. Many times, well-
known formulas are used to determine the radiation fluxes from meteorological and
16 Urban Biometeorology of Tropical Climate: Af, Am, Aw, a Propensity … 289

astronomical data. The main issue with using this method for regional and urban
planning is determining how much direct and diffuse radiation is being blocked
by buildings. One experimental approach for figuring out the sky view factor uses
fisheye pictures.
Because the consideration of a variety of complicated horizons, the model
RayMan given here is highly suited for the estimation of radiation fluxes, partic-
ularly within metropolitan structures. When using RayMan on a PC, there is an input
window for urban structures (buildings, deciduous and coniferous trees), and there is
also the option of drawing the horizon freely and producing an output of the horizon
(natural or non-natural) for the estimation of the sky view factors. The amount of
clouds in the sky can also be depicted freely, and their influence on radiation fluxes
can be calculated. The most crucial question in the fields of urban climatology and
human-biometeorology is whether or not the object of interest is in shadow. As a
result, the shadow cast by man-made and natural obstacles is represented in the
model.
Although PET is developed and used by high latitude countries, this software
accommodates geographic data input such as longitude, latitude, altitude and time
zone input. This software also providing the information of global radiation input,
as the main influence for mean radiation temperature. The features of RayMan Pro
seen at Fig. 3.

Fig. 3 RayMan pro features

290 B. Paramita and A. Matzarakis

3 Climate-Resilient Strategies and Implications at the City

Scale

3.1 Tropical Rainforest Climate (Af)

Af tropical rainforest climate has characteristic as hot, very humid, and wet. There
are 23 provincial capitals with these climatic characteristics. The data from 2009
to 2019 shows that the lowest air temperature (Ta) is at 27.6 °C, and the highest
temperature is 43.9 °C. Even though it shows a high Ta value, by multivariate corre-
lation Ta effect is not significant on PET (r = 0.43). Humidity apparently becomes
the benefit meteorological element to reduce the value of PET. Low humidity often
occurs in May–August, this causes the thermal discomfort level of the outdoor to be
high. However, the addition of humidity values did not have a significant effect on
the decrease in the PET value (r = −0.19). The meteorological element that most
influences the PET value is the Tmrt (mean radiant temperature) (r = 0.85). This
means that outdoor spaces that are exposed to direct solar radiation, will potentially
increase the value of PET. Meanwhile wind velocity (v), which has an effect on fluid
dynamic heat exchange, does not appear to have a significant effect in reducing the
PET (r = −0.19). The multivariate correlation shown as scatterplot matrix in Fig. 4.

3.2 Tropical Moonson Climate (Am)

Am tropical moonson climate has characteristic less wet and dry. There are only six
provincial cities that included in this cluster. These six cities are also metropolitan
cities with a population of over 2 million. Ta found as the meteorological element
that influence PET value, even is not that strong enough (r = 0.55). Meanwhile here
in moonson climate, v found as the preference factor to reduce the PET value Based
on multivariate correlation, the meteorology element that influence on PET value (r
= −0.38). Even though Am is located in a coastal city, with high temperatures, Tmrt
doesn’t seem to have any effect on the PET value. The correlation value of Tmrt to
PET is only r = 0.23. A city with an Am character then has to provide open spaces to
accommodate the urban ventilation, to sweep the hot air temperature. The scatterplot
matrix of multivariate Am character is seen in Fig. 5.

3.3 Tropical Savana Climate (Aw)

Aw tropical savana climate has very specific on severe dry. Similar with Af character,
Tmrt has a big influence in shaping the PET value (r = 0.87). Cities with Aw characters
have strong winds so that they can become meteorological elements that can reduce
the value of PET (r = −0.49). Meanwhile, the influence of Ta seems not strong
16 Urban Biometeorology of Tropical Climate: Af, Am, Aw, a Propensity … 291

Fig. 4 Multivariate correlation 23 cities with Af characteristic

enough to increase the PET value (r = 0.43). July to December are the months with
humidity below 50%. This will affect rainfall, and subsequently have an impact on
long droughts. Unlike Af and Aw characters, cities with Aw characters do not have
humidity above 80%. Thus, humidity has no significant influence in shaping the
PET value (r = 0.064). The scatterplot matrix to show the multivariate correlation
between PET and Ta, RH, v and Tmrt is shown at Fig. 6.
292 B. Paramita and A. Matzarakis

Fig. 5 Multivariate Correlation 6 cities with Am characteristic

4 Discussion and Implications

The difference in climate character in each city provides information that the manage-
ment strategy for a climate-resilient city depends on the meteorological elements
that compose it. each city must provide detailed information to the public, especially
regarding the months with extreme phenomena. Espec.
ially for high humidity warnings associated with high rainfall, or low humidity will
have an impact on drought. Broadly, information related to urban biometeorology,
will have an effect on spatial planning of the city. This is have been studied in
the previous article that building coverage ratio significantly impact on the outdoor
thermal comfort that stated in PET (Paramita et al., 2022). The urban biometeorology
that accumulated in 11 years can be seen in the Fig. 7. The range of PET used refers
16 Urban Biometeorology of Tropical Climate: Af, Am, Aw, a Propensity … 293

Fig. 6 Multivariate correlation 5 cities with Aw characteristic

to the results of the Lin et al. (2010), study which conducted experiments on 300
pedestrians in open spaces of Taiwan City in hot and humid climates.
The diagram above explains that tropical city in the low latitude difficult to achieve
its PET in the neutral range of outdoor thermal comfort. Whatever the characteristics
of tropical climate, the air temperature is relatively hotter than the air temperature
in other climate zones. Also, located on the equator causes the cities in this area to
be covered by long sunlight (between 11 and 12 h a day) that imply to the value of
Tmrt. As previously mention that PET in the cluster Af and Aw mostly influenced
by Tmrt value. However, despite having high diurnal temperatures, it must also be
borne in mind that areas such as the Aw cluster offer moderately high winds. This is
certainly advantageous for the value of PET which is not too high.
The average of PET value from 2009 to 2019 then is shown at Fig. 7 explains that
Surabaya offers lowest PET, meanwhile Palu offers highest PET within 11 years.
294 B. Paramita and A. Matzarakis

Fig. 7 Average of PET from 2009 to 2019 of 34 provincial capital cities in Indonesia

5 Concluding Remarks

The study of urban biometeorology within eleven years in 34 provincial capitals

throughout Indonesia can provide information for handling climate-resilient cities.
Due to the different causes of discomfort in the outdoor space, different treatments
will also be given to urban spatial planning. Cities with Af characters as the majority
of cities in Indonesia must provide a lot of shade to fend off solar radiation in
open spaces. Coastal cities which are usually characterized by the character Am,
have the advantage of high wind velocity, must provide opportunities for city forms
that support urban ventilation. Cities with Aw characteristics should have deeper
strategies related to drought mitigation. Rain water harvesting in the months of high
precipitation needs to be recommended to the public. The government needs to
encourage an integrated system related to food security and water availability due to
the serious impact of drought on the Aw cluster.

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Chapter 17
Conclusions and the Way Forward

Ayyoob Sharifi , Andreas Matzarakis, Bao-Jie He,

and Ali Cheshmehzangi

Abstract The growing trends of urbanization and climate change have increased
urban heat exposure and challenges in the past few decades. Extreme heat condi-
tions have become more common in the past few years, with climatic changes and
extremes becoming more evident in the future. Even if the world can make progress
on mitigating climate change by drastically reducing the emission of Greenhouse
Gases (GHGs), these trends are projected to continue in the coming decades. This
chapter first discusses natural- and human-made drives of extreme urban heat events.
We then highlight major urban heat adaptation and mitigation measures and strategies
that are explored in this volume. We argue that mitigation measures have received
more attention in science and policy circles, and a more balanced approach is needed

A. Sharifi (B)
The IDEC Institute, Hiroshima University, Higashi-Hiroshima, Japan
e-mail: sharifi@[Link]
A. Matzarakis (B)
German Meteorological Service, Research Centre Human Biometeorology, 79104 Freiburg,
Germany
e-mail: [Link]@[Link]
Chair of Environmental Meteorology, Faculty of Environment and Natural Resources,
Albert-Ludwigs-University, 79085 Breisgau, Germany
B.-J. He (B) · A. Cheshmehzangi (B)
Network for Education and Research on Peace and Sustainability (NERPS), Hiroshima
University, Hiroshima, Japan
e-mail: [Link]@[Link]
A. Cheshmehzangi
e-mail: [Link]@[Link]
B.-J. He
Centre for Climate–Resilient and Low–Carbon Cities, School of Architecture and Urban
Planning, Key Laboratory of New Technology for Construction of Cities in Mountain Area,
Ministry of Education, Chongqing University, Chongqing 400045, China
Institute for Smart City, Chongqing University, Liyang 213300, Jiangsu, China
A. Cheshmehzangi
School of Architecture, Qingdao City University (QCU), Qingdao, China

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 297
A. Cheshmehzangi et al. (eds.), Climate Change and Cooling Cities,
Urban Sustainability, [Link]
298 A. Sharifi et al.

to strengthen the adaptive capacity of communities. For this purpose, it is essential

to adopt systemic approaches that are facilitated by decision-support tools enabled
by advances in information and communication technologies and big data analytics.
Such systemic approaches would also help promote justice in the context of urban
heat adaptation and mitigation.

Keywords Urban heat · Climate change · Mitigation · Adaptation · Justice ·

Urbanization

1 The Urgency of Urban Heat Adaptation and Mitigation

and the Contribution of This Volume

Urban heat challenges are products of the combination of extreme heat conditions
and the urban heat island effect. Extreme heat conditions have become more common
in the past few years, with the climatic changes becoming more evident with every
passing year (He et al., 2023). According to the World Meteorological Organization
(WMO), the past eight years have been the warmest years on record, with 2016, 2019,
and 2020 being the top three (WMO, 2023). Even if the world can make progress
on mitigating climate change by drastically reducing the emission of Greenhouse
Gases (GHGs), these trends are projected to continue in the coming decades due
to the historical emissions (IPCC, 2023). Indeed, the recent synthesis report of the
Intergovernmental Panel on Climate Change (IPCC) makes it clear that extreme
heat events can occur even at low global warming levels (IPCC, 2023). Needless
to mention that under some future climate scenarios, the average temperatures can
exceed 5° beyond the pre-industrial levels, with enormous consequences for the
ecosystem, economy, infrastructure, and human health and well-being (IPCC, 2023).
In addition to climate change, the urban heat island effect is a key driver of extreme
urban heat. It is a condition when temperatures in urban areas are higher than in the
surrounding rural areas. Various factors, such as the physical design of cities, the
albedo of urban surfaces, the type of materials used, the amount of heat exhaust from
automobiles and air conditioners, etc., contribute to the urban heat island effect.
Urban heat is not only limited to the Urban Heat Island (UHI). It includes several
other factors, like humidity, air pollutants, and combined effects of atmospheric
factors.
It is evident that measures aimed at addressing extreme urban heat challenges
should address issues related to climate-induced extreme heat events as well as those
associated with the urban heat island effect. The key point to keep in mind is, however,
that the window of opportunity to take action in urban areas is narrow and will close
in the coming decades. Currently, about 56% of the world’s population lives in urban
areas, and this share is expected to reach approximately 68% by 2050 and always
keep in mind that the surface covered by cities is only 3% (UN, 2018). Most of the
future world urban population growth will occur in the developing countries of Africa
17 Conclusions and the Way Forward 299

and Asia. The way these new urban settlements are going to be built will have major
implications for addressing urban heat issues. It is essential to consider urban heat
mitigation and adaptation strategies throughout different stages of urban planning,
design, and management in both new and existing cities. Such strategies can provide
multiple co-benefits in terms of reducing health risks and quality of life, ensuring
better environmental quality, minimizing infrastructure damage, and reducing socio-
economic inequalities (Sharifi, 2022; Sharifi et al., 2021). In addition, given the tight
nexus between urban heat and energy consumption, measures aimed at addressing
urban heat challenges will also provide co-benefits and synergies for climate change
mitigation (i.e., reducing sources and/or enhancing sinks of emissions) (Lwasa et al.,
2022; Sharifi, 2021).
This volume advances the knowledge of urban heat mitigation and adaptation
strategies by offering new insights into “Concepts, Theories, and Trends” (Part I),
“Mitigation and Adaptation Strategies” (Part II), and “Policies” (Part III). Figure 1
shows that various issues and measures related to mitigation and adaptation have been
addressed throughout the volume. The dominant measures are related to green infras-
tructure (e.g., ponds, green walls, roofs, urban greenery, vegetation, etc.), urban plan-
ning and design (urbanization patterns, street canyon design, shading environment,
courtyards, land use planning, etc.). These are mainly related to mitigating urban
heat risk. However, they could also contribute to urban heat adaptation. Regarding
the latter, it can be observed that issues related to justice and vulnerable groups are
also covered in the volume. However, they have received relatively less attention
despite the urgency of taking action to address such inequalities in cities.

Fig. 1 The main thematic issues that are addressed throughout the volume (Source The Authors)
300 A. Sharifi et al.

2 The Way Forward

A recent study by He et al. (2023) has highlighted the thematic focus of the literature
on urban heat adaptation and mitigation. The key thematic focus areas covered by
the existing literature are shown in Fig. 2. Comparing Figs. 1 and 2 shows that this
volume has covered most of the popular research themes. More specifically, issues
related to urbanization and implications for land surface temperature and urban heat
island effect, green and blue infrastructure for urban heat adaptation and mitigation,
and design measures for improving outdoor thermal comfort are common between
the two figures. The two figures also show that issues related to adaptation, health, and
vulnerability have received relatively less attention from the scientific community.
While understanding the physical and climatological drivers of urban heat and
exploring the effectiveness of different mitigation strategies is essential to address
the issue, it can be argued that already a good amount of knowledge on these issues
exists that can guide action plans. More research, however, is needed to address
the implications of urban heat adaptation/mitigation measures for other urban issues
such as justice, air quality, and vulnerability. Figure 3 indicates that some of these

Fig. 2 Major issues addressed in the literature on urban heat (He et al., 2023)
17 Conclusions and the Way Forward 301

Fig. 3 Major policy-related issues addressed in Part III of volume

issues have been addressed in Part III of this volume, which is focused on policies.
However, more work is needed to understand better what models should be promoted
to develop effective, efficient, and just urban heat adaptation and mitigation strategies.
Finally, as also emphasized in He et al. (2023), the existing research landscape is
unbalanced, with mitigation receiving more attention. More systemic approaches
that allow balanced attention to mitigation and adaptation are, therefore, needed.
The advances in modeling and big data analytics offer opportunities to promote
more systemic approaches and should be further explored in future studies.
Finally, the framework of climate-resilient development should be considered. It
combines strategies to adapt to climate change with actions to reduce greenhouse
gas emissions to support sustainable development for everyone. This means reducing
exposure and vulnerability to climate hazards, cutting back greenhouse gas emissions
and conserving biodiversity are given the highest priorities in everyday decision-
making and policies on all aspects of society, including energy, industry, health,
water, food, urban development, housing, and transport and is mostly required and
demanded in urban areas. It is about successfully navigating the complex interactions
between these different systems so that action in one area does not have adverse
effects elsewhere and opportunities are harnessed to accelerate progress toward a
safer and fairer world (IPCC, 2023).
Climate Resilient Development isn’t achieved with a single decision or action. It is
the result of all of the choices we make about climate risk reduction, emissions reduc-
tion, and sustainable development on a daily basis. New scientific evidence shows
that addressing the risks and impacts of climate change successfully involves a more
diverse set of actors than previously thought—it not just policy-makers but everyone
in government, civil society, and the private sector (IPCC, 2023). Lastly, we hope
this volume is a suitable collection for urban sustainability research, providing new
knowledge, capacity, and case study examples for cooling city concepts, strategies,
and policies.
302 A. Sharifi et al.

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