2,636 research outputs found
LIPIcs, Volume 251, ITCS 2023, Complete Volume
LIPIcs, Volume 251, ITCS 2023, Complete Volum
Towards a User Privacy-Aware Mobile Gaming App Installation Prediction Model
Over the past decade, programmatic advertising has received a great deal of
attention in the online advertising industry. A real-time bidding (RTB) system
is rapidly becoming the most popular method to buy and sell online advertising
impressions. Within the RTB system, demand-side platforms (DSP) aim to spend
advertisers' campaign budgets efficiently while maximizing profit, seeking
impressions that result in high user responses, such as clicks or installs. In
the current study, we investigate the process of predicting a mobile gaming app
installation from the point of view of a particular DSP, while paying attention
to user privacy, and exploring the trade-off between privacy preservation and
model performance. There are multiple levels of potential threats to user
privacy, depending on the privacy leaks associated with the data-sharing
process, such as data transformation or de-anonymization. To address these
concerns, privacy-preserving techniques were proposed, such as cryptographic
approaches, for training privacy-aware machine-learning models. However, the
ability to train a mobile gaming app installation prediction model without
using user-level data, can prevent these threats and protect the users'
privacy, even though the model's ability to predict may be impaired.
Additionally, current laws might force companies to declare that they are
collecting data, and might even give the user the option to opt out of such
data collection, which might threaten companies' business models in digital
advertising, which are dependent on the collection and use of user-level data.
We conclude that privacy-aware models might still preserve significant
capabilities, enabling companies to make better decisions, dependent on the
privacy-efficacy trade-off utility function of each case.Comment: 11 pages, 3 figure
Connecting the Dots in Trustworthy Artificial Intelligence: From AI Principles, Ethics, and Key Requirements to Responsible AI Systems and Regulation
Trustworthy Artificial Intelligence (AI) is based on seven technical
requirements sustained over three main pillars that should be met throughout
the system's entire life cycle: it should be (1) lawful, (2) ethical, and (3)
robust, both from a technical and a social perspective. However, attaining
truly trustworthy AI concerns a wider vision that comprises the trustworthiness
of all processes and actors that are part of the system's life cycle, and
considers previous aspects from different lenses. A more holistic vision
contemplates four essential axes: the global principles for ethical use and
development of AI-based systems, a philosophical take on AI ethics, a
risk-based approach to AI regulation, and the mentioned pillars and
requirements. The seven requirements (human agency and oversight; robustness
and safety; privacy and data governance; transparency; diversity,
non-discrimination and fairness; societal and environmental wellbeing; and
accountability) are analyzed from a triple perspective: What each requirement
for trustworthy AI is, Why it is needed, and How each requirement can be
implemented in practice. On the other hand, a practical approach to implement
trustworthy AI systems allows defining the concept of responsibility of
AI-based systems facing the law, through a given auditing process. Therefore, a
responsible AI system is the resulting notion we introduce in this work, and a
concept of utmost necessity that can be realized through auditing processes,
subject to the challenges posed by the use of regulatory sandboxes. Our
multidisciplinary vision of trustworthy AI culminates in a debate on the
diverging views published lately about the future of AI. Our reflections in
this matter conclude that regulation is a key for reaching a consensus among
these views, and that trustworthy and responsible AI systems will be crucial
for the present and future of our society.Comment: 30 pages, 5 figures, under second revie
Improving the SEP licensing framework by revising SSOs’ IPR policies
This thesis examines the SEP licensing framework with a view to understanding whether it can be improved by revising IPR policies.
The ICT standardisation, which provides interoperability, is one of the building blocks of the modern economy. Put simply, without standards, there would not be IoT or for example, consumers would only be able to connect to a wireless network with devices specifically built for that network. Standards are not a new phenomenon; however, they became more complex with the increasing importance of technology, which made them, in return, more dependent on patented technologies (i.e. SEPs). SEPs cause complications in standardisation as they require SEP owners and potential licensees to negotiate/agree on usually complex licensing agreements. Although SSOs have attempted to regulate this relationship with their IPR policies, now it seems these policies cannot keep up with the changing dynamics and needs in standardisation. Dysfunctions in the system do not only affect competition in the relevant markets, they also prejudice consumers’ interests, for example, by passing on higher prices to cover supra-competitive royalties.
In particular, since the first Rambus case in the US, competition/antitrust agencies and courts have been dealing with SEP-related issues. Recently, the EU has been considering addressing some of those with legislation. Conversely, this research derives from the notion that active standardisation participants are better equipped to deal with SEP-related issues, and flexible IPR policies are more suitable for addressing these issues in the dynamic standardisation ecosystem.
Against this backdrop, this comparative research aims to identify areas where SEP licensing framework can be improved by reforming IPR policies, and it develops some proposals using the black-letter and empirical research methods that SSOs can implement
Discussion on drivers and proposition of approaches to support the transition of traditional electricity consumers to prosumers
In recent years, traditional power systems have undergone a significant transition, mainly
related to the massive penetration of Renewable Energy Sources (RES). More specifically, the
transformation of residential consumers into prosumers has been challenging to the traditional
operation of electricity markets. This transition brings new challenges and opportunities to
the power system, leading to new Business Model (BM). One widely discussed change is
related to a consumer-centric or prosumer-driven approach, promoting increased participation
of small consumers in power systems. The present thesis aims at discussing the recent BMs as
enablers of the increasing prosumers’ role in the energy market and power system worldwide,
deepening the discussion with a holistic view of the Brazilian context. To do so, it defines
the main features of prosumers and their general related regulation as well as possible market
designs within power systems. Moreover, the work intends to contribute to the knowledge,
identification and understanding of the main regulatory barriers and enablers for the development
of those BMs in the Brazilian energy market. In addition, it discusses enabling technologies to
properly create the conditions that sustain new prosumer-driven markets. Then, it presents a
comprehensive review of existing and innovative BMs and a discussion on their future roles in
modern power systems and, in the Brazilian regulatory framework seeking to guide the decisions
for the country to develop its political and regulatory environment in the future. Moreover, a
set of recommendations for promoting these BMs in the power system worldwide is provided
along with policy recommendations to promote prosumers aggregation in the Brazilian energy
sector. An important conclusion is that, even though economically possible, not all innovative
BMs can spread around the world due to regulatory issues. Seeking to further explore one of
the prosumer-driven approaches presented and the challenges imposed by this innovative BM,
a study of energy and reserve markets based on the Peer-to-Peer (P2P) structure is carried out.
This structure is very promising for the prosumers’ promotion but presents some challenges for
the network operation. A critical challenge is to ensure that network constraints are not violated
due to energy trades between peers and neither due to the use of reserve capacity. Therefore,
two methodologies are proposed. First, is proposed a three-step approach (P2PTDF), using
Topological Distribution Factors (TDF) to penalize peers responsible for violations that may
occur in the network constraints, ensuring a feasible solution. Second, it is proposed a new
integrated prosumers-DSO approach applied in P2P energy and reserve tradings that also ensures
the feasibility of both energy and reserve transactions under network constraints. The proposed
approach includes the estimation of reserve requirements based on the RES uncertain behavior
from historical generation data, which allows identifying RES patterns. The proposed models
are assessed through a case study that uses a 14-bus system, under the technical and economic
criteria. The results show that the approaches can ensure a feasible network operation.Nos últimos anos, os sistemas tradicionais de energia passaram por uma transição significativa, principalmente relacionada à penetração massiva de fontes de energia renováveis (do
inglês, Renewable energy sources-RES). Mais especificamente, a transformação de consumidores
residenciais em prosumidores tem desafiado a atual operação do mercado de energia elétrica.
Essa transição traz novos desafios e oportunidades para o sistema elétrico, levando a novos
modelos de negócios (do inglês, Business Models-BM). Uma mudança amplamente discutida
está relacionada a uma abordagem centrada no consumidor ou direcionada ao prossumidor,
promovendo maior participação de pequenos consumidores nos sistemas de energia. A presente
tese tem como objetivo discutir os recentes BMs como facilitadores do crescente papel dos
prosumidores no mercado de energia e no sistema elétrico mundial, aprofundando a discussão
com uma visĂŁo holĂstica do contexto brasileiro. Para tanto, define as principais caracterĂsticas
dos prosumidores e sua regulamentação geral relacionada, bem como possĂveis designs de
mercado dentro dos sistemas de energia. Além disso, o trabalho pretende contribuir para o
conhecimento, identificação e compreensão das principais barreiras regulatórias e facilitadoras
para o desenvolvimento desses BMs no mercado brasileiro de energia. Assim como, discutir as
tecnologias importantes para criar adequadamente as condições que sustentam novos mercados
orientados ao consumidor final. Em seguida, apresenta uma revisão abrangente dos BMs existentes e inovadores e uma discussão sobre seus papéis futuros nos sistemas de energia modernos
e, no quadro regulatĂłrio brasileiro, buscando orientar as decisões para que o paĂs desenvolva
seu ambiente polĂtico e regulatĂłrio no futuro. AlĂ©m disso, um conjunto de recomendações
para promover esses BMs no sistema de energia em todo o mundo Ă© fornecido juntamente com
recomendações de polĂticas para promover a agregação de prosumidores no setor de energia
brasileiro. Uma conclusĂŁo importante Ă© que, mesmo sendo economicamente possĂvel, nem todos
os BMs inovadores podem se espalhar pelo mundo devido a obstáculos regulatórias. Buscando
explorar ainda mais uma das abordagens orientadas ao prosumidor apresentadas e os desafios
impostos por este BM inovador, Ă© realizado um estudo dos mercados de energia e de reserva com
base na estrutura ponto a ponto (do inglĂŞs, peer-to-peer-P2P). Esta estrutura Ă© muito promissora
para a promoção dos prosumidores mas apresenta alguns desafios para o funcionamento da rede.
Um desafio crĂtico Ă© garantir que as restrições da rede nĂŁo sejam violadas devido a negociações
de energia entre pares e nem devido ao uso da capacidade de reserva. Portanto, duas metodologias sĂŁo propostas. Primeiramente, Ă© proposta uma abordagem em trĂŞs passos (P2PTDF),
utilizando Fatores de Distribuição Topológica (do inglês, Topological Distribution Factors-TDF
) para penalizar os peers responsáveis por violações que possam ocorrer nas restrições da rede,
garantindo uma solução viável. Em segundo lugar, é proposta uma nova abordagem integrada
de prosumidores-DSO aplicada em transações P2P de energia e reserva que também garante a
viabilidade de transações de energia e reserva sob restrições de rede. A abordagem proposta
inclui a estimativa dos requisitos de reserva com base no comportamento incerto da RES a partir
de dados históricos de geração, o que permite identificar padrões de RES. Os modelos propostos
são avaliados através de um estudo de caso que utiliza um sistema de 14 barras, sob os critérios
técnico e econômico. Os resultados mostram que as abordagens podem garantir uma operação
de rede viável abrangendo energia e mercados de reserva
Threshold Encrypted Mempools: Limitations and Considerations
Encrypted mempools are a class of solutions aimed at preventing or reducing
negative externalities of MEV extraction using cryptographic privacy. Mempool
encryption aims to hide information related to pending transactions until a
block including the transactions is committed, targeting the prevention of
frontrunning and similar behaviour. Among the various methods of encryption,
threshold schemes are particularly interesting for the design of MEV mitigation
mechanisms, as their distributed nature and minimal hardware requirements
harmonize with a broader goal of decentralization.
This work looks beyond the formal and technical cryptographic aspects of
threshold encryption schemes to focus on the market and incentive implications
of implementing encrypted mempools as MEV mitigation techniques. In particular,
this paper argues that the deployment of such protocols without proper
consideration and understanding of market impact invites several undesired
outcomes, with the ultimate goal of stimulating further analysis of this class
of solutions outside of pure cryptograhic considerations. Included in the paper
is an overview of a series of problems, various candidate solutions in the form
of mempool encryption techniques with a focus on threshold encryption,
potential drawbacks to these solutions, and Osmosis as a case study. The paper
targets a broad audience and remains agnostic to blockchain design where
possible while drawing from mostly financial examples
From disclosure to transparency - Essays on firms' voluntary disclosure in a transforming environment
This cumulative thesis is based on three articles.
In the first paper, I investigate firms' greenhouse gas emission disclosure strategies. The results show the potential existence of different disclosure equilibria, which implies different disclosure patterns in different industries. I further identify that disclosure mandates may have an adverse effect on firms' abatement incentives and even their total emissions.
In the second paper, I propose a model to investigate firms’ signaling decisions on the product level.
In the third paper, my coauthors and I investigate the potential and limits of privacy-preserving corporate blockchain applications for information provision. We show that blockchain technology can improve the information environment and outperform traditional institutions. However, we also characterize an adverse mixed-adoption equilibrium in which neither of the two channels realizes its full potential and information provision declines not only for individual firms but also in aggregate
Ethnographies of Collaborative Economies across Europe: Understanding Sharing and Caring
"Sharing economy" and "collaborative economy" refer to a proliferation of initiatives, business models, digital platforms and forms of work that characterise contemporary life: from community-led initiatives and activist campaigns, to the impact of global sharing platforms in contexts such as network hospitality, transportation, etc. Sharing the common lens of ethnographic methods, this book presents in-depth examinations of collaborative economy phenomena. The book combines qualitative research and ethnographic methodology with a range of different collaborative economy case studies and topics across Europe. It uniquely offers a truly interdisciplinary approach. It emerges from a unique, long-term, multinational, cross-European collaboration between researchers from various disciplines (e.g., sociology, anthropology, geography, business studies, law, computing, information systems), career stages, and epistemological backgrounds, brought together by a shared research interest in the collaborative economy. This book is a further contribution to the in-depth qualitative understanding of the complexities of the collaborative economy phenomenon. These rich accounts contribute to the painting of a complex landscape that spans several countries and regions, and diverse political, cultural, and organisational backdrops. This book also offers important reflections on the role of ethnographic researchers, and on their stance and outlook, that are of paramount interest across the disciplines involved in collaborative economy research
From massive rapid reconstruction to small-scale stepwise urban renewal: A contribution to socially integrative cities?: Case studies of Wuhan, China
Initially, urban renewal focused mainly on promoting better physical environments, living conditions and economic activities, by upgrading derelict neighbourhoods. But since the 1990s in Europe, the urban renewal approach emphasising the physical, environmental and economic spheres has been replaced by a more comprehensive and integrated approach, which links the stimulation of economic activities and environmental improvements with social integration, inclusion and cultural elements.
The former pathway, marked by massive rapid demolition and reconstruction, is regarded as the dominant urban renewal approach in China. Driven by the unprecedented urbanisation, it has brought enormous economic benefits but at the cost of aggravating social and environmental problems, resulting in unsustainable cities. Therefore, China has entered a new stage by transforming into a more sustainable avenue – the small-scale stepwise urban renewal. Since 2009, the Chinese government has launched experimental actions in many pilot cities to cultivate the new approach. This trend can be noticed in different fields involving policies, movements, institutional settings and academia. Government and scholars expect small-scale urban renewal to simultaneously enhance physical infrastructures, reinforce cultural diversity and foster social cohesion, leading to sustainable and socially integrative cities. However, it can be questioned if the new urban renewal approach genuinely has a better performance in this regard.
Therefore, the guiding research question (RQ) asks: How does urban renewal contribute to socially integrative cities in China? The author first sought insights to build a holistic conceptual framework: urban renewal towards socially integrative cities. It helped understand the urban renewal evolution in China, and the concept of social integration and inclusion both in international and in the Chinese context, especially regarding urban renewal projects. By conducting a literature review, three research gaps were identified: 1) A lack of systematic studies that integrate and summarise fragmented urban renewal approaches and concepts in China; 2) Social integration and inclusion in China have a relatively narrow perspective of “assimilation”; 3) Systematic and multi-faceted evaluation of experimental urban renewal in China, especially in social aspects, is too inadequate to make suggestions for improving current Chinese urban renewal approaches. To fill these gaps, this dissertation firstly scrutinises the differences between these co-existing two renewal approaches in China, massive rapid reconstruction and small-scale stepwise urban renewal; secondly, it examines to what extent these two approaches have contributed to socially integrative cities, and thirdly, analyses the strengths and weaknesses of these two approaches and the rationales behind them.
The 'socially integrative cities' (SIC) analytical framework, jointly proposed by Chinese and European scholars, is applied to examine the accomplishments in two urban renewal cases. The author defines 26 indicators corresponding to 12 characteristics, grouped into five dimensions: collaborative urban planning and design, urban environment and living conditions, local economy and labour market, socio-cultural development and social capital, institutional development and urban finance.
The methodology comprises descriptive documents analysis and literature research, followed by qualitative comparative case studies. Two typical cases were selected, representing massive rapid reconstruction (Wuhan Tiandi) and small-scale stepwise urban renewal (Tanhualin). Both are traditional inner-city and run-down areas in Wuhan, a frontrunner prefecture-level city in China. During the fieldwork, semi-structured in-depth interviews have been conducted on identified stakeholders. After the fieldwork, a thematic content analysis and a stakeholder analysis were performed to analyse the interview data collected from online databases, documents, and project plans.
Results firstly suggested that the differences between massive rapid reconstruction and small-scale stepwise urban renewal exist in the aspects of the intervention levels, the actors and strategies, the scales of coverage, the planning goals, the renewal targets, the housing types and the sources of funds. An urban renewal project can combine both approaches in a hybrid model or adopt different approaches in different periods.
The assessment of the implementation and impact of both urban renewal cases reveals that massive rapid reconstruction and small-scale stepwise urban renewal have genuinely contributed to socially integrative cities in all five dimensions but to a varying degree. Massive rapid reconstruction has unique advantages in improving living and environmental conditions in urban areas, upgrading the physical environment in distressed areas, and strengthening the economy and labour market on a large regional scale, but it does not respect the social and cultural dimension. In contrast, small-scale stepwise renewal prevails in the adaptive reuse of existing buildings, revitalising cities and older towns, keeping people in the original neighbourhoods, stabilising housing prices and affordability, strengthening the economy and labour market on a small local scale, preserving cultural heritage, fostering the identity of neighbourhoods, as well as fostering social capital and the engagement of local stakeholders. However, it suffers from a comprehensive but limited effectiveness.
The study also shows that many strengths and weaknesses of both urban renewal approaches are antithetical. Based on this finding, the author discovers their rationales behind the two different approaches, investigates the underlying causes that precipitate these antitheses, and proposes possible solutions to the challenges and dilemmas facing current Chinese urban renewal.
Overall, this research concludes fragmented urban renewal approaches and concepts in China, summarised into two paradigms: massive rapid reconstruction and small-scale stepwise urban renewal. Besides, it develops a more comprehensive and analytical framework that adapts to the Chinese context - “socially integrative cities”, to examine urban renewal projects. Finally, it elucidates in-depth empirical knowledge of the urban renewal paradigm shift in China and makes recommendations for government, practitioners and scholars to promote a more socially integrative urban renewal.:CONTENTS
1 Introduction
1.1 Problem overview
1.2 Study design and thesis structure
2 Conceptual framework: urban renewal towards socially integrative cities
2.1 Urban renewal in China
2.1.1 Basic Chinese terms and concepts
2.1.2 Massive rapid demolition and reconstruction
2.1.3 Small-scale stepwise urban renewal
2.1.4 Urban renewal evolution in China: initiating, testing and promotion
2.2 Social integration and inclusion
2.3 Influence of urban renewal on social integration and inclusion - socially integrative cities
2.4 Typical practices of urban renewal in China
2.5 Raised research questions
3 Research design and methodology
3.1 Overall research design
3.2 Framework to examine the accomplishment of socially integrative cities in urban renewal projects
3.3 Comparative case studies
3.3.1 Case study selection
3.3.2 Interview design
3.3.3 Data analysis
4 Exploring the context: Wuhan city and its two cases
4.1 Urban renewal in Wuhan
4.2 Planning documents of Wuhan concerning urban renewal
4.3 Massive rapid reconstruction case: Wuhan Tiandi
4.4 Small-scale stepwise urban renewal case: Tanhualin
5 Differences between massive rapid reconstruction and small-scale stepwise urban renewal
5.1 Classification criteria for urban renewal approaches
5.2 Intervention levels
5.2.1 Redevelopment, rehabilitation, and conservation
5.2.2 Intervention levels in massive rapid reconstruction and small-scale stepwise urban renewal
5.3 Actors and strategies
5.3.1 Government-led, property-led, comprehensive model, and community-oriented mode
5.3.2 Actors and strategies in massive rapid reconstruction and small-scale stepwise urban renewal
5.3.3 Sources of funds in massive rapid reconstruction and small-scale stepwise urban renewal
5.4 Scales of coverage
5.4.1 Macro-level, medium-level, micro-level
5.4.2 Scales of coverage in massive rapid reconstruction and small-scale stepwise urban renewal
5.5 Planning goals
5.5.1 Physical, social, economic, and morphological integrated
5.5.2 Planning goals in massive rapid reconstruction and small-scale stepwise urban renewal
5.6 Renewal targets
5.6.1 Old city, old factory, old village
5.6.2 Renewal targets in massive rapid reconstruction and small-scale stepwise urban renewal
5.7 Summary
6 Contributions to socially integrative cities by massive rapid reconstruction and small-scale stepwise urban renewal
6.1 Collaborative urban planning and design
6.1.1 Reducing urban sprawl and appropriate access to urban land
6.1.2 Involving different stakeholders in collaborative and participative planning and design on the different politico-administrative levels
6.1.3 Reflections
6.2 Urban environment and living conditions
6.2.1 Improving urban environment and living conditions in Wuhan Tiandi
6.2.2 Improving the urban environment and living conditions in Tanhualin
6.2.3 Reflections
6.3 Local economy and labour market
6.3.1 Strengthening the local economy and labour market
6.3.2 Strengthening technical and social innovation in cities and neighbourhoods opening up new possibilities for the local population
6.3.3 Reflections
6.4 Socio-cultural development and social capital
6.4.1 Fostering proactive education and training policies for children and young people in disadvantaged neighbourhoods
6.4.2 Preserving cultural heritage and fostering the identity of neighbourhoods and their inhabitants
6.4.3 Fostering social capital and engagement of local stakeholders
6.4.4 Reflections
6.5 Institutional development and urban finance
6.5.1 Supporting adequate institutional conditions and mechanisms
6.5.2 Supporting adequate financial conditions and mechanisms
6.5.3 Reflections
6.6 Summary
7 Strengths and weaknesses of massive rapid reconstruction and small-scale stepwise renewal and their rationales
7.1 Collaborative urban planning and design
7.1.1 Rental-sales rights inequality
7.1.2 Paternalistic Danwei system
7.1.3 Lack of channels for public participation
7.1.4 Lack of vertical and horizontal integration between government sectors
7.1.5 Lack of clear collective goals
7.2 Urban environment and living conditions
7.2.1 Housing prices and affordability
7.2.2 Low-rent housing programmes and two innovations
7.2.3 Monetisation strategy
7.2.4 Efficiency versus quality
7.3 Socio-cultural development and social capital
7.3.1 Cultural heritage protection
7.3.2 Aesthetic concept cultivation
7.3.3 Open community versus gated community
7.3.4 Understandings of social integration and inclusion
7.4 Institutional development and urban finance
7.4.1 Establishment of urban renewal bureau
7.4.2 Transition from management-oriented government to service-oriented government
7.4.3 Human-centred, people-oriented design
7.5 Summary
8 Conclusion
References
Annexes
Annex 1: Interview guidelines
Annex 2: Dates of interviews
Annex 3: Collected data
Annex 4: Example of consent formUrsprünglich zielte Stadterneuerung in erster Linie darauf ab, Infrastruktur, Lebensbedingungen und wirtschaftliche Gegebenheiten durch die Aufwertung baufälliger Stadtviertel zu verbessern. Seit den 1990er Jahren jedoch wurde in Europa der Ansatz der hauptsächlich materielle, ökologische und ökonomische Aspekte betonenden Stadterneuerung durch eine ganzheitlichere Herangehensweise abgelöst. Diese verbindet die Stimulation ökonomischer Aktivitäten und ökologischer Verbesserungen mit sozialer Integration und Teilhabe der Bewohner sowie Rücksichtnahme auf kulturelle Gegebenheiten (Dixon et al., 2009, p. 3).
Ersterer Ansatz, gekennzeichnet durch großflächigen und schnellen Abriss und Neubau städtischer Areale, wird meist als die in China übliche Vorgehensweise bei Stadterneuerungen angesehen. Getrieben von einem Prozess beispielloser Urbanisierung, ging sie einen enormen wirtschaftlichen Aufschwung einher. Dieser brachte allerdings gravierende soziale und ökologische Problemen mit sich, welche zu einer nicht-nachhaltigen Stadtentwicklung führten. Deshalb beschreitet China zunehmend einen nachhaltigeren Weg: die schrittweise Stadterneuerung in jeweils kleinerem Umfang. Seit 2009 initiierte die chinesische Regierung verschiedene experimentelle Pilotprojekte für den neuen Ansatz. Dieser Trend macht sich in verschiedenen Bereichen wie Planungs- und Baustrategien, institutionellen Rahmenbedingungen und der Wissenschaft bemerkbar. Sowohl chinesische Regierungsinstitutionen als auch zahlreiche Wissenschaftler gehen davon aus, dass eine kleinteiligere Stadterneuerung nicht nur die physische Infrastruktur verbessert, sondern auch das Gefühl der Identität, die kulturelle Entwicklung und den sozialen Zusammenhalt unter den Bewohnern verstärkt. Damit geht allerdings die Frage einher, ob der neue Ansatz der Stadterneuerung tatsächlich per se besser zur Verwirklichung dieser Absichten beiträgt.
Die zentrale Forschungsfrage lautet daher: Auf welche Weise trägt Stadterneuerung zur sozialen Integrativität chinesischer Städte bei? Zunächst entwickelte die Autorin den konzeptionellen Rahmen: Stadterneuerung im Sinne sozial-integrativer Stadtentwicklung. Dieser hilft beim Verständnis chinesischer Stadterneuerung und der Einsicht in den städtebaulichen Bezug von Konzepten sozialer Integration und Inklusion sowohl international als auch spezifisch in China. Bei der Recherche in Dokumenten und Fachliteratur zeigten sich weiterhin folgende drei Forschungslücken: 1) Ein Mangel an systematischen Untersuchungen, die die einzelnen Herangehensweisen und Konzepte der Stadterneuerung in China integrieren und zusammenfassen; 2) Ansätze der sozialen Integration und Teilhabe folgen in China einem relativ engen Verständnis von „Assimilierung“; 3) Der gegenwärtige Bestand systematischer Analyse und Bewertung experimenteller Stadterneuerungsprojekte ist hinsichtlich sozialer Aspekte unzureichend für eine Verbesserung aktueller Ansätze der Stadterneuerung in China. Um diese Forschungslücken zu füllen, sollen in der vorliegenden Dissertation zum Ersten die Unterschiede zwischen den beiden in China angewendeten Vorgehensweisen der Stadterneuerung – großflächiger und scheller gegenüber kleinteiligem und schrittweisem Stadtumbau – erforscht werden; zum Zweiten soll untersucht werden, inwiefern beide Ansätze zur sozial integrierten Stadtentwicklung beitragen, und zum Dritten soll eine generelle Analyse der Stärken und Schwächen beider Ansätze und ihrer inneren Logik erfolgen.
Zur Untersuchung zweier Fälle von Stadterneuerung bezüglich des Ziels einer sozial-integrativen Stadtentwicklung kommt der Analyserahmen „Socially Integrative Cities“ (SIC), der gemeinsam von chinesischen und europäischen Wissenschaftlerinnen und Wissenschaftlern vorgeschlagen wurde, zum Einsatz. Die Autorin definierte 26 Indikatoren aufbauend auf 12 Charakteristika aus vorausgegangenen Forschungen, die fünf thematischen Dimensionen zugeordnet wurden: kollaborative Stadtplanung und Stadtgestaltung, urbane Umwelt- und Lebensbedingungen, wirtschaftliche Situation und Arbeitsmarkt vor Ort, soziokulturelle Entwicklung und soziales Kapital und schlussendlich institutionelle Entwicklung und städtisches Finanzwesen.
Das methodische Vorgehen vereint beschreibende Analyse von Dokumenten und Literaturrecherche, gefolgt von qualitativen vergleichenden Fallstudien. Für die Untersuchung wurden zwei typische Fälle von Stadterneuerungsprojekten ausgewählt, die einerseits eine großflächige und schnelle (Wuhan Tiandi) und andererseits eine kleinteilige und schrittweise (Wuhan Tanhualin) Vorgehensweise repräsentieren. In beiden Fällen handelt es sich um traditionelle innerstädtische, jedoch baufällige Viertel in Wuhan, einer aufstrebenden chinesischen Bezirkshauptstadt. Im Laufe der Feldforschung wurden unter anderem semistrukturierte vertiefende Interviews mit Vertretern von Einrichtungen geführt, die vorher als Stakeholder identifiziert wurden. Für die Auswertung des Interviewmaterials schloss sich während und nach der Feldforschung die inhaltliche Analyse und die Stakeholderanalyse an. Weitere Daten hierfür wurden von Online-Datenplattformen, Dokumenten und Projektplanungen generiert.
Zunächst einmal legen die Resultate nahe, dass die Unterschiede zwischen großflächiger, schneller und kleinteiliger, schrittweiser Stadterneuerung hauptsächlich bei den Aspekten Interventionsebene, Akteure und ihre Strategien, Größe der Baufläche, Planungs- und Erneuerungsziel, Gebäudetypen und Finanzierung liegen. Dabei besteht die Möglichkeit, dass Projekte der Stadterneuerung beide Vorgehensweisen in einem hybriden Modell kombinieren oder verschiedene Ansätze in unterschiedlichen Abschnitten zur Anwendung bringen.
Die Auswertung der Umsetzung und Folgen der beiden Stadterneuerungsprojekte offenbarte, dass sowohl die großflächige und schnelle als auch die kleinteilige, schrittweise Stadterneuerung in unterschiedlichem Ausmaß einen spezifischen Einfluss auf allen fünf o.g. Dimensionen des Konzepts der sozial-integrativen Stadt haben. Großflächige und schnelle Stadterneuerung bietet unbestreitbare Vorteile für die Verbesserung der Lebens- und Umweltbedingungen, bei der baulichen Aufwertung in baufälligen Stadtbereichen sowie für die Stärkung der regionalen Wirtschaftstätigkeit und des überregionalen Arbeitsmarktes. Allerdings nimmt sie wenig Rücksicht auf soziale und kulturelle Aspekte. Im Gegensatz dazu zeichnet sich eine kleinteilige, schrittweise Stadterneuerung durch flexible Umnutzung existierender Gebäude, eine Wiederbelebung von Stadtkernen und Altstädten und stabileren und erschwinglicheren Immobilienpreisen aus. Menschen können in ihrem angestammten Viertel bleiben, die Lokalwirtschaft und der Arbeitsmarkt vor Ort werden gestärkt, baukulturelles Erbe bewahrt und sowohl das Identitätsgefühl der Quartiersbewohner mit ihrer Umgebung als auch Sozialkapital und Engagement lokaler Stakeholder gestärkt. Gleichwohl leiden diese zwar umfassenden Ansätze unter einer begrenzten Effektivität.
Darüber hinaus wurde in der Studie deutlich, dass die Vorteile des einen Ansatzes in vielen Fälle die Nachteile des anderen spiegeln und umgekehrt. Darauf aufbauend beschrieb die Autorin die zu Grunde liegende Logik beider Wege, untersuchte die Ursachen, die zu deren Widersprüchen führen und bietet mögliche Lösungswege für die Herausforderungen und Dilemmata an, denen gegenwärtige chinesische Stadterneuerungsprojekte gegenüberstehen.
Diese Forschungsarbeit fasst verschiedene bislang fragmentarische Ansätze und Konzepte der Stadterneuerung in China zu zwei Paradigmen zusammen: Dem des großflächigen, schnellen Stadtumbaus und jenem der kleinteiligen, schrittweisen Erneuerung. Daneben wurde ein breiter gefasster und an den Kontext der chinesischen „sozial-integrativen Stadt“ angepasster Analyserahmen für Stadterneuerungsprojekte entwickelt. Schlussendlich erläutert die vorliegende Forschungsarbeit ausführlich empirische Erkenntnisse im Zusammenhang mit dem städtebaulichen Paradigmenwechsel, der sich in China vollzieht, und gibt Empfehlungen für entsprechende Regierungsinstitutionen, Fachleute und Wissenschaftler zur Förderung einer sozial–integrativen Stadtentwicklung.:CONTENTS
1 Introduction
1.1 Problem overview
1.2 Study design and thesis structure
2 Conceptual framework: urban renewal towards socially integrative cities
2.1 Urban renewal in China
2.1.1 Basic Chinese terms and concepts
2.1.2 Massive rapid demolition and reconstruction
2.1.3 Small-scale stepwise urban renewal
2.1.4 Urban renewal evolution in China: initiating, testing and promotion
2.2 Social integration and inclusion
2.3 Influence of urban renewal on social integration and inclusion - socially integrative cities
2.4 Typical practices of urban renewal in China
2.5 Raised research questions
3 Research design and methodology
3.1 Overall research design
3.2 Framework to examine the accomplishment of socially integrative cities in urban renewal projects
3.3 Comparative case studies
3.3.1 Case study selection
3.3.2 Interview design
3.3.3 Data analysis
4 Exploring the context: Wuhan city and its two cases
4.1 Urban renewal in Wuhan
4.2 Planning documents of Wuhan concerning urban renewal
4.3 Massive rapid reconstruction case: Wuhan Tiandi
4.4 Small-scale stepwise urban renewal case: Tanhualin
5 Differences between massive rapid reconstruction and small-scale stepwise urban renewal
5.1 Classification criteria for urban renewal approaches
5.2 Intervention levels
5.2.1 Redevelopment, rehabilitation, and conservation
5.2.2 Intervention levels in massive rapid reconstruction and small-scale stepwise urban renewal
5.3 Actors and strategies
5.3.1 Government-led, property-led, comprehensive model, and community-oriented mode
5.3.2 Actors and strategies in massive rapid reconstruction and small-scale stepwise urban renewal
5.3.3 Sources of funds in massive rapid reconstruction and small-scale stepwise urban renewal
5.4 Scales of coverage
5.4.1 Macro-level, medium-level, micro-level
5.4.2 Scales of coverage in massive rapid reconstruction and small-scale stepwise urban renewal
5.5 Planning goals
5.5.1 Physical, social, economic, and morphological integrated
5.5.2 Planning goals in massive rapid reconstruction and small-scale stepwise urban renewal
5.6 Renewal targets
5.6.1 Old city, old factory, old village
5.6.2 Renewal targets in massive rapid reconstruction and small-scale stepwise urban renewal
5.7 Summary
6 Contributions to socially integrative cities by
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