Building Urban Resilience Through Spatial Planning Following Disasters
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BUILDING URBAN RESILIENCE THROUGH SPATIAL PLANNING FOLLOWING DISASTERS THE GREAT EAST JAPAN EARTHQUAKE AND TSUNAMI DISSERTATION BY NADINE MÄGDEFRAU SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF ENGINEERING (DR.-ING.) AT THE FACULTY OF SPATIAL PLANING OF THE TECHNICAL UNIVERSITY OF DORTMUND DECEMBER 2016 Front Cover: Own illustration | Photo by author (October 2015) Doctoral Committee Supervisors PROF. DR. STEFAN GREIVING Technical University of Dortmund, Germany Faculty of Spatial Planning Institute of Spatial Planning PROF. DR. MICHIO UBAURA Tohoku University Department of Architecture and Building Science Urban and Regional Planning System Lab Examiner PROF. DR. SABINE BAUMGART Technical University of Dortmund, Germany Faculty of Spatial Planning Department of Urban and Regional Planning Dissertation at the Faculty of Spatial Planning of the Technical University of Dortmund, Dortmund. BUILDING URBAN RESILIENCE THROUGH SPATIAL PLANNING FOLLOWING DISASTERS THE GREAT EAST JAPAN EARTHQUAKE AND TSUNAMI DISSERTATION BY NADINE MÄGDEFRAU SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF ENGINEERING (DR.-ING.) AT THE FACULTY OF SPATIAL PLANING OF THE TECHNICAL UNIVERSITY OF DORTMUND DECEMBER 2016 ACKNOWLEDGMENT “It is complicated.” This is one of the phrases that I heard most frequently throughout my research in Tohoku Region. It referred to the reconstruction process, but can equally be applied to the endeavor of writing a dissertation. It was complicated to find an appropriate research topic. It was complicated to collect and understand the required data (mainly written in a foreign language) and to comprehend the complex processes that took and take place in Tohoku Region to recover from the Great East Japan Earthquake and Tsunami. It was complicated to sort through and analyze all of the collected data and to put all of the content together into this work. I could not have done all of this without the support of many people. I would like to use this opportunity to express my appreciation for their help and encouragement. I would like to thank my supervisors Prof. Dr. Stefan Greiving and Prof. Dr. Michio Ubaura for their guidance and support throughout the entire research process. I would also like to thank Prof. Dr. Sabine Baumgart, who agreed to be my exam- iner and chair the Doctoral Committee. I would like to thank CONCERT-Japan and the Federal Ministry of Education and Research (BMBF) for financially supporting my research stays in Japan, which were the foundation for my research. I would like to express my gratitude to Masako Abe, Prof. Dr. Liz Maly, Eri Matsumoto, Tomoko Otsuka and Dr. Koya Utsumi – the time in Sendai would not have been the same without you. I am also deeply thankful for all the interviewees who agreed to talk to me and share their wisdom. I would particularly like to thank Prof. Dr. Kanako Iuchi for believing in me and cheering me on. I would like to thank my (former) colleagues at the Institute of Spatial Plan- ning and the Faculty of Spatial Planning, in particular Dennis Becker Robin Chang, Dr. Florian Flex, Dr. Christian Lamker, Dr. Natalie Riedel, Hanna Schmitt, Dr. Frank Schulz, Dr. Teresa Sprague and Dr. Anja Szypulski for their helpful com- ments, advice and encouragement. I would also like to express my appreciation to Dr. habil. Sabine Hafner, who kindly supported me in the last two years, and the entire Mentoring3 group, who always had a sympathetic ear when I needed it. I would like to thank the students from my F-Project 11 of the academic year 2014/15 who prepared some of the graphics I used in this work. My special appreciation goes to Svenja Krings, who helped me with the realization of the graphics and layout and supported me during the final stage of this work. I would like to thank my family – Dagmar, Horst, Melanie, Volker, Gerd2, Brigitte and Carolin – for their support and my husband Alex for everything. i TABLE OF CONTENT Acknowledgment i Table of content iii List of illustrations vii List of tables xi List of abbreviations xiii PART A 1. Introduction 3 1.1 Objective and research questions 4 1.2 Research paradigm 7 1.3 Research design: Case study research 8 1.4 Guiding questions 13 1.5 Conducting case study research: An introduction to each chapter 15 2. Disaster, risk and spatial planning 17 2.1 Disaster 17 2.2 Risk 18 2.3 Risk governance 26 2.4 Spatial planning and risk governance 28 2.5 Interim Conclusion 33 3. Resilience 35 3.1 Urban resilience 37 3.2 Urban resilience in the disaster risk context 41 3.3 The window of opportunity 45 3.4 Spatial planning and resilience 47 3.5 Interim Conclusion 48 iii 4. Japan 49 4.1 Japan’s geography and governmental structure 49 4.2 Japan’s demographic development 52 4.3 Japan’s vulnerability to natural hazards 53 4.4 The Great East Japan Earthquake and Tsunami 54 4.5 Japan’s disaster risk management framework 55 4.6 Spatial planning in Japan 59 4.7 Spatial planning and risk governance in Japan 66 4.8 Spatial planning for reconstruction after the Great East Japan Earthquake and Tsunami 79 4.9 Interim conclusion 83 5. Operationalization of resilience 85 5.1 Essential 1: Organize for Disaster resilience 87 5.2 Essential 2: Identify, understand and use current and future risk scenarios 90 5.3 Essential 3: Strengthen financial capacity for resilience 92 5.4 Essential 4: Pursue resilient urban development 94 5.5 Essential 5: Safeguard natural buffers to enhance the protective functions offered by natural ecosystems 98 5.6 Essential 6: Strengthen institutional capacity for resilience 99 5.7 Essential 7: Increase societal and cultural resilience 102 5.8 Essential 8: Increase infrastructure resilience 105 5.9 Essential 9: Ensure effective disaster response 110 5.10 Essential 10: Expedite recovery and build back better 113 5.11 Interim Conclusion 115 6. Interim Conclusion of Part A 117 iv PART B 7. Case study approach 123 7.1 Case study selection 123 7.2 Methodology of data collection and analysis 126 8. Case Study A: Miyako City 141 8.1 Introduction of Miyako City 141 8.2 The Great East Japan Earthquake and Tsunami in Miyako City 143 8.3 Post-disaster reconstruction planning in Miyako City 143 8.4 Building resilience in Miyako City 147 8.5 Using the window of opportunity 174 9. Case Study B: Ishinomaki City 177 9.1 Introduction of Ishinomaki City 177 9.2 The Great East Japan Earthquake and Tsunami in Ishinomaki City 180 9.3 Post-disaster reconstruction planning in Ishinomaki City 181 9.4 Building resilience in Ishinomaki City 183 9.5 Using the window of opportunity 210 10. Cross-case synthesis 213 10.1 Building engineering and evolutionary resilience in Miyako City and Ishinomaki City 213 10.2 Spatial planning options to build resilience 216 10.3 The window of opportunity 221 11. Final conclusion 225 Bibliography 229 Annex I v LIST OF ILLUSTRATIONS Illustration 1 | Definitions of the main terminology 6 Illustration 2 | Research structure and guiding questions 14 Illustration 3 | Disaster as materialization of risk 19 Illustration 4 | Vulnerability and hazard as the elements of risk 21 Illustration 5 | The disaster risk framework 25 Illustration 6 | IRGC Risk Governance Framework 27 Illustration 7 | Risk governance and Environmental Impact Assessment 28 Illustration 8 | Levels of participation 32 Illustration 9 | Definitions of disaster, disaster risk, hazard and vulnerability 34 Illustration 10 | The adaptive cycle 37 Illustration 11 | A simplified conceptual schematic of the urban system 38 Illustration 12 | Urban resilience consists of engineering and evolutionary resilience 41 Illustration 13 | Engineering and evolutionary resilience as parts of the disaster risk framework 42 Illustration 14 | The four spheres of resilience 43 Illustration 15 | The resilience framework for this research 45 Illustration 16 | Map of Japan’s regions 50 Illustration 17 | Japan’s administrative levels 51 Illustration 18 | Population pyramid of Japan 52 Illustration 19 | Location of the epicenter of the GEJE 54 Illustration 20 | Tectonic around Japan and schematic diagram of a subduction zone earthquake 54 Illustration 21 | Sanriku Coast in Miyako City 56 Illustration 22 | Sendai flat plains 56 Illustration 23 | Japan’s four levels of Disaster Management Plans 56 Illustration 24 | Hazards addressed in the Basic Disaster Management Plan 57 Illustration 25 | Disaster management phases of the Basic Disaster Management Plan 57 Illustration 26 | Land-uses in the National Land-Use Plan 62 Illustration 27 | Basic structure of the city planning system 63 Illustration 28 | The concept of the land-use planning system in City Planning Areas 64 Illustration 29 | Land-use zones in the Urban Promotion Area 65 Illustration 30 | L2-tsunami simulation for Tsugaruishi District in Miyako City 67 Illustration 31 | Land-uses near the ocean 72 vii Illustration 32 | Building requirements in the hazardous area of Ofunato City 74 Illustration 33 | The Bridge of Hope in Rikuzentakata City 76 Illustration 34 | The procedure of land readjustment projects 77 Illustration 35 | Reconstruction patterns after the GEJE and Tsunami 82 Illustration 36 | The location of Miyako City and Ishinomaki City in Japan 124 Illustration 37 | Literal replication 125 Illustration 38 | Theoretical replication (most similar cases research approach) 125 Illustration 39 | Interview guidelines for spatial planners 133 Illustration 40 | Population development of Miyako City 141 Illustration 41 | Location of Miyako City 142 Illustration 42 | Reconstruction