The Adaptive Reuse of Industrial Heritage As Cultural Clusters in China: a Case Study in Chongqing

The Adaptive Reuse of Industrial Heritage as Cultural Clusters in China: A Case Study in Chongqing

Jie Chen

A thesis submitted in fulfilment

of the requirements for the degree of

Doctor of Philosophy

Faculty of the Built Environment

University of New South Wales

March 2018 PLEASE TYPE THE UNIVERSITY OF NEW SOUTH WALES Thesis/Dissertation Sheet

Surname or Family name: CHEN

First name: Jie Other name/s:

Abbreviation for degree as given in the University calendar: PhD

School: Built Environment Faculty: Built Environment

Title: The Adaptive Reuse of Industrial Heritage as Cultural Clusters in China: A Case Study in Chongqing

Abstract 350 words maximum: (PLEASE TYPE)

Following the adoption of a socialist market economy throughout the late 1970s and 1980s, the Chinese city has accommodated radical changes in its urban landscapes, especially the dramatic transformation of large industrial sites. Along with the rapid urban transformation and the neglect of historic cores, Chinese cities are witnessing the rapid disappearance of industrial heritage. This negative reality of conservation practice raises a fundamental question about the reasons for such cultural myopia. To reveal the main factors that dominate the results of brownfield regeneration projects in urban China, this thesis reviewed theories on the production of space and the literature on the Chinese context. A single case study approach was adopted, collecting data from semi-structured interviews, document reviews and popular media. Through an investigation in the major industrial inland city of Chongqing, the thesis examined how the idea of industrial heritage reuse has travelled as a global concept with its Chinese precedents to Chongqing, and why the idea has been diluted in the regional context.

The case study of the Chongqing Steel Factory regeneration project revealed that the negative outcome of industrial heritage conservation was associated with Chongqing’s contextual constraints, covering aspects of capital accumulation, entrepreneurial urban governance and the post- reform sociocultural environment. It was argued that the heritage value was dramatically sacrificed to short-term profitability in property development, when relatively weak economic conditions, entrepreneurial governance with a focus on investment return, a lack of strong heritage legislation and regulation, and limited local cultural support work together. These findings build on existing theories concerning the production of space and the urban policy mobility, and relate the concepts of idea learning and mutation, capital accumulation, power relations and social efforts for spatial justice to industrial heritage studies in the Chinese context. This thesis contributes knowledge to three distinct areas: firstly, to research on brownfield transformation; secondly, to industrial heritage studies; and thirdly, to Chinese urban studies. The Chongqing experience seeks to inspire researchers, practitioners and policy makers in the positive transformation of other industrial cities in China, which still retain numerous industrial sites with great potential to be reclaimed. This thesis thus supports better industrial heritage outcomes.

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Following the adoption of a socialist market economy throughout the late 1970s and 1980s, the Chinese city has accommodated radical changes in its urban landscapes, especially the dramatic transformation of large industrial sites. Along with the rapid urban transformation and the neglect of historic cores, Chinese cities are witnessing the rapid disappearance of industrial heritage. This negative reality of conservation practice raises a fundamental question about the reasons for such cultural myopia. To reveal the main factors that dominate the results of brownfield regeneration projects in urban China, this thesis reviewed theories on the production of space and the literature on the Chinese context. A single case study approach was adopted, collecting data from semi- structured interviews, document reviews and popular media. Through an investigation in the major industrial inland city of Chongqing, the thesis examined how the idea of industrial heritage reuse has travelled as a global concept with its Chinese precedents to Chongqing, and why the idea has been diluted in the regional context.

The case study of the Chongqing Steel Factory regeneration project revealed that the negative outcome of industrial heritage conservation was associated with Chongqing’s contextual constraints, covering aspects of capital accumulation, entrepreneurial urban governance and the post-reform sociocultural environment. It was argued that the heritage value was dramatically sacrificed to short-term profitability in property development, when relatively weak economic conditions, entrepreneurial governance with a focus on investment return, a lack of strong heritage legislation and regulation, and limited local cultural support work together. These findings build on existing theories concerning the production of space and the urban policy mobility, and relate the concepts of idea learning and mutation, capital accumulation, power relations and social efforts for spatial justice to industrial heritage studies in the Chinese context. This thesis contributes knowledge to three distinct areas: firstly, to research on brownfield transformation; secondly, to industrial heritage studies; and thirdly, to Chinese urban studies. The Chongqing experience seeks to inspire researchers, practitioners and policy makers in the positive transformation of other industrial cities in China, which still retain numerous industrial sites with great potential to be reclaimed. This thesis thus supports better industrial heritage outcomes.

Acknowledgements

I would like to express my deepest gratitude and appreciation to Emeritus Professor Bruce Judd, my principal supervisor, who enthusiastically supported my research from the very beginning of my PhD journey to the end. His invaluable contribution, expert guidance, as well as forbearance and humour encouraged my interest in this thesis and inspired me to complete it. Sincere thanks are also due to my co-supervisor Dr Scott Hawken for his continual support throughout these four years.

I wish to thank my annual progress review panel members, Dr Gethin Davison and Professor Simon Pinnegar, for their constructive comments on my research. I am particularly grateful to Professor Zhizhong Dai from Chongqing University, who generously gave of his time and knowledge. Special thanks are also due to Professor Miao Xu from Chongqing University, who encouraged me to pursue the PhD candidature.

Thanks to my piano teacher Jennifer Grimson and my Sydney friends Sian Thompson, Aldyfra Lukman, Vivien (Ye) Shi and Diane Christina for the happy and enjoyable time together. Thanks to Dr John Blair for his thoughtful work on my thesis editing, Suzie Scandurra for her kind help and several other colleagues in the Faculty of Built Environment, UNSW. Thanks are also due to all the interviewees: urban planners, urban designers, architects, artists, developers and government officials who were generous in making their time available to me. In particular, thanks to the China Scholarship Council and the University of New South Wales for funding this research.

Since six journal papers were developed over my PhD period, I would like to thank all the anonymous reviewers and the editors of the following journals: URBAN DESIGN International, Structure Survey, Urban Planning Forum [城市规划学刊], and Urban Planning International [国际城市规划] for their constructive feedback. This research has also been presented in three international conferences. I would like to thank the researchers I met at these conferences, who shared their valuable opinions about this research with me.

My special thanks to my parents, my brother and my fiancé for their unconditional love and support, and being there for me especially during difficult times.

Publications over the PhD Period

1. Chen, J. (2017) Research on the transition of industrial land in urban China: from the western perspective [西方文献中的中国城市工业用地转型研究], Urban Planning International [国际城市规划], 32(6): pp.5-12 (CSSCI) 2. Chen, J. (2017) Conservation of waterfront industrial Heritage: Cases and lessons from Sydney [滨水工业遗产保护再利用：悉尼实践案例及其经验], 中国工业遗产调查、研究与保护（七）, Tsinghua University Press, pp 559-567. 3. Wang, Y. & Chen, J. (2017) Does the rise of pseudo-public spaces lead to the ‘end of public space’ in large Chinese cities? Evidence from Shanghai and Chongqing, URBAN DESIGN International, accepted by reviewers (Social Science Citation Index) 4. Wang, Y. & Chen, J. (2017) Dimensions of the publicness of urban space and defining features of “public” and “private” in western research [西方研究中城市空间公共性的组成维度及 “公共”与“私有”的界定特征], Urban Planning International[国际城市规划], 32(3): pp.59-67 (CSSCI) 5. Chen, J., Judd, B., & Hawken, S. (2016) Adaptive reuse of industrial heritage for cultural purposes in Beijing, Shanghai and Chongqing, Structural Survey (currently published as: International Journal of Building Pathology and Adaptation), 34 (4/5): pp.331 – 350. 6. Wang, Y. & Chen, J. (2016) Assessing the publicness of urban space, a review of western methods [国外城市空间公共性评价研究及其对中国的借鉴和启示], Urban Planning Forum [城市规划学刊], 232 (6): pp.72-82 (CSSCI) 7. Chen, J. & Judd, B (2017) Interpreting the industrial landscape transformation in post- reform China: from production to consumption spaces, 2017 International Conference on China Urban Development, University College London, London, 5-6 May. 8. Wang, Y. & Chen, J. (2017) How public? New public spaces in neoliberal Chinese cities: Case studies in Chongqing, 2017 International Conference on China Urban Development, University College London, London, 5-6 May. 9. Chen, J. (2016) Conservation of waterfront industrial Heritage: Cases and lessons from Sydney [滨水工业遗产保护再利用：悉尼实践案例及其经验], the 7th Chinese Academic Forum of Industrial Heritage, Tongji University, Shanghai, 19-21 November. Its simplified version was invited to be published at The Paper http://www.thepaper.cn/. 10. Chen, J., Judd, B., & Hawken, S. (2015) Adaptive reuse of industrial heritage for cultural purposes in three Chinese mega-cities: Beijing, Shanghai and Chongqing, the 21st Construction, Building and Real Estate Research Conference of the Royal Institute of Chartered Surveyors (COBRA 2015), University of Technology Sydney, 8-10 July.

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Contents

Abstract ...... i Acknowledgements ...... ii Publications over the PhD Period ...... iii Contents ...... iiv List of Tables ...... vii List of Figures ...... viii Abbreviations ...... x Pinyin Terms ...... xi

Chapter 1 Introduction 1.1 Background to the Research ...... 1 1.2 Literature Review and Knowledge Gaps on Adaptive Reuse of Industrial Heritage ...... 2 1.3 Research Aims and Questions...... 4 1.4 Definitions ...... 5 1.5 Approach and Methods ...... 6 1.6 Research Significance ...... 7 1.7 Thesis Structure ...... 8

Chapter 2 The Evolution of Industrial Heritage Reuse 2.1 A Historical Overview of Culture and Urban Regeneration ...... 10 2.2 The Evolution of Heritage Conservation and the Rise of Industrial Heritage .. 13 2.3 The Cultural Approach to Re-using Industrial Heritage ...... 16 2.4 Practices of Industrial Heritage Reuse in Eastern China ...... 24 2.5 Industrial Landscape in Western China ...... 34 2.6 Conclusion: China’s Uneven Industrial Landscape ...... 39

Chapter 3 Literature on Industrial Land Redevelopment in Post-reform China and the Theoretical Framework 3.1 The Literature on China’s Industrial Land Redevelopment ...... 40 3.2 The Forces Driving the Production of Space under Neoliberalism ...... 55 3.3 Relevance of the Production of Space under Capitalism to Chinese Cities ..... 68 3.4 The Urban Policy Mobility Perspective ...... 72 3.5 The Theoretical Framework ...... 75 3.6 Summary ...... 76

Chapter 4 Research Approach and Methodology 4.1 Overview ...... 77 4.2 A Single Case Study Approach ...... 80 4.3 Data Collection ...... 84 4.4 Data Analysis: Thematic Network Analysis ...... 95 4.5 Methodological Challenges ...... 107 4.6 Summary ...... 108

Chapter 5 The Vision for the Chongqing Steel Factory: From Industrial Site to Heritage Precinct

5.1 A Short Introduction to Chongqing and the CSF Project ...... 109 5.2 The Origin of the Industrial Heritage Conservation Idea ...... 116 5.3 The Process of Adopting the Industrial Heritage Conservation Idea ...... 119 5.4 Factors Influencing the Industrial Heritage Conservation Idea ...... 124 5.5 Summary ...... 134

Chapter 6 Mutation of the Industrial Heritage Conservation Idea: Change to the Chongqing Steel Factory Proposal

6.1 Introduction ...... 135 6.2 Major Actors, Roles and Interests in the CSF Project ...... 138 6.3 First Modification of the Heritage Conservation Idea ...... 150 6.4 Expansion of the Heritage Conservation Idea ...... 156 6.5 Major Dilution of the Heritage Conservation Idea ...... 158 6.6 Further Mutation of the Heritage Conservation Idea ...... 170 6.7 Summary and Conclusion ...... 179

Chapter 7 Discussion: Empirical Findings Related to Theory and Existing Literature 7.1 Answers to the Research Questions ...... 184 7.2 Summary of Empirical Findings in Relation to Theories and Existing Literature ...... 186 7.3 Modes of Capital Accumulation and Loss of Industrial Heritage ...... 187 7.4 Entrepreneurial Nature of Power Relations and Loss of Industrial Heritage . 191 7.5 Accumulation by Dispossession and the Right to the City ...... 197 7.6 The Urban Policy Mobility Perspective and Generalisation of the Chongqing Case ...... 199 7.7 Summary: A Critique of the Theoretical Framework ...... 201

Chapter 8 Conclusion 8.1 Overview ...... 204 8.2 The Originality, Contribution and Significance of the Research ...... 204 8.3 Research Limitations ...... 206 8.4 Research Recommendation and Implications ...... 207 8.5 Thoughts on the Future ...... 208

Bibliography ...... 210 Appendix ...... 242

List of Tables

Table 2.1: Evolution of global urban development intervention from the 1950s to 2000s ...... 11 Table 2.2: Evolution of world and Chinese heritage conservation from the 1930s to 2000s: related charters, regulations and law ...... 14 Table 2.3: Summary of cultural approach to urban regeneration in literature ...... 18 Table 2.4: Cultural approaches to industrial heritage reuse ...... 19-20 Table 2.5: Evolution of China’s urban growth and transformation since 1949 ...... 26 Table 2.6: Industrial development history of the selected Chinese cities ...... 34 Table 3.1: Summaries of the literature on the factors influencing China’s brownfield restructuring ...... 42-3 Table 3.2 Summaries of the forces driving the production of urban space ...... 60 Table 3.3 Comparison of the forces driving the production of space between western cities and Chinese cities ...... 71 Table 4.1: List of methods, approaches used in some empirical investigations of policy mobility and policy transfer ...... 79 Table 4.2: Indicators for Beijing, Shanghai and Chongqing in 2013 ...... 82 Table 4.3: Summary of the interviewee information ...... 88-90 Table 4.4: Design proposals and other key documents in the CSF regeneration ...... 92-3 Table 4.5: Other documents related to the CSF project ...... 93-4 Table 4.6: Comparison of thematic analysis and content analysis ...... 96-7 Table 4.7: Procedure involved in thematic network analysis ...... 98 Table 4.8: Coding framework categories based on the structure of interview questions ...... 100 Table 5.1: Vital statistics for Chongqing in 1978, 1997 and 2013 ...... 110 Table 5.2: The regeneration process of the CSF project ...... 114 Table 5.3: The process, representations and events at the learning stage in the CSF project ...... 118 Table 5.4: The main industrial legacy items in Chongqing ...... 128-9 Table 6.1: Change of the reuse of industrial heritage through four stages ...... 137 Table 6.2: Actors in the CSF project ...... 141 Table 6.3: Index of functional use in the master plan ...... 173 Table 6.4: Index of functional use in the architecture design proposal ...... 174

vii

List of Figures

Figure 2.1: Examples of the progressive approach to industrial site reuse ...... 21 Figure 2.2: Examples of the creative approach to industrial site reuse ...... 22 Figure 2.3: Examples of the entrepreneurial approach to industrial site reuse ...... 23-4 Figure 2.4: Some examples of industrial heritage reuse in Beijing ...... 29-30 Figure 2.5: Some examples of industrial heritage reuse in Shanghai ...... 32-3 Figure 2.6: Cases of industrial heritage reuse in Wuhan, Chongqing and Chengdu ...... 35 Figure 2.7: Main examples of adaptive reuse of industrial heritage as cultural precincts in selected Chinese cities ...... 36 Figure 2.8: The comparison of the Hanyang (Wuhan) Arsenal and the Hanyang Steel Factory in the 1930s and 2015 ...... 37-8 Figure 2.9: The comparison of the Chongqing Special Steel Factory in 2011 and 2017 ...... 38 Figure 2.10: The comparison of the Chongqing Steel Factory in the 1990s and 2015 .. 39 Figure 3.1: The forces driving the production of space ...... 59 Figure 4.1: Methodological framework for the Chongqing Steel Factory case study approach ...... 78 Figure 4.2: The process of thematic network analysis ...... 99 Figure 4.3: Coding the material using Nvivo in Step 1 ...... 102 Figure 4.4: An example of initial interview themes for SRQ 1 using MindManager in Step 2 ...... 103 Figure 4.5: An example of arranging interview themes for SRQ1 using NodeXL ...... 104 Figure 4.6: An example of different levels of interview themes for SRQ1 using NodeXL ...... 105 Figure 4.7: An example of the thematic networks for SRQ1 using NodeXL ...... 106 Figure 5.1: Location of Chongqing ...... 109 Figure 5.2: Urban Chongqing in the 1950s ...... 111 Figure 5.3: Urban Chongqing in 2017 ...... 111 Figure 5.4: Location of the CSF in urban Chongqing ...... 112 Figure 5.5: The circumstance of the CSF site before the factory removal in 2009 ..... 113 Figure 5.6: The CSF in the 1990s ...... 115

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Figure 5.7: The CSF in 2015 ...... 115 Figure 5.8: Retained industrial heritage in the CSF in 2017 ...... 115 Figure 5.9: Thematic network analysis of the origin of the industrial heritage conservation idea ...... 117 Figure 5.10: Study trips in European cities organised by the Yufu Chairman ...... 120 Figure 5.11: Chongqing Industrial Heritage Conservation Master Planning ...... 121 Figure 5.12: The municipal-level heritage protection item of No. 29 Arsenal ...... 122 Figure 5.13: Case visiting of heritage reuse in Chinese cities by participating urban designers ...... 125-6 Figure 5.14: The Chongqing Steel Factory Archives ...... 131 Figure 6.1: Changes in industrial heritage conservation through the four design stages ...... 136 Figure 6.2: Organisation chart for the CSF project ...... 140 Figure 6.3: Thematic network of key actors in the CSF project ...... 142 Figure 6.4: The land use in the 2007 CSF regulatory plan proposal ...... 151 Figure 6.5: The 2008 Chongqing Two Rivers and Four Banks Strategic Plan ...... 152 Figure 6.6: The CSF Urban Design Proposal (aerial perspective) ...... 153 Figure 6.7: The industrial heritage sites in the CSF Urban Design Proposal ...... 155 Figure 6.8: The retained industrial heritage proposed by CUPB ...... 157 Figure 6.9: The sole industrial heritage site in the official CSF regulatory planning proposal ...... 159 Figure 6.10: Aerial perspective of the Chongqing Industrial Museum & Creative Industrial Park ...... 171 Figure 6.11: Aerial perspective of the Chongqing Industrial Cultural Park ...... 172 Figure 6.12: Master plan of the Chongqing Industrial Museum & Creative Industrial Park ...... 173 Figure 6.13: Site plan of the Chongqing Industrial Cultural Park ...... 174 Figure 6.14: Key players in the learning and mutation stages of the CSF project ...... 180 Figure 6.15: Thematic network analysis of the factors influencing the dilution of the industrial heritage reuse idea ...... 185 Figure 7.1: The procedure for developing state-owned industrial land in the CSF project ...... 195

Abbreviations

CBCR Chongqing Bureau of Cultural Relics CIC Creative industry cluster CIMC Chongqing Industrial Museum Co., Ltd CMG Chongqing Municipal Government CMCU CMCU (China Machine China Union) Engineering Corporation CPRC Chongqing Planning Research Centre CSF Chongqing Steel Factory CSC Chongqing Steel Corporation CUPB Chongqing Urban Planning Bureau CUPDI Chongqing Urban Planning and Design Institute DCMS Department for Culture, Media and Sport GDP Gross Domestic Product ICOM International Council on Museums ICOMOS International Council on Monuments and Sites MRQ Main research question PPP Public Private Partnership PRC The People’s Republic of China RMB Renminbi (unit of currency in China) SRQ1 Subsidiary research question 1 SRQ2 Subsidiary research question 2 SRQ3 Subsidiary research question 3 SOE State-owned enterprise TICCIH The International Committee for the Conservation of the Industrial Heritage UNESCO United Nations Educational, Scientific and Cultural Organisation UNSW University of New South Wales YUFU Chongqing Yufu Assets Management Corporation

Pinyin Terms

Chongqing tou rong moshi Chongqing investment and financing model dachai dajian demolishing and rebuilding da yue jin Great Leap Forward guan ting bing zhuan bankruptcy, mergers and reorganisation huanbao banqian environmental relocation jian zheng fang quan streamlining administration and delegating power jumin juzhu zheng resident identity card kongzhixing xiangxi guihua regulatory plan lilong zuofang house manufacturing workshops sanbubian wubian three non-change and five changes sanxian jianshe ‘Three Fronts’ regionalisation tui er jin san supressing the manufacturing industry and developing the service industry tudi zhihuan land use replacement wenhua da geming Cultural Revolution xibu da kaifa ‘Open Up the West’ zhaobiao paimai guapai xieyi public tender, auction, quotation or negotiation

Chapter 1

Introduction

1.1 Background to the Research

The industrial development histories of Chinese mega-cities have left them with a variety and depth of industrial heritage. Modern industrial development commenced in China after the 1840 Opium War with Britain. Industry continued to develop according to Chinese socialist production policies after 1949. Following the adoption of market economic practices throughout the late 1970s and 1980s, the Chinese city has accommodated radical changes in urban landscapes, especially the dramatic transformation of large industrial sites. Along with the rapid urban transformation and the poor recognition of the value of historic industrial landscape, Chinese cities are witnessing the rapid disappearance of industrial heritage. Obsolete factories are relocated from the waterfront areas to new industrial zones outside the city limits and former waterfront industrial sites are being converted to new uses, mainly residential apartments and commercial premises.

Adaptive reuse of inner city industrial heritage to accommodate cultural and leisure activities has emerged as a tactic to help recognise China’s dramatic urban industrial legacy. Since the late 1990s and the early 2000s, during a period when local grassroots artist communities began to spontaneously occupy abandoned industrial sites in some leading coastal cities, such as Shanghai, Shenzhen and Guangzhou, the revival of a cultural approach to brownfield regeneration in East China has occurred. Regeneration work in the leading eastern cities has in turn influenced the practice in inland regions. Learning from the prior experience of successful precedents, therefore, has become a natural path for the officials in the inland cities to take in their search for solutions to brownfield regeneration. These inland cities have been increasingly reformulating urban regeneration by infusing the cultural approach.

A pronounced cultural strategy in regeneration practice is to heavily stress distinctive images or concepts for the former industrial landscapes. Ironically, these regeneration projects in obsolete waterfront industrial land are often branded as ‘adaptive reuse of

1 industrial heritage’ by some property developers; however, it is noteworthy that a gap is evident between ideals and reality in terms of urban planning and development goals. In the heritage projects of the western Chinese cities, industrial heritage reuse tends to be elevated to an ideal, yet regularly becomes degraded in practice (Xu, 2014). The dilemma in reality is that in the name of the local community’s socio-cultural needs, culture-related regeneration has gradually been displaced by profit-making imperatives of property development (e.g. Chen, 2017; Wang, 2009; Zhong, 2013). In most cases, albeit to different degrees, so called cultural projects usually depart from the initial goal of conserving industrial heritage as a public cultural precinct, and retain very few heritage elements compared to the extent of residential and commercial development (e.g. Chen, 2017; Wang, 2009; Xu, 2014; Zhong, 2013). In overall terms, during the almost 40 years since 1978, most historic metropolises in China have endured the loss of industrial architectural character. The wholesale dereliction of industrial heritage remains a distinguishing feature across urban China, and more obviously in inland China. This negative reality of conservation practice raises a fundamental question about the reasons for such cultural myopia.

1.2 Literature Review and Knowledge Gaps on Adaptive Reuse of Industrial Heritage

Adaptive reuse of industrial heritage is placed in a wide range of literature, incorporating heritage studies, brownfield transformation research, and Chinese urban studies. Firstly, existing heritage studies have identified the importance of heritage in urban development for its support of tourism (Jonsen-Verbeke, 1999; Kerstetter et al., 1998; McKercher and Cros, 2002; Xie, 2006) and economic growth (Graham, 2002; Throsby, 2001), and the heritage effects on global city branding and national identities (Evans, 2003). Discussion of heritage research has also been linked to the study of a host of related issues. They are: heritage history (Ahmad, 2006; Harvey, 2001; Taylor, 2004), heritage management and principles (Neville Agnew and Martha Demas, 2004; Qian, 2007), human rights (Logan, 2007, 2012; Langfield et al., 2010), geography (Graham, 2000; Graham, et al., 2016), urban regeneration (Shin, 2010; Zhong, 2013), sustainability (Landorf, 2009; Tweed and Sutherland, 2007; Wilkinson et al., 2014), creative class and city (Evans, 2009a), cultural economy (Graham, 2002) and creative industries (Keane, 2009a), as well as less positively, gentrification (Currier, 2008) and

2 entrepreneurial governance (Su, 2015). There is burgeoning English-language literature on historic conservation in China (e.g., Zhang, 2008; Zhai and Ng, 2013; Xie and Health, 2017). However, research on industrial heritage in the Chinese context has not been well addressed. Little research has been devoted to the genesis and essence of the conservation impulse of industrial heritage in the Chinese context. In other words, the fundamental impetus behind the popular practice of industrial heritage reuse through a cultural approach, and the forces shaping the results of industrial heritage conservation practices in post-reform China, have not been revealed. Adaptive reuse of urban historic sites, especially industrial heritage, has received growing attention in mainstream professional practice and scholarly discourse since the 1980s (e.g. Alfrey and Putnam, 2003; Ball, 2002; Bullen, 2007; Jonsen-Verbeke, 1999; Sousa and Christopher 2002).This phenomenon of industrial heritage reuse flows from Europe and America to Asia. Following precedent cases in this world trend, adaptive reuse of industrial heritage emerged in China in the late 1990s (e.g. Chen et al., 2016; Chou, 2012; Fung and Erni, 2013; Ren and Sun, 2012; Shin, 2010; Zheng, 2010, 2011; Zielke and Waibel, 2013). This thesis looks at industrial heritage reuse in China. Knowledge about industrial heritage reuse in the Chinese context will be a timely contribution to existing theories and literature on heritage, but also to the policies relating to urban changes in transitional economies.

Secondly, in the literature on brownfield transformation, the radical transformation of industrial landscapes in post-reform China is understood to be the result of broader changes in the political economy and socio-culture spheres since the reforms of 1978 (Ma and Wu, 2005; McGee et. al., 2007; Shen and Wu, 2012). Scholars have made efforts to explain this by suggesting that the radical transformation of industrial landscapes in post-reform China is shaped by one of three singular driving forces, namely economic re-structuring (Hu, 2015; Wu, 1999, 2006c, 2008, 2009), the change of political institutions (Chou, 2012; Fung and Erni, 2013; Ren and Sun, 2012; Shin, 2010; Zheng, 2010, 2011; Zielke and Waibel, 2014), and the emergence of new sociocultural elements (Currier, 2008; Fung and Erni, 2013; Hee et al., 2008; Chou, 2012; O’Connor and Gu, 2006, 2014). The Chinese research thus provides a broad background related to post-reform brownfield restructuring.

Thirdly, in the existing Chinese urban studies, research attention has almost entirely been devoted to eastern cities (e.g. Chou, 2012; Currier, 2008; Ren and Sun, 2012; Wang, 2009, 2012; Waibel and Zielke, 2012; Zheng, 2011; Zheng and Chan, 2013, 2014; Zhong, 2007; Zielke and Waibel, 2014), while ignoring the pattern of their development in West China. However, China itself is “a complex universe” (Napoleoni, 2011, p.323) and huge differences exist across urban China, due to shifting political philosophies, as well as differing economic and cultural contexts in different regions. Since previous research attention has mostly been based on Eastern Chinese cities, an empirical check about their applicability is called for the Western Chinese context.

To sum up, there still exist knowledge gaps on adaptive reuse of industrial heritage. First, the fundamental impetus behind the popular practice of industrial heritage reuse through a cultural approach, and the forces shaping the results of industrial heritage conservation practices in post-reform China, have not been revealed. Second, what the current literature has not addressed is the driving forces that have shaped the redevelopment-oriented approach in inland China. There is no clear and coherent reason why the planning goals of industrial heritage conservation failed in some of the most historically significant places in the western regions of China. It is thus imperative to provide empirical evidence, through examining the driving forces that have dominated the actual physical results of conservation efforts in inland cities. To this end, the research conducts an empirical investigation of an inland Chinese mega-city with a rich industrial heritage that had praiseworthy intentions of heritage conservation, yet had experienced poor outcomes in practice.

1.3 Research Aims and Questions

This research aims at identifying the driving forces behind the dilution of ideals for provision of industrial heritage cultural space in post-reform China, through conducting an empirical investigation in the major industrial inland city of Chongqing. This research has disciplinary relevance to urban studies with a focus on the economic, political and cultural context that shapes the forms and representations of urban spaces. This research requires trans-disciplinary perspectives from architecture, urban design, urban sociology and political economy, to provide a fuller interpretation of brownfield transformation in post-reform China.

The study addresses the aim by posing the main research question (MRQ): What factors influenced the change from conception to implementation of adaptive reuse of industrial heritage as cultural clusters in Chongqing? The main research question is divided into three subsidiary research questions (SRQ1, SRQ2 and SRQ3) regarding the Chongqing Steel Factory (CSF) Regeneration project.

- SRQ 1 Where did the idea come from: to what extent did it draw from international and/or Chinese precedents? - SRQ 2 How did the idea change: what is the process that has driven the change in the proposal for the industrial waterfront regeneration project in Chongqing? - SRQ 3 Why did the idea change: what are the local intervening factors that have shaped the outcomes of the project in Chongqing?

In response to these research questions, a theoretical framework is built arising from Harvey’s work and related urban research concerning the production of space, and urban policy mobility theory (McCann, 2011; McCann and Ward, 2012; Peck and Theodore, 2010). This framework stresses the concepts of idea learning and mutation, capital accumulation, power relations as well as social class. Guided by the theoretical framework, the empirical part of this thesis (1) traces the origin of the idea of industrial heritage reuse for cultural purposes; (2) explores the interaction of imported ideas with local circumstances through the recording of the whole planning and design process; and (3) analyses the intervening factors influencing the adjustment of the cultural idea.

1.4 Definitions

Below is the brief explanation of the key definitions used in this thesis. A detailed review of related literature on the cultural approaches to industrial heritage reuse will be presented in Chapter 2.

Adaptive reuse: The act of finding a new use for a historical building (Bullen, 2007), refers to change of use within the original structure of a building or complex to conserve it (Wilkinson et al., 2014).

Waterfront: The definition of water includes a river, lake, ocean, bay, creek or canal in cities and towns of all sizes. Waterfront means adjacent to the water’s edge in urban

5 areas (Sairinen and Kumpulainen, 2006). In the case of Chongqing, this refers to the urban areas along the Yangtze and Jialing Rivers.

Industrial heritage: This thesis accepts the definition from the Nizhny Tagil Charter (TICCIH, 2003, p1), where the subjects of industrial heritage encompass “the remains of industrial culture which are of historical, technological, social, architectural or scientific value”, and also consist of “buildings and machinery, workshops, mills and factories, mines and sites for processing and refining, warehouses and stores, places where energy is generated, transmitted and used, transport and all its infrastructure, as well as places used for social activities related to industry such as housing religious worship or education”.

Cultural clusters: Cultural clusters refer to ‘public cultural precincts’, ‘creative class clusters’ and ‘service-oriented precincts’. The first approach provides a public space for local cultural development, such as city-operated community art spaces, neighborhood art organisations, education facilities, public parks, museums and/or exhibition spaces. The ‘creative class cluster’ aims at developing sectors of the economy in the cultural and creative industries, covering “cinema and audio-visual arts, design and crafts, media arts, music, performing arts, publishing and visual arts” (UNESCO, 2015, p.1). Examples cover independent artist’s studios, small-scale private companies in the cultural and creative industries, as well as public or private owned art galleries and/or institutions. The ‘service-oriented precinct’ seeks to create an attractive business environment. The presence of cultural facilities for an evening economy, the construction of iconic flagship cultural complexes, and the celebration of spectacular cultural events are included.

1.5 Approach and Methods

This thesis adopts the single-case study approach. Chongqing is chosen for the single case, in terms of it being representative, a reflection on existing theory, as well as a revelatory example. The rationale and significance of the Chongqing case will be discussed in Chapter 4. Chongqing is regarded as a representative case of the Chinese- mega cities in inland regions. It is the fourth municipality directly under the Chinese central government, possessing the same city status as Beijing, Shanghai and Tianjin. However, it has lagged behind the leading eastern cities in terms of urban regeneration

6 since Chongqing has not enjoyed the elite cities’ preferential policy or programs delivered by the central state, in response to the tripartite regional development strategy after 1978. According to the ranking by the China Business Network, Chongqing has been classified as the ‘new first-tier Chinese cities’ that have strong economic base, a huge middle-class population, and considerable political resources (China Daily, 2017). A discussion of the Chongqing case will help to better understand the general condition of Chinese large cities. Importantly, with its city status, the history of Chongqing’s industrial development is a microcosm that showcases the historic process of China’s industrial development. The CSF is therefore selected as the single case due to its industrial historical significance. As the earliest and largest heavy industry factory in Chongqing, the CSF possesses a cluster of industrial buildings with high cultural and aesthetic values from different periods, ranging from the 1890s to 2000s. Detailed information about Chongqing and the CSF will be discussed in Chapter 5.

The investigation attempts to develop a holistic picture of the CSF project by collecting data from three sources: interviews (n=41), document reviews and popular media. The interviews were semi-structured around the key themes of the research questions, and took place with key stakeholders, including government officials, property developers, the previous factory management (the Chongqing Steel Corporation), design consultants, and the local artistic community as well as experts in the fields of urban studies and heritage conservation.

The documentary sources of the CSF regeneration project include government public documents, private proposals in urban design, urban planning and architectural design. The popular press in Chongqing includes (1) Chongqing’s local press and online newspapers; (2) available publications on the case study area; (3) the official websites of the Chongqing government and government departments; and (4) relevant academic records through an internet search in the Chinese Academic Database.

1.6 Research Significance

This thesis addresses two key gaps on industrial heritage research. Firstly, the Chongqing case analyses the formation of industrial heritage cultural space and reveals the reasons for the loss of industrial heritage in the process of brownfield restructuring in inland China. This study builds on existing theories concerning the production of

7 space and relates the concepts of capital accumulation, power relations and social efforts for spatial justice to industrial heritage studies in the Chinese context. Secondly, this thesis relates the study of industrial heritage to the urban policy mobility approach at multiple scales. It examines how the idea of industrial heritage reuse has travelled as a global concept with its Chinese precedents to Chongqing, and why the idea has been modified and diluted within the regional context.

This thesis contributes knowledge to three distinct arears: (1) to research on brownfield transformation; (2) to industrial heritage studies; and (3) to Chinese urban studies. Firstly, the empirical findings in Chongqing respond to the literature debate on the forces driving brownfield restructuring in urban China by identifying a set of factors accounting for the economic, political and cultural constraints experienced in seeking industrial heritage conservation. Secondly, the Chongqing case reveals the reasons for the dilution of historical industrial buildings in the process of brownfield restructuring in post-reform China. Thirdly, current research attention has been almost entirely devoted to the eastern leading cities of China that have relatively developed economic and cultural conditions than West China. This study on Chongqing presents insights on the development of industrial sites on Western Chinese cities.

In the practice arena, this empirical study makes a contribution by proposing an approach that explores the relationship between the design process and its final design outcome in industrial heritage projects. This includes consideration of the power relationships along with the tensions between local government, property developers, design consultants, as well as the public in general. The disclosure of dominant power holders defines the key to the success or the failure of a heritage conservation project and helps to inform a better decision-making process in future heritage reuse policy, ideas and programmes. The approach, as discussed in Chapter 7, will serve as essential reference for policy makers and practitioners in other Chinese industrial cities, especially in inland regions. hey still retain numerous industrial sites and have a potential to be reclaimed. This thesis thus supports better industrial heritage outcomes.

1.7 Thesis Structure

Following this introduction, Chapter 2 presents an overview of culture and urban regeneration, summarises the evolution of heritage conservation, and conceptualises the cultural approaches to industrial heritage reuse. In addition, Chapter 2 sketches the 8 uneven physical results of brownfield regeneration programs in Chinese mega-cities through a preliminary scoping study in selected eastern and western regions.

To reveal the main factors that dominate the physical results of industrial land regeneration projects in urban China, Chapter 3 reviews theories concerning the production of space and the literature on the Chinese situation. The theoretical framework argues that the production of space under capitalist conditions needs to be interpreted through a comprehensive lens combining capital accumulation, power relations and social movements. The literature on the Chinese context demonstrates that scholars have held a singular position about the forces driving brownfield restructuring, covering aspects of capital accumulation, entrepreneurial governance approach and post-reform sociocultural elements. Chapter 3 further justifies the value of urban policy mobility theory for this study, and incorporates the mobility approach to guide the empirical investigation. Following the theoretical insights from urban policy mobility, Chapter 4 presents the single case study approach and methods for data collection and analysis.

Chapter 5 and 6 investigate the CSF regeneration project to trace the shaping and evolution of the idea of culturally-themed waterfront industrial heritage regeneration in Chongqing. After a short introduction to Chongqing and the CSF project, Chapter 5 addresses the SRQ1 – ‘where did the idea come from?’ - by presenting the preliminary and learning stage of the cultural idea. Chapter 6 addresses the SRQ2 and SRQ3 – ‘how did the idea change?’ and ‘why did the idea change?’ - by exploring the dilution process of the cultural idea in the CSF project.

In Chapter 7, the discussion of the CSF project is concerned with Chongqing’s contextual constraints and addresses the MRQ. It responds to the debate by identifying the intervening factors that shaped the final outcomes of industrial heritage conservation in Chongqing. Chapter 7 relates the findings to theories and the literature reviewed earlier. In addition, the discussion serves as a critical reflection on whether the interpretative framework in Chapter 3 is relevant or needs to be modified. Chapter 8 concludes with the importance of the thesis in originality, contribution to knowledge and significance, as well as implications and recommendations for future research, practice and policy in the field of industrial heritage conservation.

Chapter 2 The Evolution of Industrial Heritage Reuse

This chapter provides a background to the thesis by reviewing the literature on the practice of culturally themed urban regeneration - both internationally and nationally. The central aim of the chapter is to explore the phenomenon of industrial heritage reuse for cultural purposes. This phenomenon has gripped the political imagination of the Global North – that is, the northern hemisphere European and North American cities - since the 1980s, and is now emerging in the Chinese mega-cities. In addition, the chapter compares the results of conservation practice in China’s eastern cities with the efforts in its inland regions. This chapter consists of three parts. Firstly, it outlines various phases of urban regeneration since the 1950s, presents the transnational infusion of cultural policy into regeneration practice since the 1980s, and summarises the evolution of heritage conservation as well as the rise of industrial heritage. The second part is a conceptualisation of the types of cultural approach taken to industrial heritage reuse, by drawing on the literature on cultural strategies employed in urban regeneration and practices on brownfield regeneration in some global cities. Thirdly, it discusses the uneven urban landscape of industrial heritage conservation across urban China, through a scoping study in the eastern cities of Beijing, Shanghai and Guangzhou and the inland counterparts of Wuhan, Chongqing and Chengdu.

2.1 A Historical Overview of Culture and Urban Regeneration

Urban regeneration is defined by Roberts (2000) as “comprehensive and integrated vision and action which leads to the resolution of urban problems and which seeks to bring about a lasting improvement in the economic, physical, social and environmental condition of an area that has been subject to change” (p.17). Summarised by Couch et al., (2013), Lovering (2007), Punter (2010, 2011) and Roberts & Sykes (1999) the historical phases of urban development since the end of the Second World War include: post-war reconstruction and modernisation in the 1950s, urban revitalisation in the 1960s, urban renewal and redevelopment with an emphasis on local economic growth that followed the economic crises of the 1970s and 1980s, and the more ‘holistic’ approaches to urban regeneration and renaissance of the 1990s and 2000s (Table 2.1).

Table 2.1: Evolution of global urban development interventions from the 1950s to 2000s Period 1950s 1960s 1970s 1980s 1990s - 2000s Reconstruction Revitalisation Renewal Redevelopment Regeneration Major Post-war reconstruction of Growing reaction against Faced with economic A more community- Growing concern for strategy and central city areas modernist architecture and crisis and increasing responsive approach to urban environment orientation planning unemployment urban development Modernist approach to housing A more comprehensive architecture Emphasis on suburban Neo-liberal approach for Focus on ‘property- form of policy and and peripheral growth market-led economic led’ flagship projects practice Peripheral development: growth construction of housing and Consideration of industrial zones rehabilitation Focus on in-situ renewal

Economic Public sector investment and Continuation of 1950s Resource constraints in Private sector A balance among focus some private sector theme with growing the public sector dominant with public, private and involvement influence of private selective public funds voluntary funding Allowing market forces investment Growth of private investment Social aspect Focus on improving housing Focus on social and Focus on creating new Community self-help Emphasis on the role of conditions and living standards welfare improvement employment and with selective state community and mega- community-based actions support events

Physical Recreate the old areas of towns Large-scale peripheral Growth of concern for New development Improvement of public emphasis and cities social housing estates obsolete industrial sites flagship schemes transport, public space and infrastructure Clear slum housing and replace Move against slum Rehabilitation of the Replacement of old it with new social housing clearance and focus on existing landscape with industrial areas Combination of urban housing renovation and some innovations heritage conservation Modernisation: construction of area improvement and tourism high-rise housing in inner urban and peripheral areas Consideration of urban Environmental heritage conservation improvement in inner urban industrial sites Source: Couch et al., (2013), Lichfield (1992), Punter (2010, 2011), Roberts & Sykes (1999) and Stohr (1989)

Judging by the historical evolution of urban regeneration in Table 2.1, the three decades from the 1980s to 2000s have seen the increasing importance of culture to city development. Since the 1980s, the acknowledgement of culture has expanded its meaning to embrace popular culture, rather than being reserved for the traditional notion of high art. The term culture includes “the set of distinctive spiritual, material, intellectual and emotional features of a society or social group that encompasses art and literature, lifestyles, ways of living together, value system, traditions and beliefs” (UNESCO, 2001, p.4). The rise of cultural strategies is related to the social conditions and economic changes of the city since the 1980s (see O’Connor, 2007, 2011, for the review of the history and theory of the cultural and creative industries). On the one hand, breaking down barriers between popular culture and high art generated a new pattern of cultural consumption (Roodhouse, 2006). New social groups, such as educated and professional people, are interested in urban leisure activities (Grodach and Loukaitou- Sideris, 2007). On the other hand, a new round of innovation in the technologies of transportation, communication and production has stimulated the growth of the economy in creative industries (Grodach and Loukaitou-Sideris, 2007). In accordance with Florida’s (2002) creative city ideology, its provision along with the creation of inspirational places could attract both people and capital.

The prevailing response by practitioners and policy makers is to devise a broad range of cultural development strategies (Griffiths, 1995; Grodach and Loukaitou-Sideris, 2007; O’Connor, 2007, 2011). These strategies tend to combine urban planning and development policies for greater promotion of cultural production and consumption. As a means of bringing about the regeneration of declining urban areas, cultural development strategies are utilised in selected inner urban areas, through which the public realm is to be reconfigured (Montgomery, 2003; O’Connor, 2007, 2011). The formulation of cultural policies has been emphasised in regeneration practice in North America, Europe and Asia.

Cultural policy was initially applied to the regeneration of port cities in North America in the early 1980s (Gordon, 1999), for examples, the Pittsburgh Cultural District (Montgomery, 2003) and Battery Park City (Gordon, 1997). From the late 1980s, the UK also highlighted culture as an economic asset for regeneration and a stimulus, instead of a constraint, to local economic growth (Leary, 2013). In the following two decades, the combination of culture and urban regeneration was a 12 widespread method of reviving decaying urban spaces across European cities (Huang, 2006; McCarthy, 1998, 2006a; Montgomery, 2003; Roodhouse, 2006). European attempts include the Sheffield Cultural Industries Quarter (Roodhouse, 2006), built in the late 1980s; the Manchester Northern Quarter (Wansborough and Mageean, 2000; McCarthy, 2006a), built in 1993; Ireland’s culture-led regeneration from the 1990s such as Dublin’s Temple Bar (McCarthy, 1998); as well as the case of Bilbao and Glasgow (Marshall, 2001; Plaza, 1999).

Moving forward to the 2000s, since the Urban Task Force headed by Lord Rogers in 1999 (The Urban Task, 1999), the UK government promoted the urban renainance agenda in its major cities (See Punter, 2007, 2010a, 2011; Tallon, 2013; for the review of the experince of urban renainance/regeneration in the UK). As one of the important urban regeneration approaches, culture-related regeneration, is regarded as a key attribute for city governments (Evans, 2005; Evans and Shaw, 2004; Griffiths, 2006; Leary, 2013; Kana, 2012; O’Connor, 2007, 2011; O’Connor and Gu, 2010). Therefore, the use of cultural strategies in urban regeneration programs to build a city’s brand, attract private investment, as well as boost tourism has become widely seen in a host of global cities (Grodach and Loukaitou-Sideris, 2007; Grodach and Seman, 2013).

2.2 The Evolution of Heritage Conservation and the Rise of Industrial Heritage

Heritage has been gaining recognition as one of the most important means of representing “the cultural identity of communities, groups and individuals, and or social cohesion” (UNESCO, 2003). Heritage conservation has thus been used to recognise cultural diversity (Logan, 2012; Langfield et al., 2010) and as a major part of urban regeneration. Table 2.2 outlines changes in the heritage concept, and summarises the evolution of world and Chinese heritage conservation from the 1960s to 2000s, through related charters, regulations and law on heritage conservation. The leading international organisations in heritage conservation include UNESCO (United Nations Educational Scientific and Cultural Organisation), ICOMOS (International Council on Monuments and Sties), and TICCIH (International Committee for the Conservation of the Industrial Heritage) (Ahmad, 2006; Logan, 2001; Taylor, 2004). These cultural bodies have been laying down international standards for ‘world best practice’, promoting heritage values, establishing management guidelines and principles, as well as formulating fundamental methodologies for heritage sites (Logan, 2001, p.52-53).

Table 2.2: Evolution of world and Chinese heritage conservation from the 1930s to 2000s: related charters, regulations and law Period Before 1960s 1960s 1970s 1980s 1990s 2000s Heritage Historical Cultural property Cultural heritage and Historic gardens, Industrial heritage Industrial heritage concepts monuments natural heritage towns and cities Monuments and sites Traditional culture Intangible heritage emphasised Architectural Heritage Industrial heritage Authenticity Human rights World Athens Charter, Recommendation World Heritage Recommendation for Charter for the European Landscape Convention, 1933 concerning the Convention, UNESCO, the Safeguarding and Conservation of Places Council of Europe, 2000 Safeguarding of the 1972 Preservation of of Cultural Heritage Hague Beauty and Character of Moving Images, Value, ICOMOS, 1992 Charter of Cracow, 2000 Convention, 1954 European Charter of Landscape and Sites, UNESCO, 1980 Convention on the Protection of the UNESCO, 1962 Architectural Heritage of Nara Document on Recommendation Amsterdam, Council of Florence Charter, Authenticity, ICOMOS, Underwater Cultural Heritage, concerning Venice Charter, Europe, 1975 ICOMOS, 1982 1994 UNESCO, 2001 International ICOMOS, 1964 Competitions in Recommendation Convention for the Principles for the Charter on the Preservation of Architecture and Constitutive Assembly concerning the Protection of the Recording of Digital Heritage, UNESCO, 2003 Town Planning, Meeting, ICOMOS, Safeguarding and Architectural Heritage Monuments, Groups of Declaration concerning the UNESCO, 1956 1965 Contemporary Role of of Europe, Council of Buildings and Sites, Intentional Destruction of Cultural Historic Areas, UNESCO, Europe, 1985 1996 Heritage, UNESCO, 2003 Recommendation Recommendation 1976 concerning concerning the Washington Charter, Charter on the Built Nizhny Tagil Charter for industrial International Preservation of Cultural Recommendation for the ICOMOS, 1987 Vernacular Heritage, heritage, TICCIH, 2003 Principles Property Endangered by Protection of Movable ICOMOS, 1999 Applicable to Public or Private Works, Cultural Property, The including of Dublin Charter for industrial Archaeological UNESCO, 1968 UNESCO, 1978 industrial heritage in a Principles for the heritage, 2011 series of reports by the Preservation of Historic Excavations, Burra Charter, TICCIH, 2013 UNESCO, 1956 Charter of Machu Picchu, TICCIH Timber Structures, 1977 ICOMOS, 1999 China Regulations on Interim Regulations on Absence during the Law of the People’s Revised Law of the Principles for the Conservation of heritage the Administration of ‘Cultural Revolution’ Republic of China on People’s Republic of Heritage Sites in China, ICOMOS, conservation in the Cultural Relics (1966-1976) the Protection of China on the Protection 2000 1930s Protection Cultural Relics, 1982 of Cultural Relics in 1996 Xi’an Declaration, 2005 Society for the China joined the Study of Chinese World Heritage Beijing Declaration, 2007 Architecture in the Convention in 1985 Wuxi Forum for industrial heritage, 1930s 2005

Conferences on industrial heritage reuse since 2010 Source: Based on Ahmad (2006), Logan (2001, 2007), Stubbs (2009), Taylor (2004), Vecco (2010) and Zhu (2015) 14

As shown in Table 2.2, for the last 40 years, the scope of heritage was broadened significantly since the adoption of the Venice Charter in 1964 (see Ahmad, 2006; Stubbs, 2009; Taylor, 2004; Vecco, 2010, for the review of heritage histories). Heritage was initially concerned with ‘historic monuments’1, and was defined as ‘monuments and sites’ in the Constitutive Assembly Meeting of ICOMOS in 19652. The UNESCO Convention regarded heritage as both cultural heritage and natural heritage in 1972, including monuments, groups of buildings and sites3. The scope of heritage was shifted to include historic gardens in the Florence Charter in 19824, and historic towns and urban areas in the Washington Charter in 19875. During the 1990s and 2000s, the term heritage was broadened again, to embrace tangible and intangible heritage as well as environments6 (Ahmad, 2006; Landorf, 2009; Logan,2007; Kurin, 2004; Vecco, 2010). However, the scope of heritage over the world differs greatly. For instance, the list of heritage in Europe and North America is dominated by “walled cities, cathedrals, palaces, transport artefacts and national parks” (Graham, 2002. p.1004). Conversely, heritage in Africa and Asia expands to include “intangible forms of traditional and popular-or folk-culture that includes languages, music, dance, rituals, food and folklore” (Graham, 2002. p.1004).

Industrial heritage was initially considered as ‘industrial archaeology’ in the 1950s and early 1960s7, redefined as ‘industrial monuments’ in the 1970s8, and has been officially included as a significant type of heritage since the creation of the Nizhny Tagil Charter in 20039 (Douet, 2013; Falconer, 2006; Hudson, 2014; Martin, 2009; Trinder, 2012). The Nizhny Tagil Charter proposed basic definitions and scope for industrial heritage. The subjects of industrial heritage encompass “the remains of industrial culture which are of historical, technological, social, architectural or scientific value” (TICCIH, 2003, Article 1, p.1), and also consist of “buildings and

1 Congress of Architects and Technicians of Historic Monuments, the Venice Charter, 1964 2 ICOMOS, Constitutive Assembly, 1965 3 UNESCO, the World Heritage Convention (also known as Convention Concerning the Protection of the World Cultural and Natural Heritage), 1972 4 ICOMOS, the Florence Charter, 1982 5 ICOMOS, the Washington Charter (also known as Charter for the Conservation of Historic Towns and Urban Areas), 1987 6 UNESCO, the Convention for the Safeguarding of the Intangible Cultural Heritage, 2003 7 The Council for British Archaeology established an Industrial Archaeology Research Committee in 1958 (Martin, 2009) and published a handbook on Industrial Archaeology in 1958 (Falconer, 2006). 8 The Council for British Archaeology formed an Advisory Panel on Industrial Monuments in 1967, and launched the Industrial Monuments Survey in the 1970s (Falconer, 2006). 9 TICCIH, the Nizhny Tagil Charter, 2003 15 machinery, workshops, mills and factories, mines and sites for processing and refining, warehouses and stores, places where energy is generated, transmitted and used, transport and all its infrastructure, as well as places used for social activities related to industry such as housing religious worship or education” (TICCIH, 2003, Article 1, p.1). In 2011, a further document, the Dublin Charter10, proposed key principles and guidelines for conservation of industrial heritage sites, structures, areas and landscapes (Douet, 2013).

Adaptive reuse, the act of finding a new use for a historical building (Bullen, 2007), refers to change of use within the original structure of a building or complex to conserve it (Wilkinson et al., 2014). Adaptive reuse has been widely accepted as one of the effective and sustainable strategies for retaining and valuing industrial heritage (Alfrey and Putnam, 2003; Ball, 2002; Bullen, 2007; Chen et al., 2016; Douglas, 2006; Jonsen- Verbeke, 1999; Wilkinson et al., 2014; Xie, 2006). As the Nizhny Tagil Charter wrote, “the adaptation of an industrial site to a new use ensuring its conservation is usually acceptable… new uses should respect the significant material and maintain the original patterns of circulation and activity, and should be compatible as much as possible with the original or principle use” (TICCIH, 2003, Article 5, p.3). The transnational practice of industrial heritage reuse will be discussed in the following sections.

2.3 The Cultural Approach to Re-using Industrial Heritage

The literature review in this section is to identify the types of cultural approach as taken to industrial heritage reuse by drawing on the literature on cultural strategies employed in urban regeneration, as elaborated in Table 2.3.First, as Montgomery (2003, p.296) argues, the pre-requisite for a cultural approach is the presence of cultural activities, such as cultural production, cultural consumption, and their combination (Evans, 2009b; McCarthy, 2006a, 2006b; Miles and Miles, 2004; Montgomery, 2003; Scott, 2004). Second, Yuen (2013) has detailed the types of major cultural programs in urban regeneration, including iconic cultural mega-projects, creative industries programs, and service-oriented precincts. Third, Griffiths (1995) has identified three cultural policy models, including the integrationist model, cultural industries model and consumerist model. Fourth, based on a normative set of cultural characteristics,

10 TICCIH and ICOMOS, the Dublin Charter (also known as Joint Principles for the Conservation of Industrial- heritage Sites, Structures, Areas and Landscape), 2011 16

Grodach and Loukaitou-Sideris (2007) have conceptualised three cultural development strategies: the progressive strategy, creative class strategy and entrepreneurial strategy.

Table 2.3: Summary of cultural approach to urban regeneration in literature Author Research Classification Characteristics

Evans (2009b) Cultural Mono-cultural production Vertical integration, including TV and film, music post-production and studios, activities new media, textiles, ceramics; Poly-cultural production Horizontal integration, including visual arts, architecture and design, multimedia, crafts, designer-making, arts; Cultural consumption Retail (fashion, computing, electronics), street markets (antique, crafts, food), arts and entertainment venues; Cultural production - Festival marketplaces combining festivals, retail and exhibition; consumption Yuen (2013) Cultural Iconic cultural mega-projects Includes iconic architecture and landscape, designed by famous architects; programs Creative industries programs Includes programs in the cultural and creative industries; Service-oriented programs Includes art galleries, restaurants, and shopping malls; Griffiths Cultural Integrationist model Aims at enriching public activities and creating a democratic public realm, as (1995) policy models well as promoting civic identity and a belonging to the city; Cultural industries model Aims at enhancing economic growth in the cultural industry; Consumerist model Aims at using the arts to boost tourism, attract private investment and generate local revenue; Grodach and Cultural Progressive strategy Responds directly to the needs of local communities and arts organisations, through Loukaitou- development the provision of a wide distribution of benefits to the public; Sideris (2007) strategies Creative class strategy Responds to the needs of the creative class, and stimulates the growth of the cultural economy; Entrepreneurial strategy Responds to market needs and local economic objectives.

In combination with the above researches in Table 2.3, following the approaches of ‘progressive’, ‘creative’ and ‘entrepreneurial’, the cultural precincts reusing industrial heritage in this thesis are in the forms of ‘public cultural precincts’, ‘creative class clusters’ and ‘service-oriented precincts’ (Table 2.4). The key terms in Table 2.4 include precinct type, main goals, key actors, target audiences, cultural projects and programs, cultural activity and geographic focus. These key terms are consistent with those used to describe cultural approaches to industrial heritage reuse, for example, by Evans (2009), Yuen (2013), Griffiths (1995), as well as Grodach and Loukaitou-Sideris (2007). These approaches form the framework within which to classify diverse sets of cultural precincts in Chinese-mega cities, discussed in the next sections.

Table 2.4: Cultural approaches to industrial heritage reuse Approach Progressive Creative Entrepreneurial Precinct type Public cultural Creative class clusters Service-oriented precincts precincts Main goals Strengthen community Promote sectors of the Economic growth identity and economy in cultural through tourism development and creative industry City image branding Widen access to and Attract private sector participation to the investments social public life Support local cultural production Key actors Local government Public sector covering National and municipal culture, media and government Public sectors creative industry Public-private-

Private sector and partnership as the special agencies dominant approach Private developers Target General community Prospective residents Affluent residents audiences Underserved Creative class Tourists residential population Cultural Public parks Arts and entertainment Iconic cultural buildings projects and venues and landmarks Arts education programs program Private or public Service-oriented owned art galleries facilities: e.g. art Public arts centres and institutions galleries, restaurants, City-operated clubs, bars, and shopping Independent artist’s community arts spaces malls studios Neighbourhood arts Business and Private companies in organisations entertainment districts cultural and creative Mega-cultural festivals 19

industries and events Artwork market and festivals Cultural Cultural consumption Cultural mono- / poly- Cultural production and activity production consumption Cultural production and consumption Geographic Inner-city or Historic urban Downtown focus underserved neighbourhoods

neighbourhoods Examples The BP Site Parklands Soho in New York The Melbourne in Sydney Docklands The Brewery in Los The Good Line in Angeles The South Bank of Sydney London The Little Black Pearl The London Transport Workshop in Chicago Darling Harbour in Museum in London Sydney The Australian The Tate Modern Technology Park in Circular Quay in Sydney Gallery in London Sydney The West India Docks The High Line in New The Clerkenwell in and Canary Wharf in York London London The Zollverein Coal Mine Industrial Complex in Germany Source: Based on Bianchini (1993), Griffiths (1995), Grodach and Loukaitou-Sideris (2007) and Yuen (2013)

In the progressive approach, the ‘public cultural precinct’ aims at providing opportunities for participation in the public social life, widening access to the arts, and utilising high-quality art to revive the sense of community and improve the image of neighbourhoods (Bianchini, 1993; Griffiths, 1995; Grodach and Loukaitou-Sideris, 2007). Major actors include local governments and the public sectors. Examples include city-operated community art spaces and neighbourhood arts organisations (Grodach and Loukaitou-Sideris, 2007), education facilities, public parks, museums and/or exhibition spaces, as shown in Figure 2.1.

The BP Site Parklands in Sydney

The London Transport Museum in London

The Tate Modern Gallery in London

Figure 2.1: Examples of the progressive approach to industrial site reuse Source: Photographs by the author

In the creative approach, the ‘creative class cluster’ aims at developing sectors of the economy in the cultural and creative industries (Scott, 1997, 2000, 2004), covering “cinema and audio-visual arts, design and crafts, media arts, music, performing arts,

21 publishing and visual arts” (UNESCO, 2015, p.1). The target audience is the ‘creative class’ (Florida, 2002), namely, highly educated workers and ‘knowledge-based professionals’ (Grodach and Loukaitou-Sideris, 2007), and those whose occupations “range from artists and software designers (the super-creative core) to management and legal experts (the creative professionals)” (Pratt, 2008, p. 108). Major actors include government departments of creative industries, private sectors and special agencies that are established by local governments for the management and operation of creative class clusters. Examples cover independent artist’s studios, companies in the cultural and creative industries, and private or public owned art galleries, as demonstrated in Figure 2.2.

The Australian Technology Park

The Clerkenwell in London

Figure 2.2: Examples of the creative approach to industrial site reuse, Source: Photographs by the author

In the entrepreneurial approach, the ‘service-oriented precinct’ seeks to create an attractive business environment by providing high-profile facilities and events, iconic architecture and landscape (Grodach and Loukaitou-Sideris, 2007; Punter, 2010; Sklair, 2005). The main goals in these kinds of strategies coincide with city government’s broader entrepreneurial agenda, including fostering private developments, generating local tax, boosting consumption, branding the city image as ‘a place to play’, and promoting economic growth in the tourism, cultural and information technology industries (Grodach and Loukaitou-Sideris, 2007; Grodach and Seman, 2013; Judd and Fainstein, 1999; Scott, 1997, 2004, 2010). Major actors include city governments and private developers with the dominance of public-private partnerships. The presence of cultural facilities for an evening economy, such as bars and night clubs, the construction of iconic flagship cultural complexes, and the celebration of spectacular cultural events are included. Figure 2.3 shows examples of the entrepreneurial approach to industrial site reuse.

Darling Harbour in Sydney

Circular Quay in Sydney

The West India Docks and Canary Wharf in London

Figure 2.3: Examples of the entrepreneurial approach to industrial site reuse Source: Photographs by the author

2.4 Practices of Industrial Heritage Reuse in Eastern China

The opening up policy and the introduction of the market reform of China since 1978 is the watershed for China’s urban transformation and economic transition from a socialist planned economy to a socialist-market economy (Yeh et al., 2015). However, some scholars (Gu, 2011; Gu et al., 2008; Lin, 2007; McGee et al., 2007; Yeh et al., 2015) have noticed the inadequacy of treating the post-reform period as one singular process. Following the classification of urban transformation by Gu (2011), Gu et al., (2008) and Yeh et al., (2015), the urban transformation of China since 1949 can be divided into four main stages, namely, equal socialist industrialisation (1949-1977), early reform and rural industrialisation (1978-1987), land-centred development (1988- 2000), and the rise of the service industry (2001- present), as summarised in Table 2.5.

More specifically, in terms of industrial development, in the three decades after the founding of the People’s Republic of China in 1949, urban development policies in most Chinese mega-cities were imbued with a heavy industry orientation. By the end of the 1950s, private ownership had been largely eliminated in favour of State-Owned Enterprises (SOEs) and collectively-owned operations (Parker and Pan, 1996). Meanwhile, the old industrial sites built in the nineteenth century were combined or transformed into SOEs. Despite economic stagnation brought about by political movements such as the ‘Great Leap Forward’ (da yue jin) (1958-1960) and the ‘Cultural Revolution’ (wenhua da geming) (1966-1976), SOEs grew modestly during the 1960s and 1970s. By 1978, the SOEs share of industrial output was up to 77.63% (Yang, 2007) and the industrial sites occupied 30% of urban core land in large Chinese 24 cities (Hsing, 2006). The following two decades since 1978 saw the traditional industries in the SOEs go into decline.

Pressures on inner city factories were also increased by China’s high rate of urbanisation which resulted in rising urban land values and unacceptable levels of pollution in the inner city from heavy industries. In response to these trends, Chinese industrial cities then entered into a new development stage with a transformation of industry distribution, type and structure. The regeneration of the old industrial sites became an urgent task for local authorities. One common method of regeneration has been the adaptive reuse of inner-city industrial heritage sites as cultural precincts in the eastern leading cities in China.

Table 2.5: Evolution of China’s urban growth and transformation since 1949 Period Socialist industrialisation Early reforms Land-centred development The rise of the service industry (2001-present) (1949-1977) (1978-1987) (1988-2000) National Cities of production Privileged-region development: Introduction of land values and land Cities of consumption strategy and rapid economic growth in the market Equalized regional Promotion of the service orientation coastal provinces development Development of the real estate industry Development of export-oriented industry Anti-urbanisation Rapid development of the industries Development of inland regions: real estate industry State-led industrialisation Rural industrialization reducing economic disparities with the coastal zone Major policy Centrally planned economy Economic reform and opening up Urban house reform: commodity Further relaxation on labour, and reforms policy housing as the primary means of land and capital Strictly controlled land and housing supply capital Allow the use of foreign and Allow greater market access private capital Urban land reform: allowing the paid for foreign and private Restrict labour by using transfer of urban land-use rights capital Household Registration System Loose restriction on rural-urban and hukou regulations migration Relaxation on foreign and private Experiment reform on the capital hukou system

Key actors Central government Local governments Government departments Private sectors State-owned Enterprises Township and village enterprises Growing role of private enterprises Growth of public-private- partnership Physical State-led heavy industry Promotion of township and Construction of economic and Construction of shopping emphasis projects village enterprises technological development zones and centres and central business ‘high-tech’ parks districts for attracting Controlled development of Development of small town and producing service industries large cities growth of larger city regions Urban sprawl, urban regeneration and place making Expansion of large cities Improvements in urban infrastructure Source: Based on McGee et al., (2007), Yeh et al., (2015), Wang and Liu (2016)

A scoping study of examples of industrial heritage reuse in the eastern leading cities of Beijing and Shanghai was undertaken by the researcher in 2014. The cases in the two cities are summarised in Appendix I, and is based on the progressive, creative and entrepreneurial cultural framework. These selected cases have common characteristics: inhabiting the former abandoned industrial areas and having been converted to the three cultural uses described above. The scoping study investigates the commencement time of the transformation, the original factory characteristics, cultural approach, precinct type, tenants, the development process, and the relevant policy environments.

The trend of industrial-heritage reuse in Beijing can be summarised in three ways: spontaneous reuse by artists in the 1990s; established by a private developer or through a Public Private Partnership (PPP) in the 2000s; and driven by the local state in post- 2010. The emergence of similar cultural precincts in Shanghai are related to its successful, and more commercially oriented ‘sea culture’ artists with a formal Creative Industry Cluster (CIC) policy making an important contribution to heritage reuse outcomes. A CIC is a type of urban precinct re-using from the former industrial sites and possessing “a high concentration of cultural activities and creative industry companies” (Roodhouse, 2006; Zheng and Chan, 2014, p.9).

2.4.1 Beijing’s Examples

Beijing’s industrial development commenced when it was established as the capital city for China in 1949. National industrial initiatives were then launched as it was planned to be transformed into a socialist production base. From the 1950s, the Beijing government established industries related to urban life, such as cotton and textile factories. During the 1960s and 1970s, large-scale heavy-industry projects were introduced by the central state, sponsored by the former Soviet Union as well as the former East Germany (Wei and Yu, 2006). Beijing experienced the fastest industrial growth among its peers, with the gross industrial output increasing 171 times from 1949 to 1978 (Wei and Yu, 2006). Since 1978 when Beijing was designated as China’s political and cultural centre, manufacturing industry was largely diminished, while cultural and creative industry was significantly increased.

Examples by Local Artists

Attracted by Beijing’s art environment, China’s most avant-garde artists have gathered in Beijing since the emergence of China’s contemporary art scene in the late

1970s (Liu et al., 2013). These artist groups are mostly comprised of the ‘drifting in Beijing’ crowd (beipiao), who are not official Beijing residents, living on the fringes of the city, both physically and psychologically, as well as the local famous artists and professional graduates from the leading art schools (Chou, 2012). The culture of Beijing is characterised by authoritativeness, orthodoxy and classicism due to Beijing’s position as China’s capital for five dynasties (Wang, 2012). The commercial functions of Beijing have always been overshadowed by its pre-eminence as a political and cultural centre (Gaubatz, 1999). Inherited from Beijing’s cultural characteristics, its artists place low priority on market needs and more emphasis on fine art activities - which, however, cannot guarantee a stable or high income (Ren and Sun, 2012). The abandoned factories in the suburbs accommodate the artists’ needs for cheap properties and large working spaces. A large number of artists spontaneously gathered in certain areas which were later called artists’ villages. The 798 Art Zone, Songzhaung and Feijiacun are examples of such villages. Songzhuang, for examples, accommodates 3000 artists, and the 798 Art Zone contains 200 galleries.

Examples by Policy Intervention

The government’s role in promoting heritage reuse provides necessary space for the artists in Beijing. Following the announcement of the 2008 Summer Olympics, Beijing was concerned with its international image as a global city (Keane, 2009a). Like other global cities, it has been recognising the symbolic importance of culture and arts within its urban political economy (Currier, 2008). Although Beijing had a historic advantage, to compete with other global cities, Beijing was eager to expand its urban cultural brand. Supported by the Chinese central government, the Beijing authorities have been actively engaged in the construction of cultural space since 2000. More specifically, the local government’s strategies for the development of creative industries include: sponsoring certain cultural spaces, providing special funding for creative industries, and offering a ‘Beijing Resident Identity Card’ (Beijing jumin juzhu zheng) for prominent professionals (Chou, 2012).

Thirty municipal CICs were established under the government’s efforts, prominent cases including the Zhongruan Hi-Tech Area, Olympic Park, and National Media Base. CICs in reused industrial heritage buildings include the 798 Art Zone, Songzhuang Art Zone and Huitong Times Square. Moreover, the local state has encouraged private developers to participate in the construction of cultural districts, providing 500 million 28

RMB every year since 2006 for support. The Huitong Times Square, Huantie Times Art and Right Left Art Zone were driven by private developers, while the Number One Art Institute, 751 D-Park, and Laijin Creative Zone were constructed through a PPP process. Starting with the organic clustering of the grassroots artist communities, and further expanded by the local state’s effort, these CICs began to generate an agglomeration effect (Yang et al., 2012), attracting a growing number of foreign and domestic artists, artisans and professionals. Apart from the CIC policy, the Beijing authorities’ other effort was to create recreational spaces obtained from the industrial sites. Capital Steel Industrial Park and Chaoyang 1919 Theatre are examples of such state-sponsored cultural projects. Figure 2.4 demonstrates some examples of industrial heritage reuse in Beijing.

798 Art Zone

751 D-Park

The Image Base

No. 46 Fangjia Hutong Figure 2.4: Some examples of industrial heritage reuse in Beijing Source: Photographs by the author

2.4.2 Shanghai’s Examples

Shanghai’s industrial development began with making urban infrastructure for its European concessions in the nineteenth century and the development of local handicraft manufacturing in the early twentieth century speeded city’s industrialisation (Zhong, 2013). However, the war-time period (1937-1949) saw industrial stagnation in Shanghai. After 1949, the city’s development was associated with the national policy of state-led industrialisation and the old industrial sites built in late nineteenth century were combined or transformed into SOEs (Wu, 2003). Like Beijing, primary and secondary industries declined in Shanghai following the adoption of a market economy after 1978. The remaining industrial heritage covers almost every industry type from urban infrastructure for the European concessions to local and foreign manufacturing industry and state-led heavy industry, ranging from small-scale ‘house manufacturing workshops’ (Lilong zuofang) to the large scale SOEs.

Examples by Local Artists

The nature of Shanghai culture is different from the orthodoxy of that in Beijing. Unlike Beijing’s pre-eminence as a political centre, the development of Shanghai was 30 largely shaped by a variety of global and local commercial forces (Gaubatz, 1999; O’Connor, 2012). Developed under the influence of the semi-feudal and semi-colonial characteristics of the trading port period, Shanghai’s modern culture (known as ‘sea culture’) has a hybrid nature, a fusion of western and eastern influences. Commercialism is also a characteristic of Shanghai’s ‘sea culture’ (Wu, 2004b). Shanghai artists naturally inherit the values of sea culture and it is observed that their artworks tend to be more market-driven, and popular (Wang, 2012). Its cultural activities place more emphasis on design-based industries, such as media, fashion and advertising (Ren and Sun, 2012). Such artists have reused the factories as their studios as they were attracted by their large spaces and historic atmosphere. Tianzifang and M50 are two examples of cultural clusters reused by local successful and more commercially oriented ‘sea culture’ artists. A third colony, the Bridge No.8, was driven by a private developer who invested in the refurbishment of a motor parts plant and then charged high commercial rents to design companies. Meanwhile tax was paid to the local state for the re-designation of the industrial land.

Examples by Policy Intervention

The CIC policy in Shanghai makes an important contribution to heritage reuse outcomes. Inspired by the movement of local artists into old industrial sites, and also by the expansion of the tertiary sector of the urban economy, Shanghai authorities recognised the value of combining economic restructuring and urban cultural development in the inner city industrial sites (Wu, 2004b). With the introduction of the term ‘creative industry’, the Shanghai Economic Committee set up the CICs in 2004. They allowed the owners of land-use rights to charge high commercial rents for industrial land without paying fees for the formal re-designation (O'Connor and Gu, 2014). To attract more artists, professionals and developers to participate, the Shanghai government implemented preferential policies such as tax concessions and special funding for the combination of industrial heritage and creative industry.

A new policy called the ‘three non-change and five changes’ (sanbian wububian) was introduced to regulate the reuse of the old industrial buildings. It involved maintaining ownership of premises, old building structures and land status by the old SOEs (three non-changes), while allowing changes in employment structure, management, type of tenants, form of business organisation and enterprise culture (five changes) (Zheng, 2011). The policy benefits those who combine ‘art, creativity and 31 entrepreneurship’ (Wang, 2009). The private sector rents the SOE’s assets, and then with a low cost of refurbishment can charge high commercial rents from the new tenants (O'Connor and Gu, 2014). Under the influence of the government’s preferential policy, from 2005 to 2010, CICs spread rapidly across Shanghai expanding from 18 to 75 establishments in four rounds of re-designation (Chen, 2010).

Similarly to Beijing, Shanghai was also concerned with its international reputation as a global city. To compete with other large Chinese cities, the Shanghai government was active in the promotion of local cultural influence, such as by hosting mega-event cultural flagships. Shanghai 2010 Expo was the most notable example. To recognise Shanghai’s history of industrial development, 5.28 km2 of industrial sites along the Huangpu River were selected as the location of Shanghai 2010 Expo (Deng and Poon, 2012). Figure 2.5 shows some examples of industrial heritage reuse in Shanghai.

M50

Tianzifang

The Shanghai Expo Park

The Shanghai International Sculpture Space

Shanghai No. 8 Bridge

1933 Old Millfun

Figure 2.5: Some examples of industrial heritage reuse in Shanghai Source: Photographs by the author

2.5 Industrial Landscape in Western China

With the dramatic transformation of China’s industrial landscape, since the late 1990s, adaptive reuse of industrial heritage for cultural purposes has become a widely occurring phenomenon in major Chinese cities. The transnational flow of industrial heritage conservation across the large global cities along with the regeneration work in Eastern China have a positive effect on practice in inland regions. These numerous precedents open new realms of regeneration possibilities, offering potential solutions for other cities under similar circumstances. Like the large eastern cities, the inland regions have experienced similar industrial development histories, which have also bequeathed a variety of industrial heritage sites, as shown in Table 2.6.

Table 2.6: Industrial development history of the selected Chinese cities Eastern Industrial heritage: Western Industrial heritage: regions commencement and type regions commencement and type

Beijing Started from socialist Wuhan Started from trading port period construction in 1949 in 1861 Light industry represents Industrial stagnation in the 70% in the remaining wartime (1937-1949) industrial building Industrial expansion in the ‘Three Fronts’11 period (1963-1977) Possesses major types of heavy industry Shanghai Started from the trading port Chongqing Started from trading port period period in1842 in 1891 Industrial stagnation in the Industrial expansion in wartime wartime and the ‘Three Fronts’ period Possesses almost every Possesses major types of heavy industry type industry Guangzhou Started from the trading port Chengdu Started from in the 1870s period in 1841 Industrial expansion in the Industrial stagnation in the Wartime and the ‘Three Fronts’ wartime period Possesses almost every Possesses major types of heavy industry type industry Source: based on Chen et al., (2016)

11 ‘Three Fronts’: for the sake of national defence, the Chinese government sought to develop a military-industrial heartland away from the People’s Republic of China’s eastern and northern borders. The coastal borders were classified into the ‘First Front; the inland areas as the ‘Third Front’, and the rest as the ‘Second Front’ (Han and Wang, 2001). 34

Faced with the same obsolescence of the inner industrial sites brought about by today’s rapid urbanisation, it was the inland governments’ turn to benefit from the experience of successful precedents. Using a cultural approach to industrial heritage conservation has become a natural path for the solution of inner city brownfield sites in these cities. In the western cities, such as Wuhan, Chongqing and Chengdu, the city governments have begun to abandon the practice of ‘demolishing and rebuilding’ (dachai dajian) in the former industrial land, while reformulating urban regeneration policy by infusing cultural elements and retaining industrial heritage. Famous examples include the Wuhan Hanyangzao, Chongqing Huangjiaoping Art District and Chengdu Dongjiao Music Park, shown in Figure 2.6.

The Hanyangzao in Wuhan

The Huangjiaoping Art District in Chongqing

The Chengdu Eastern Suburb Memory in Chengdu

Figure 2.6: Cases of industrial heritage reuse in Wuhan, Chongqing and Chengdu Source: Photographs of the Chengdu Eastern Suburb Memory were collected from its official website http://www.eastcd.com/. Other photographs by the author

In contrast with the large-scale transformation of industrial landscape in the leading cities in Eastern China, the inland regions are still at the early stage of heritage conservation, as demonstrated by their less dramatic outcomes of industrial heritage reuse. An uneven landscape of industrial heritage reuse in Chinese-mega cities can be sketched out by the disparity of heritage reuse outcomes. Figure 2.7 shows that the number of industrial heritage precincts in western China is far fewer than in the eastern counterpart cities. In addition, the transformation of industrial landscapes as cultural complexes in the inland regions, is occurring later than in the leading eastern cities.

Figure 2.7: Main examples of adaptive reuse of industrial heritage as cultural precincts in selected Chinese cities Source: Based on information from the author’s field reconnaissance in 2014 and internet searches, Background map: Baidu Maps

Another challenge for the western mega-cities is the evident gap between the planning concept and the final outcomes in most brownfield regeneration programs. A common goal of converting industrial legacy into a cultural complex is shown in some design proposals of Chongqing12, Wuhan13 and Chengdu14. However, as observed from the implementation of most regeneration programs, the inland cities are still faced with the problem of numerous derelict industrial heritage items. What has widely occurred is that regardless of shifting political philosophies and the differing economic and cultural context among various inland cities, the rush towards promoting development has consumed much of the inland cities’ remarkable industrial heritage.

Taking Wuhan as an example, the photographs of the factories displaying the original structure compared to the current remaining fragments in Figure 2.8, demonstrate a loss of industrial character in some of the most historically significant places in the western regions. A similar trend of dramatic heritage disappearance can be observed in Chongqing. Since 2007, the third Chinese Cultural Relics Survey preliminary established over one hundred industrial buildings and sites in Chongqing. However, a large proportion of these industrial elements have been demolished in recent years (He, 2013; Xu, 2014) 15 . Figure 2.9 and Figure 2.10 respectively compare the former industrial landscape and today’s structure at the Chongqing Special Steel Factory site and the Chongqing Steel Factory site.

The appearance of the Hanyang (Wuhan) Arsenal and Hanyang Steel Factory in the 1930s Source: Internet search, accessed on 20 May 2015 http://myhb.qq.com/t-234079-1.htm

12 Chongqing’s proposals of industrial heritage reuse include the Chongqing Steel Factory, the Chongqing Special Steel Factory, the Chongqing Power Plant, the Chongqing Copper Bureau, the Chongqing Maoershi Creative Industry Zone, the Chongqing Dashiba Creative Industry Zone, the Chongqing S1938 Creative Industry Zone. 13 Wuhan’s proposals of industrial heritage reuse include the Hanyang (Wuhan) Arsenal, the Hanyang (Wuhan) Steel Factory, the Wuhan Copper Factory, the Wuhan Meat Processing Factory, the Wuhan Boiler Factory. 14 Chengdu’s proposal of industrial heritage reuse includes the Chengdu No. 420 Factory. 15 Factories demolished in Chongqing in the 2000s: Chongqing Cotton No. 1 Factory, Chongqing No.3 Factory, Tianyuan Chemical Plant, Chongqing Paper Mill, Chongqing Jianshe Machine Tool Plant, Chongqing Special Steel Factory, Chongqing Chaoyang Motor Factory, Chongqing Spring Factory, Chongqing Weighing Equipment Factory, Zhongnan Rubber Plant, Chongqing Copper Bureau (He, 2013; Xu, 2014) 37

Retained industrial items of the Hanyang (Wuhan) Arsenal and Hanyang Steel Factory in 2015, Source: photograph by the author

The situation of the Hanyang (Wuhan) Arsenal and Hanyang Steel Factory in 2015 Source: photograph by the author Figure 2.8: The comparison of the Hanyang (Wuhan) Arsenal and the Hanyang Steel Factory in the 1930s and 2015

The appearance of the Chongqing Special Steel Factory before demolition in 2011

The situation of the Chongqing Special Steel Factory in 2017 Figure 2.9: The comparison of the Chongqing Special Steel Factory in 2011 and 2017 Source: Photographs by the author

The appearance of the Chongqing Steel Factory before demolition in the 1990s

The situation of the Chongqing Steel Factory in 2015 Figure 2.10: The comparison of the Chongqing Steel Factory in the 1990s and 2015 Source: The top photograph provided by the interviewee He Zhiya and the bottom by the author

2.6 Conclusion: China’s Uneven Industrial Landscape

In addition to the context of transnational culturally-themed regeneration practice along with the current cultural approach to urban regeneration, this chapter has sketched an uneven landscape of industrial heritage conservation in Chinese mega-cities through a preliminary scoping study in selected eastern and western regions. The chapter concludes that China’s western regions are still at the early stage of industrial heritage conservation, compared with examples in the leading eastern cities, as demonstrated by their inferior adaptive reuse outcomes. This negative reality of industrial heritage reuse practice in inland regions raises a fundamental concern about the reasons for such cultural myopia. The disparity of heritage conservation outcomes across urban China raises a question about why some leading cities conserve their heritage better or more readily than others. The specific contexts of political institutions, economic development structures, socio-historical environments and cultural circumstances are involved in answering this question. In response to this dilemma, the purpose of the next chapter - Chapter 3 - is to discuss the main factors that dominate the landscape of industrial heritage reuse in urban China through a review of related Western theories and the literature on China’s particular context. 39

Chapter 3 Literature on Industrial Land Redevelopment in Post-reform China and the Theoretical Framework

Chapter 2 has sketched out an uneven landscape of industrial heritage reuse in urban China, through a scoping study of heritage conservation outcomes in selected leading eastern cities and inland cities. It concluded with a negative picture of heritage conservation practice in China’s western cities. In response to this problem, this chapter reveals the driving forces that have dominated the actual physical results of conservation efforts in post-reform China, through a review of Western theories on the production of space and the literature on Chinese industrial heritage conservation.

Chapter 3 has two main parts. The first is a synthesis of the factors influencing brownfield restructuring in post-reform China through a review of the Chinese literature. It contextualises the change of industrial landscape through a discussion of a series of urban transformations, focusing, in particular, on the economic, political and sociocultural spheres. The second is to develop a framework by drawing on theories on the production of space and the urban policy mobility.

3.1 The Literature on China’s Industrial Land Redevelopment

The radical changes of urban landscapes in post-reform China are understood to be results of a broader transformation in the spheres of political-economy and socio-culture since the reforms of 1978 (Ma and Wu, 2005; McGee et. al., 2007; Shen and Wu, 2012). For instance, the book China’s Urban Space: Development under Market Socialism by McGee et al., (2007) suggests a more holistic perspective, considering a broader political and economic processes to understand China’s urban space. These scholars regard China’s urbanisation as a state project. Drivers of urbanisation include the central state, different levels of government, government agencies, private sectors, and foreign investment. Historical legacy of the Maoist era, new political and economic systems in the post-reform period, urban place-making strategies of the national and local governments, and forces of globalisation are seen as important (McGee et al., 2007). Ma and Wu (2005), to take another example, in the book Restructuring the Chinese City:

Changing Society, Economy and Space raised a critical question: “What are the major, political, cultural/historical systems and institutions that are specific to China and that have affected the (re)configuration of urban space” (p.13). Ma and Wu (2005) argue that the urban landscape in contemporary China is best understood as the result of multiple forces combining international and global forces as well as national and local factors.

Nevertheless, the viewpoints on the forces driving the industrial landscape in Chinese-mega cities so far have been largely considered separately. In the literature, scholars have held a singular position about the forces driving industrial land redevelopment, covering economic, political and cultural perspectives.

- The economic re-structuring perspective suggests that the decline of the state industrial system is a result of the transfer of capital accumulation in the spheres of production and consumption. - The political perspective notes a change in power relations, explores the emergence of entrepreneurial governance in post-reform China, and explains that maximising local economic interests sought by entrepreneurs has, to a large extent, triggered the disappearance of unprofitable heritage precincts. - The third perspective argues that the reuse of industrial heritage as cultural space is related to the strength of local artist community, the rising nouveau riche along with its material consumption and the heritage policy on Creative Industry Clusters (CICs).

This is summarised in Table 3.1, below.

Table 3.1: Summaries of the literature on the factors influencing China’s brownfield restructuring

Perspective Emphasis Influencing factors Related research Specific viewpoints Impacts Economic Capital A shift from state-led Gaubatz 1998, 1999 The city has replaced State-owned The increasing restructuring accumulation in industrialisation to Lin 1999 Enterprises as the new subnational inefficiency of the production urban-based Lu 2006 entity for organising capital SOEs in capital spheres accumulation Ma and Wu 2005 accumulation. accumulation and Wu 1999, 2006c, 2008, the prosperity of 2009 the real estate Industry reform Cao et al. 1999 Reform of State-owned Enterprises has industry has Parker and Pan 1996 aggravated the decline of the state shaped the Tong 2009 industrialisation system. decline of the You 1998 state industrial Yang 2007 system in post- Capital The shift in urban Wu 2006, 2009 Consumption has replaced production, reform China. accumulation in consumption from as the core part of capital accumulation. the consumption being suppressed to spheres advocated Housing reform Shen and Wu 2012 A rapid booming of the property Wu 2000, 2009 market follows due to housing reform. Yeh et al., 2015 The rise of citizen’s Lu 2006 The increasing demands on housing consumption demand Shen and Wu 2012 and commercial landscape have Wu 2001, 2006, 2010 triggered the conversion of industrial Yang and Chan 2007 land for residential or commercial uses. Building up of the Xu et al. 2009 Industrial land has become a state-owned land commodity, which can be produced, development market sold, and consumed.

Table 3.1 (continued): Summaries of the literature on the factors influencing China’s brownfield restructuring

Perspective Emphasis Influencing factors Related research Specific viewpoints Impacts Shifts in Entrepreneurial The trend of Ch’u 2005 Chinese cities laid down political and Entrepreneurial power urban globalisation Gaubatz 2005 economic conditions similar to those governance, relations governance Wu 2000, 2003, 2006, 2009 of the core western cities. focused on Webber et al., 2002 maximising Yu 2005 economic The influence of Hendrischke 1999 Chinese cities are promoting local interests, has peer-city competition Keane 2009 economic growth including resulted in the Xu and Yeh 2005 competing with other cities. weakening of Chinese cities’ Lin and Yi 2011 An informal pro-growth coalition un-profitable internal institutional Xu et al., 2009 around land values has been fostered heritage reform Zhu 1999, 2002, 2004 among local governments and private precincts. Zhang 2000 developers. The change in Sociocultural The gathering of Currier 2008 The occupation of abandoned The the elements in post- local artist Hee et al., 2008 industrial sites by local artists is transformation sociocultural reform China communities Wang 2009 advantageous to industrial heritage of industrial environment conservation. sites as cultural The nouveau riche Currier 2008 Consumption practices and the precincts is along with the Keane 2009 characteristics of the nouveau riche related to the material consumption Wang 2001, 2004 led to forms of development that sociocultural Wang 2009 conflicted with the artists’ interests. elements in The heritage policy O’Connor and Gu 2014 The CIC policy in Chinese mega- post-reform on CICs Yang et al., 2012 cities have some functional China. Zheng 2011, Zhong 2007 advantages. Fung and Erni 2013 The CIC policy is not conducive to O’Connor and Gu 2006, 2014 the organic development of cultural Chou 2012 precincts. Ren and Sun 2012 Wang 2009, Zheng 2011 Zheng and Chan 2013, 2014

3.1.1 The Economic Perspective: Modes of Capital Accumulation

From an economic perspective, the radical change in emphasis of capital accumulation in China needs to be understood in both modes of production and consumption (Wu, 1999, 2006c, 2008, 2009). Recent studies highlight how the advent of the production and consumption spheres has dictated the decline of the state industrial system in post-reform China (Brandt et al., 2008; Lu, 2006; Ma and Wu, 2005; Parker and Pan, 1996; Walder, 1995a; You, 1998).

In the production sphere, Chinese cities have experienced transformation from state- led industrialisation to an urban consumption-based regime of accumulation (Wu, 2008, 2009). State-led industrialisation was “characterised by the state in controlling resource allocation and its work unit system in carrying out social reproduction. The technological base is the manufacturing sector for heavy industries, particularly in association with national defence, with a suppressed agricultural sector to produce subsistence for the urban working class” (Wu, 2009, p.424). The circulation of capital into the new sphere of production is achieved through state budgetary control and the command economy (Wu, 2009; Walder, 1995a). The State-Owned Enterprises (SOEs), also referred to as the state work units, were the major organiser of production, while the city was simply a production site used by a collection of SOEs in the socialism era (Wu, 1999, 2006c, 2009).

This socialist economy is described as a ‘shortage economy’, because ‘soft budget constraints’ drove the SOEs to compete for the allocation of state resources (Kornai, 1992; McGee et al., 2007; Walder, 1995a). In the post-reform period, Chinese cities have turned into an important means to overcome the constraints of state-led industrialisation (Wu, 1999, 2009). As Wu (2009) points out, the urban-based regime of capital accumulation is “characterised by the market as the dominant mechanism of resource allocation and market-based formal (for waged workers) social reproduction” (p.424). Its technological base is “the manufacturing sector for global commodity production and a subsidiary rural sector to continue to provide cheap labour” (p.424). A similar view concerning the change of the production sphere, from being organised around state work units to relying on the market, is also held by Gaubatz (1998, 1999), Han (2000), Lin (1999), Lu (2006), as well as Ma and Wu (2005).

In addition to this general shift in the production sphere, some authors (e.g. Cao et al., 1999; Hu, 2015; Parker and Pan, 1996; Tong, 2009; Yang, 2007; You, 1998) detail how various state strategies have driven the decline of the state industrial system. The reforms of SOEs since 1978 include the pilot reform on expanding SOE autonomy (1978-1984), the reform on increasing autonomy rights and the contract responsibility system (1984-1992), strengthening reform on the modern enterprise system (1992- 1997), and continued reform on restructuring, reorganisation and governance (1997- present) (Yang, 2007).

Some authors have highlighted the potential impact of these informs on the state industrial system. For example, since the launch of the SOE reforms under the slogan ‘nurturing the big while letting go the small SOEs’ (zhua da fang xiao) at the 14th and 15th Chinese Communist Party Congresses (in 1992 and 1997), most SOEs have experienced problems, such as ‘bankruptcy, mergers and reorganisation’ (guan ting bing zhuan) (Tong, 2009; Yang, 2007). You (1998) indicates that the reforms of the SOE leadership structure and wages have forced SOEs to reorganise, and in some cases, privatise. The withdrawal of welfare by the central state, including housing provision and minimum wage support for the workers, has placed much financial pressure on the SOEs since they now need to take on these responsibilities (Wu, 2004a, 2007). Hu (2015) observes the continuous decline in the SOEs’ financial performance and its negative effect on public urban finances. Han and Pannell (1999) also point out that the state enterprise reform has led to a decrease in the number of SOEs and the increase of private sector economies.

In the consumption sphere, several authors have pointed out the role of urban consumption on capital accumulation. In the socialist era, housing and other basic urban goods served as welfare for the workers. Such consumption was unremarkable in the socialist era since the capital accumulation capacity of the SOEs was so effective that the city did not need to contemplate consumerism (Wu, 1999, 2006c, 2009). However, in the post-reform period, Chinese governments have advocated mass consumption. Along with the increased opening up of marketisation, ‘consumption’ has, to some degree, replaced ‘production’, serving as the core part of the capital accumulation process. The city has thereby emerged as having the capacity to accommodate consumption activities.

Continuing with the argument of understanding the Chinese city in the post-reform period as a consumption entity, some authors have highlighted increasing demand for housing and commercial land, which has spurred the conversion of industrial areas (Lu, 2006; Shen and Wu, 2012; Shin, 2009; Wu, 2001, 2006b, 2010; Yang and Chang, 2007). This is what Xu et al., (2009) referred to as the phenomenon of ‘land commodification’ since the late 1990s through different forms of land sales.

Since capital has flowed away from manufacturing industry in response to the decline of the state industrial system, what followed was a boom in the real estate market along with the growth of the service industry. Currier (2008) points out that “profits generated by land development are more enticing than the declining profitability of SOEs” (p.240). Shen and Wu (2012) observe that the new means of accumulating capital represented by the real estate sector consisted of commodity housing. Han (1998, 2000) further argues that the housing market has been active in China and the real estate industry has contributed greatly to China’s economy. The prosperity of the real estate industry in post-reform China is also demonstrated by other research, such as the analysis of foreign investment in China’s real estate industry (Wu, 2000), as well as the interplay between the state and the open market in the service sector (Yeh et al., 2015).

In summary, the above discussion provides a broad background for understanding the switch from manufacturing industry to the real estate industry. First, shifts in the modes of production and consumption represent the transformation of capital accumulation, from state-led industrialisation to urban consumption-based accumulation. Second, the transformation of the modes of capital accumulation has resulted in the increasing inefficiency of SOEs, while in turn, driving the prosperity of the real estate industry in post-reform China.

3.1.2 The Political Perspective: Entrepreneurial Urban Governance

The following discussion arising from the political perspective explores the rise of entrepreneurial urban governance in post-reform China and its impact on industrial heritage precincts. The term of entrepreneurial urban governance is understood by Qian (2011) as the relationships “between local government and other interest group in the urban development process” (p.3).

The Rise of Entrepreneurial Urban Governance

Authors highlight the influence of globalisation on Chinese cities (Ch'u, 2005; Gaubatz, 2005; Lin, 2000; McGee et al., 2007; Sun and Chen, 2007; Webber et al., 2002; Wu, 2000, 2003, 2006a, 2009; Yu, 2005). Globalisation is a pervasive influence on China’s market-oriented reforms. In order to tightly connect with global production circutis, Chinese cities laid down political and economic conditions similar to those in core western societies (Currier, 2008; Shen and Wu, 2012). Moreover, the influence of peer city competition is also underscored (Hendrischke, 1999; Keane, 2009a; Xu and Yeh, 2005). Keane (2009a) observes the boom in urban development among Chinese mega-cities, due to inter-urban competition for attracting more investment. Xu and Yeh (2005) have named various entrepreneurial strategies to promote local economic growth as ‘place-specific development strategies’ while Wu (2003) referred to them as ‘placed- based strategic promotion’.

In addition, it is argued that entrepreneurial urban governance is a result of China’s internal institutional reforms. The value of entrepreneurialism was introduced into China’s urban governance in the late 1970s when a series of reforms on the exercise of authority were carried out. More specifically, it is related to the reform bringing fiscal decentralisation (Cartier, 2005; Qian, 2011; Shen, 2005; Wang, 1997; Wu, 2000; Zhang, 1999, 2000, 2008); the reform of land use systems, allowing local governments to generate revenue through the paid transfer of land use rights (Tian and Ma, 2009; Wu and Yeh, 1997; Yeh, 2005; Zhang, 2005; Zhu, 1999, 2002, 2004a); and the reform of the urban planning system, empowering the local state with land development regulation (Wu, 2000, 2015; Xie and Costa, 1993; Yeh and Wu, 1996, 1999).

The dual decentralisation of the administrative structure and financial responsibility are the key factors in adopting entrepreneurial urban governance. Zhang (2000) highlights that the financial withdrawal under a new philosophy of ‘share decision power, share responsibility’ (quanli fenxiang, zeren fendan) by the central state has forced local governments to seek their own sources for generating more revenue. Meanwhile, the subnational governments are empowered with new financial responsibilities by means of the new revenue distribution between the central coffers and localities (Zhu, 2004b). Autonomous local governments are highly motivated to

47 generate revenue from land development for supporting local growth. Lin and Yi (2011) stated that (p. 54),

“the reformulation of the fiscal relationship between the central state and local governments, first in the 1980s and then again in 1994 has effectively decentralized investment responsibilities and re-centralized tax collection, requiring municipal governments to pursue land development as an important means of revenue generation to finance economic growth and urbanisation.”

Since land revenue is the major source of local fiscal income, land redevelopment has thus become an important approach to entrepreneurial endeavours (Lin and Yi, 2001; McGee et al., 2007). The introduction of the land banking system serves as a typical policy tool for land redevelopment (Han, 2000; Xu et al., 2009). From the late 1990s when Shanghai established the first example in 1996, setting up land bank agencies has soon spread to most Chinese mega-cities (Xu et al., 2009). By setting up government regulations in the land banking system, local government can retain control over future development (Xu et al., 2009). The land banking agency gains the land use rights land from the SOEs; provides urban infrastructure for the land; divides the areas into smaller parcels and transfers the land use rights to property developers though ‘public tender, auction, quotation or negotiation’ (zhao pai gua xieshang) (Wu and Shen, 2015). An informal pro-growth coalition between local governments and property developers has been fostered, attempting to convert more land resources into local capital (He and Wu, 2005; Lin and Yi, 2011; Qian, 2011; Xu et al., 2009; Xu and Yeh, 2005; Zhang, 2000; Zhu, 1999, 2002, 2004a, 2004b).

The Chinese government is thus no longer just a resource distributor, but instead has become a land manager and finally a more entrepreneurial type of market actor (Zhu, 1999). This entrepreneurial re-orientation of the state is highlighted by scholars (e.g. Han, 2000; Lin and Yi, 2011; McGee et al., 2007; Qian, 2011; Xu et al., 2009; Yang and Chang, 2007; Zhang, 2000; Zhu, 2002, 2004a, 2004b). China’s governments have been portrayed somewhat unflatteringly as “industrial firms” (Walder, 1995b), as “economic interest groups with their own policy agenda” (Zhu, 2004a), and as “entrepreneurial bureaucrats” (McGee et al., 2007).

The Impact of Entrepreneurial Urban Governance on Heritage

The common recognition in recent studies concerning urban conservation is that this entrepreneurial nature has resulted in the commodification of heritage precincts. Taking Lijiang for example, Su (2015) details how a mode of entrepreneurial and authoritarian governance integrated urban heritage into a growth machine for economic returns. He argues that urban heritage is not just a medium of the past, but also can contribute to brand the city, promote local economy and attract consumers. Lijiang’s heritage precincts have been commercialised, the economic value of urban heritage being extracted from tourism, real estate and the capital markets. Other examples have occurred in similar circumstances.

Specific to industrial heritage reuse, some authors have pointed out the disadvantages of entrepreneurial governance. For instance, through examining the 798 Art Zone in Beijing, Chou (2012) argues that the entrepreneurial nature of state intervention was ultimately not beneficial to the organic development of the cultural precinct. The state- sponsored effort that emphasises the construction of urban infrastructure and cultural precinct is simply to attract investment. However, such construction has, to a large extent, neglected the development of a local grassroots artistic network. These views can also be demonstrated by the experience of China’s CICs.

Zheng (2011) argues that Shanghai’s CICs have played a role in developing local entrepreneurialism, attracting profitable businesses through real estate projects, auxiliary restaurants and retailing facilities, as well as enhancing the city’s urban image. Zheng and Chan (2014) agree that Shanghai’s CICs help reshape the urban landscape and re-image inner city areas. But Zheng and Chan (2014) also argue that these CICs have limited functional clustering effect, since CIC administrators prefer large companies with greater economic strength while excluding small creative industry companies or individuals. In the words of O’Connor and Gu (2014), Shanghai’s CICs “focused more on its urban regeneration effects rather than its role as ‘industry base’” (p.1).

Taking Beijing as an example, Ren and Sun (2012) point out that the application of the CIC strategy is to reconstitute the state’s control over creative industries and to profit from real estate development. Fung and Erni (2013) observe that Beijing’s CICs

49 are “created as a state effort to develop and boost the various cultural industries” (p.654). They argue that in the development of CICs, tensions and contradictions have been generated among various interest groups. The authorities’ economic and political interests are often prioritised over the long-term cultural interests of the public. Analysing major factors influencing the location of the art villages in Beijing, Liu et al., (2013) argue that the Beijing Municipal Government was a direct player in determining their future through its administrative policies. The overriding economic interest of the state and developer coalition conflicts directly with the artists, as the grass-root community’s interests were sacrificed in the name of economic growth.

Comparing cases in Beijing, Shanghai, Shenzhen and Guangzhou, Zielke and Waibel (2014) argue that the state intervention in the course of creative space development has resulted in spaces of “controlled creativity” (p. 106) rather than “creative spaces” (p. 106). O’Connor and Gu (2006) suspect the arrival of creative industries in China and have raised a critical question as to whether China can have creativity and innovation without a further change of social, cultural and political institutions in the post-reform period.

3.1.3 The Sociocultural Perspective: Artists, the Nouveau Riche and the CIC Policy

The third perspective in this section relates transformation of industrial sites as cultural precincts to the sociocultural elements in post-reform China. They include spontaneous reuse of industrial buildings by the local artist community, the rising nouveau riche along with its consumption-based activities and the CIC policy, as elaborated below.

The local artist community

To a certain extent, parallel to the process of the organic formation of the industrial heritage districts by local artist groups in Europe and the US in the late 1970s and early 1980s, such as the Sheffield cultural industries quarters, the Manchester northern quarter and New York’s SoHo, a similar process can be observed in Chinese-mega cities since the late 1990s. As Evans (2009a, 2009b) have pointed out, attracted by low

50 rents and looser controls, local artist groups in Western countries occupied the fringe workshop areas and spontaneously transformed the vacant factories into art districts.

Similar conservation trends are visible in Beijing, Shanghai and Guangzhou (Chou, 2012; Currier, 2008; Ren and Sun, 2012; Wang, 2009, 2012; Waibel and Zielke, 2012; Zheng, 2011; Zheng and Chan, 2013, 2014; Zhong, 2007; Zielke and Waibel, 2014). One notable case is Beijing’s 798 Art District, developed from an unknown art village to an international art destination. The dominant force in the reuse of the Factory 798 was the grassroots artist community and local famous artists with overseas reputations (Currier, 2008). Similar cases that were spontaneously reused by local artists include the Shanghai M50, Shanghai Tianzifang and Guangzhou Redtory Art & Design Factory. Wang (1996), Zhang and Frazier (2015) point out that the rising of avant-garde artists arose from the “high cultural fever” (Zhang and Frazier, 2015, p.4) – that is the fast development of Chinese contemporary art since the 1980s, and the art villages were formed through an organic gathering of these artist communities.

The nouveau riche and increasing consumption practice

Authors point out the increasing consumption by the nouveau riche, also known as the new riche (Davis, 2005), the new middle or upper middle class (Ma and Wu, 2005; Wu, 2010), the creative class (Florida et al., 2008, 2012; Wang, 2004) of post-reform China. They have benefited from the national reforms and accumulated considerable private wealth (Shen and Wu, 2012). In Wang’s view (2004), China’s ‘creative class’ differs greatly from their western counterparts, as they have ‘deep pockets’ - networking their capital with the government, as well as possessing the lifestyle characteristics of the nouveau riche (p.17). The nouveau riche in China has been eager to affirm their social status and material wealth by means of consumption (Shen and Wu, 2012; Wu, 2010). This increasing consumption in China reflects a new urban consumer culture that emphasises individual preferences and is against bureaucratic controls (Davis, 2005; Wang, 2001).

Consumption practices along with the nouveau riche’s demands have triggered the commodification of urban space, especially by the real estate industry (Shen and Wu, 2012; Wu 2010). As Shen and Wu (2012) point out, “on the demand side, in search of a better life, the rising new rich have created a competitive high-end housing market” (p.

258). Examples of the industrial heritage precincts in China’s eastern cities show that the consumption of the nouveau riche led to forms of development that conflicted with the artists’ interests, as elaborated below.

Taking Shanghai as an example, Wang (2009) suspects that the pursuit of distinctiveness by property developers through selectively authentic conservation or by branding artists’ offbeat tastes is not aimed at benefiting artists exclusively. Instead, these efforts are geared towards building up high value office stocks, together with retailing and entertainment space for attracting wealthy multi-national firms. Keane (2009b) observes that refurbished factories throughout Chinese mega-cities have very strong commercial characteristics, which have incorporated cultural and creative industry with recreational add-ons, such as bars, restaurants, book and souvenir shops (p.227-228). The end result of these cultural districts was an increase in land value and rents (Keane, 2009b).

Currier (2008) and Wang (2009) further explore the possible gentrification consequences of the industrial heritage art districts of Beijing and Shanghai. The land value of the art districts largely reflects their growing reputation as local cultural and commercial landmarks. However, high land value makes it impossible for artists to afford studio space in the city’s centre. The commercialisation of mature art districts thus spurs the rise of gentrification and social exclusion. In Wang’s words (2009, p.318), “once the link between artists and archaic industrial buildings is underscored and legitimised, the resulting space becomes commercialised and, to an extent, discriminatory”.

The heritage policy on CICs

By examining experience in Beijing and Shanghai, the heritage policy on CICs that combines industrial heritage conservation and creative industry has facilitated the adaptive reuse of abandoned industrial sites. Chou (2012) summarises the Beijing government’s efforts. They are: direct investment to the key creative industry sectors; special funding for the construction of infrastructure, and improvement of the local physical environment; as well as a ‘Beijing Resident Identity Card’ (Beijing jumin juzhu zheng) for talented workers. The governments’ efforts have generated an agglomeration effect in some of Beijing’s most notable CICs, attracting a growing number of artists,

52 artisans and design professionals (Yang et al., 2012). Besides, under the influence of the Shanghai government’s preferential strategy relating to its CIC policy 16 and ‘Three Non-changes and Five Changes’ policy 17, the CICs have increased rapidly in number across Shanghai, rising from 18 to 75 sites between 2005 to 2010 (Chen, 2010; O'Connor and Gu, 2014; Zheng, 2011; Zhong, 2007).

The establishment of CICs in Chinese mega-cities have some functional advantages, although, some studies criticise the policy for its commercial nature in pursuing economic gain. For example, Wang (2001) insists that for the Chinese authorities, culture gives impetus to, and serves as an index of economic growth. Using cultural policy, as well as providing cultural goods is just a consumption strategy for the convertibility of cultural resources into financial capital. Follow this line, examples of industrial heritage precincts in Chinese-mega cities show that the heritage policy on CICs is not conducive to the organic development of industrial heritage precincts. For instance, by examining experience in Shanghai, O’Connor and Gu (2006, 2014), Wang (2009), Zheng (2011, 2010), Zheng and Chan (2013, 2014) sense that the role of the CIC does little to boost local creative industry, since these spaces become largely commercialised. Chou (2012), Fung and Erni (2013) as well as Ren and Sun (2012) argue that the major functions of some notable industrial heritage precincts in Beijing have evolved from organic artist villages where artists pursued artistic creation to official CICs for showcasing the city’s cultural industry, developing a national cultural economy, and profiting from real estate development.

3.1.4 A Critique of Literature on the Chinese Context

Three broad issues concerning industrial land redevelopment in post-reform China have not been addressed by the above discussion. First, scholars have held a singular position about the forces driving brownfield restructuring, covering aspects of capital accumulation, entrepreneurial governance and sociocultural influences. This has raised a concern as to whether the factors influencing industrial heritage conservation and

16 Shanghai’s CIC policy: it allows the owners of land use rights to charge high commercial rents for industrial land without paying the fees for the formal re-designation (O’Connor and Gu, 2014). 17 Shanghai’s Three Non-changes and Five Changes policy: it involved maintaining ownership of premises, old building structures and land status by the old SOEs (three non-changes), while allowing changes in employment structure, management, type of tenants, form of business organization and enterprise culture (five changes) (Zheng, 2011). 53 reuse in urban China include a set of factors or just a singular one, as discussed in the literature in Table 3.1.

Second, the Chinese research provides a broad background related to the post-reform brownfield restructuring, namely, the switch from manufacturing industry to the real estate industry, the change of urban governance from managerialism to entrepreneurialism, and the change in the sociocultural environment. Nevertheless, there still exists knowledge gaps in understanding brownfield redevelopment outcomes in post-reform China. To begin with, the transformation of capital accumulation in the modes of production and consumption has resulted in the weakening of the state-led industry system, while in turn, driving the prosperity of the real estate industry in Chinese-mega cities. The literature offers little understanding about why the shift from state-driven to market-driven economies has caused spatial change, and how the transformation of capital accumulation results in the deteriorating industrial landscape in urban China. Existing studies have not provided any specific answers to the loss of industrial heritage in the process of brownfield restructuring. Furthermore, a normative and stereotypical perspective in existing literature on Chinese urban development focuses on the entrepreneurial endeavour of the state, and regards the state-capital coalition as the dominant forces driving the transformation of urban landscape in post- reform China. But whether the main actors in industrial land redevelopment projects can be grouped into similar categories, and whether the demolition of historic industrial buildings is driven by this power network has still not been answered. What is more, studies related to urban conservation link converting industrial sites into cultural uses to the strength of local artist communities, the rising nouveau riche along with its material consumption and CIC policy. Research attention has been paid to existing industrial heritage precincts and recognised the general impacts from the change in the sociocultural environment. But, it is still unclear how the change in the sociocultural environment shapes brownfield redevelopment outcomes, and whether this sociocultural influence accounts for the negative reality of industrial heritage conservation efforts.

Third, current studies do not address the reasons for the uneven landscape of industrial heritage conservation in urban China as presented in Chapter 2. Research attention has almost entirely been devoted to the ‘elite cities’ in East China, while ignoring the pattern of their development in West China. However, China itself is “a

54 complex universe” (Napoleoni, 2011, p.323) and huge differences exist across urban China, due to shifting political philosophies, as well as differing economic and cultural contexts in different regions. The interpretation arising from eastern regions thus cannot be directly applied to the situations of West China. The neglected studies on inland China reveals that the big picture of the average Chinese-mega city has not been fully drawn out.

It is thus necessary to conduct a systematic investigation of the forces driving brownfield regeneration projects in inland China to throw light on the above three issues. In order to comprehend the forces shaping the final project outcome, Carmona (2014) suggests taking a long-term view about place-shaping processes. “To understand it [a place-shaping] certainly requires an integrative understanding of historically and politically defined place and a long-term view of knowing and unknowing processes” (Carmona, 2014, p.34). Nevertheless, investigating place-shaping can be complex, as the non-linear process involves many elements, which is often viewed as “a ‘black box’ phenomenon”, rather “a ‘glass box’ process” (Carmona, 2014, p.34; Banerjee and Loukaitou-Sideris, 2011). Before conducting an investigation, it is important to draw on theoretical insights to guide the empirical research.

3.2 The Forces Driving the Production of Space under Neoliberalism

This section describes the absolute and relational thinking on space, and then presents the key findings from recent discussions on the production of space.

3.2.1 The Evolution of Thinking on the Interpretation of Space

The absolute versus relational debate around geographical space is well known – forming the backdrop to geography and its evolution (see Allen and Cochrane, 2007; Jones, 2009; and Buser, 2012, for a review of absolute and relational perspectives on space). In contrast to Euclidian interpretations which see space as a physical surface, relational perspectives see space as consisting of a complex set of networked ‘flows and relations’. In the view of relational thinking, the concern is to understand space as a product of overlapping social, political and economic relations, while showing little or no respect for the spatial boundaries imposed upon them (see Allen and Cochrane, 2007, for a review of relational interpretation of space).

In planning research, much contemporary city-regional analysis reflects a relational perspective on space. Allen et al., (2012) highlight an approach of which sees space as “constituted by the spatial relationships which stretch across them in a variety of ways” (p.5). Similarly, Massey’s (2005) insight is to understand space as “an open and ongoing production” (p.55). Nevertheless, recent studies (e.g. Buser, 2012; Jones, 2009) suggest that the so-called ‘relational turn’ is far from complete and is unable to account for the bounded reality of urban processes. Some empirical investigations (e.g. Harrison, 2010; Macleod and Jones, 2007; Morgan, 2007; Searle and Bunker, 2010) support the claim for the continuing relevance of territorial entitlements, namely that space is constrained by regional and subregional political-administrative boundaries. Following these lines, some authors (e.g. Buser, 2012; Jones, 2009; Macleod and Jones, 2007) have suggested avoiding the absolute or relational thinking on urban space.

In The Production of Space (English version), Henri Lefebvre (1991) offers a comprehensive theory through which to understand relations between space and social change. He characterised three dimensions of the concept of space as the experienced, the perceived, and the imagined, namely ‘material spatial practices’, ‘representations of space’ and ‘space of representation’ respectively. For Lefebvre (1991), space is not an innocent backdrop or neutral material substrate. Instead, space is a fundamental component of the capitalist mode of production and social domination. In this sense, as Buser (2012) argues, “space is not something which exists in itself – such as a platform or an empty vessel into which society is poured – but is instead dynamic, produced through social action and interaction over time” (p.281).

Lefebvre’s spatial theory was taken up with enthusiasm by the Marxist geographer David Harvey, who also avoided a view of space framed by a polarity of absolute and relational thinking, as he stated in the book Social Justice and the City (2009, p.13):

“Space is neither absolute, relative nor relational in itself, but it can become one or all simultaneously depending on the circumstances. The problem of the proper conceptualisation of space is resolved through human practice with respect to it. In other words, there are no philosophical answers to philosophical questions that arise over the nature of space - the answers lie in human practice.”

Lefebvre and Harvey consider space – in one way or another – as a social construction. Nevertheless, in contrast to Lefebvre, who argues that urban space reflects inherent social, economic and political relationship, Harvey tend to emphasise urban space as a product of social processes. Most of his studies contribute to unravelling the role of urbanisation in social change, in particular under capitalist conditions (Harvey, 1978, 1982, 1985, 1989b, 2009, 2010). This argument starts from his understanding of the urban process under capitalism (1978) in relation to Marx’s (1967a, 1967b) theory of accumulation. The essential Marxian insight is that profit arises out of the domination of labour by capital, and that its growth relies on capital accumulation (Harvey, 1978, 2010). The process of building up capital takes place in two ways: primitive accumulation and expanded reproduction (Marx, 1967a, 1967b).

Following Marx’s (1967a, 1967b) basic logic of capital accumulation, Harvey contributes by relating the Marxian concepts of capital accumulation to the built environment. Harvey (1978) argues that under the process of capital circulation, urban space tends to be produced in order to support capital accumulation. As demonstrated by Harvey’s (1978) theory of the three circuits of capital, the capital accumulation process is made up of three circuits. The primary circuit is related to manufacturing and industrial production, while the second circuit involves the production of fixed assets and the built environment. The tertiary circuit concerns science and technology as well as social expenditure in education and health. If over-accumulation occurs within the primary circuit of capital, then such a tendency could be overcome by channelling the capital into the secondary or tertiary circuit. The usual process of capital switching sees the flows of surplus capital into the built environment as a spatial fix to address over- accumulation crises. In the process of pinning down capital in the built environment, urban space arises, functioning as the physical framework for capital accumulation and circulation. Hence, to a Marxist geographer, space is part of the superstructure that nourishes the means of production, but also belongs to the means of production.

However, the urban planning scholar, Edward Soja, criticises Harvey’s approach as placing too much emphasis on labour and capital, which however, is not spatial enough - just considering space as a derivative of the mode of production (Obeng-Odoom, 2016). As with Lefebvre’s work The Production of Space (1991), Soja (1989, 2003) treats space as an expression of the structuring and structured context of social

57 relationships and past behaviour. Space is regarded as both the product and producer of social life (Soja, 2003). For Soja, the wider processes and broader influences, such as social relations and historical dimensions, should be considered in understanding urban spaces. Criticism of Marxist’s approach has also come from the institutionalists who are attentive to understand how institutions mediate and transformed by diverse social relations over time (Obeng-Odoom, 2016). The institutional/institutionalist analysis (Campbell, 1998; Hall and Taylor, 1996), and the institutional political economy approach (Streeck, 2010), point out that society and economy both affect each other, are closely intertwined and interdependent. The institutionalists consider cities not just as derivative or simply a product driven by surplus extraction and accumulation, but as part of wider socio-economic and political process, an outcome of interacting institutional processes (Obeng-Odoom, 2016, p.22), as well as a set of interrelated social institutions (Streek, 2010, p.137). Besides, Davies (2002) also raises the question: “can Marxism, or other theories, help in this task [to achieve a more sophisticated understanding of today’s cities]?” Indeed, it can be argued that Harvey’s approach has been successful in contributing more essential concepts for understanding cities, but also has its own limits (Obeng-Odoom, 2016, p.230). For a more developed understanding of cities, some urban political economists such as Frank Stilwell (1992, 2006) and Franklin Obeng-Odoom (2013, 2016) suggested keeping the Marxist’s approach but re-engaging critically with additional insights from a wider variety of political economy sources.

The above discussion on the production of space suggests that to understand the built environment, it is critical to examine its general process of production. The contribution of the Marxist geographer lies in relating capital accumulation to urban space. The work of Harvey serves as the general guiding framework for the rest of this thesis. However, given some criticism over the Marxist’ approach, this chapter also draws on theoretical insights from other related urban studies, such as the sociology literature, institutional analysis and urban design studies.

3.2.2 The Forces Driving the Production of Space

In regard to the key factors that dominate the outcome of urban space, Harvey (2001) points out clearly, that “the production, reproduction and reconfiguration of space have always been central to understanding the political economy of capitalism” (p.23-24).

Three groups of forces influencing the process of urban restructuring can be identified through the review of recent urban studies. The primary force is the role of capital accumulation. The second is the power distribution underlying it, while the third highlights the efforts undertaken by social classes to break social injustice.

Moreover, the forces driving urban restructuring need to be contextualised in the discourse of neoliberalism that swept across the world in the aftermath of the Second World War. Harvey (2007a, p.2) defines ‘neoliberalism’ as:

“a theory of political economic practices that proposes that human well- being can best be advanced by liberating individual entrepreneurial freedoms and skills within an institutional framework characterised by strong private property rights, free markets, and free trade”

The process of neoliberalism has entailed much “creative destruction” (Harvey, 2007b, p.33), not only of the direction of capital accumulation and the nature of power relations, but also of the relations between social classes. A manifestation of the above driving forces is discussed briefly below. Figure 3.1 and Table 3.2 summarises the forces driving the production of urban space.

Figure 3.1: The forces driving the production of urban space

Table 3.2: Summaries of the forces driving the production of urban space

Forces Emphasis Viewpoint Related research Capital Three circuits of capital Urban space is shaped by the laws of capital circulation. Harvey 1978 accumulation The role of capital in space Capital strives to produce a geographical landscape favourable to its own Harvey 2014 reproduction and subsequent evolution (Harvey, 2014. p.146). The contradiction of capital and Urban space is not a mere passive product that capital makes. It is a physical Harvey 1975, 2001 space landscape that manifests the contradictions of capital. Bentley 1999 The neoliberal turn of capital Neoliberalism has shifted capital’s development towards “privatisation and Harvey 2007a, 2007b, accumulation commercialisation”, and triggered a similar tendency to urban space. 2014; Roy 2001 Power relations Economic power of capital Money can be equated as “the social power of private persons” (Harvey, Harvey 1990 investor 1990, p.101). Political power of the state Urban space has been organised in a systematic way helped by the exercise of Harvey 1978, 1989a, state power (Harvey 1978, 1989a, 2014). 2014 The outcome of urban space is constrained by the institutional factors, such Campbell, 1998 as “the relative insulation and centralisation of political elites or the relationships between branches of government” (Campbell, 1998, p.380). Cultural power of the consumer Consumers’ tastes have a considerable impact in shaping new urban space. Zukin 2010; Hannigan 1998 A particular stakeholder group in Local authority providers; private developers / investors; Master planner; Carmona 2014 urban space Public space designers Lang 1994, 2005 The impact of neoliberalism on Deregulation, privatisation, and withdrawal of the state from providing social Harvey 2007a, 2007b power relations goods, as well as introducing entrepreneurial urban governance Major players in the city “step from the shadows into the forefront of capital's Harvey 2014 logic of accumulation” (Harvey, 2014, p. 267). The entrepreneurial city is logically normalised by neoliberalism. Zheng 2011 The efforts by Class struggle and space The class struggle is inscribed in space (Lefebvre, 1991, p.55). Harvey 1978, 1990 social classes Any struggle to reconstitute power relations is a struggle to reorganize their Lefebvre 1991 for breaking spatial bases (Harvey, 1990, p.238). injustice Shifts in the objective qualities of space and time, in short, can be, and often are, effected through social struggle (Harvey, 1990, p.227). Social injustice caused by The key aim of neoliberalism is to reconstruct elite wealth and power Piketty 2014 dispossession Neoliberalism has generated social injustice through ‘accumulation by Harvey, 2007a, 2007b, dispossession’. 2008a, 2008b Endeavours seeking ‘the right to A bottom-up claim for equal citizenship on behalf of underprivileged social Harvey 2008a, 2008b; the city’ groups is formulated to break social injustice. Lefebvre 1996 60

3.2.3 Urban Space and Capital Accumulation

A centrepiece of Harvey’s academic concerns has been to reveal the role of capital in shaping urban space, as explicitly presented in his publications. In The Geography of Capitalist Accumulation: a Reconstruction of the Marxian Theory (1975), it is pointed out that accumulation is “the engine which powers growth under the capitalist mode of production” (Harvey, 1975, p.9). In Seventeen Contradictions and the End of Capitalism, Harvey (2014) states that the geographical landscape of capitalism is heavily influenced by various technical, economic, social and political contexts. Nevertheless, among all these diverse factors, priority needs to be accorded to “a combination of the molecular processes of endless capital accumulation in space and time” (Harvey, 2014, p.146). Harvey insists that “capital strives to produce a geographical landscape favourable to its own reproduction and subsequent evolution” (Harvey, 2014, p.146). The relationship between capital and urban space can be understood this way: urban space is not a mere passive product that capital makes, but instead, a physical landscape that manifests the contradictions of capital, or conversely, could affect capital accumulation (Harvey, 2014).

First revealed by Marx and further explored by Harvey, the central contradiction of capital is manifested between fixity and mobility of capital. For one thing, the accumulation of capital relies on fixed capital, as it normally enhances the productivity of labour. Yet, on the other hand, the mobility of capital is a key contributor to capital accumulation, as speeding up its circulation could generate more profits (Harvey, 1975). By introducing the term of ‘spatial fix’, Harvey (2001) reveals that the built environment has the same contradictory tendencies.

The term ‘fix’ has two disparate meanings. Firstly, there is a sense of capital being secured in place, and secondly, there is the notion of the mobility of capital. Correspondingly, the notion of spatial fix has two meanings – one highlighting geographical concentration, the other emphasising geographical expansion (Harvey, 2001). For Harvey (2001), urban space is a key site for “seeking to resolve the crisis tendencies of capitalism through the production of space” (p.28), as well as “pinning down large amounts of capital in place through the production of fixed and immobile capital in the built environment” (p.28). Similarly, as Bentley (1999) summarises, the built environment is manifested in two ways: one as “a commodity which is itself

61 produced directly for profit”, while the other acts as “a physical setting which affects the profitability of the production, distribution and exchange of other commodities of all sorts” (p.66). In other words, these two kinds of the built environment are closely interdependent to stimulate symbiotic forms of accumulation (Harvey, 2001).

In addition, the role of neoliberalism in capital accumulation has changed the direction of capital’s development towards increasing privatisation and commercialisation (Harvey, 2014). It is concerned with opening up new fields and opportunities for capital accumulation in the popular realms formerly held by the state (Harvey, 2007b). Through the transfer of productive public assets from the state to private domains, formerly public realms have been privatised and commercialised to some degree.

In summary, capital represents itself in the form of a physical landscape created in its own image to enhance further accumulation (Harvey, 1978). Urban space is not only produced (referring to the first meaning of geographical concentration) to create new opportunities for the sake of direct accumulation, but, is also fixed (referring to the second meaning of geographical expansion) which is favourable to the subsequent reproduction of capital. The drift to neoliberalism has shifted capital accumulation towards increasing privatisation and commercialisation, which is also exacerbated in urban space.

3.2.4 Urban Space and Power Relations

The above discussion focuses on the contribution of capital to the production of urban space. Nevertheless, the impact of power relations must be considered, as reviewed from the literature on urban geography, sociology and urban design.

Insights from the urban geography literature

As an urban geographer, Harvey in The Condition of Postmodernity (1990) regards the ability to influence the production of space as an important means to social power. He explains that power relations are always implicated in spatial and temporal practices. The domination and control of space reflects how individuals or powerful groups dominate the production of space (Harvey, 1990, p.222) and how a wide range of different actors with different objectives and agendas interact (Harvey, 1989a, p.5). The

62 power to organise space derives from a whole complex of forces mobilised by diverse social agents (Harvey, 1989a). Harvey highlights two types of powerful groups: the state and capital investors; and their corresponding power forms: the economic power of capital investors (Harvey, 1990) and the political power of state regulations (Harvey, 2014).

The economic power of capital investors. Harvey (1990) points out that money could be equated with “the social power of private persons” (p.101). It not only “confers the privilege to exercise power over others”, but also “fuses the political and the economic into a genuine political economy of overwhelming power relations” (Harvey, 1990, p.102). Concerning its impact on urban space, financial power has triggered the rise of “new but equally oppressive geographical systems for the containerization of power” (Harvey, 1990, p.257), embedding the private property rights of capital investors in urban space.

The political power of state regulations. Space has been organised in a systematic way helped by the exercise of state regulations. Harvey (2014, p.155) explained the political power of state regulations:

“The state is a bounded territorial entity formed under conditions…which is a fundamental feature of the geographical landscape. Within its territory, the state has a monopoly on the legitimate use of violence, sovereignty over the law and the currency, regulatory authority over institutions (including private property) … the power to tax and redistribute incomes and assets.”

Campbell (1998) takes the viewpoint on the political power of state regulations one step further. The outcome of urban space is considered to be constrained by institutional factors, such as “the relative insulation and centralisation of political elites or the relationships between branches of government” (Campbell, 1998, p.380).

Insights from the sociology literature

Some sociology studies explore the relationship between power and place. For instance, Dovey (1999) investigates how power is mediated in the built environment and views built environments as an expression of power in both a positive and negative

63 way. For Dovey (1999), “places are programmed, designed and built by those with the power to do so” (p.194). Against the view that power over urban space is just financial or political, Zukin (2010) highlights that urban space is also shaped by the cultural power of the media and that of consumer’s taste. Cultural power mainly refers to the public consumption of both material and cultural products of their choice, including places for entertainment. In her influential book The Cultures of Cities, Zukin (1996) coins the concept of ‘symbolic economy’ to trace the connections between real estate investment and cultural capital, such as tourism, media and entertainment. Together with Zukin (2010), Hannigan (1998) suggests that consumers’ tastes play a crucial role in guiding how capital investors shape and reshape urban space, which trigger the growth and even evolution of new urban spaces. Zukin (2010) thus argues that “all of these factors now shape the struggle to control the city’s future” (p.xiii).

Insights from the urban design literature

By focusing on urban design projects, urban designers such as Lang (1994, 2005), Punter (1999) and Carmona (2014) summarise a particular stakeholder group involved in the design process of urban space. For instance, Lang (1994, p. 457) regards developers and investors as one of the most powerful groups in urban design projects. By tracing two major aspects of financing projects: the capital costs, and the operating cost, Lang (2005, p. 33-34) proposes fundamental questions, including: “’where does the money come from?’ and ‘who pays for what?’ [as well as] ‘what is the cost of the money?’” For Lang (1994, 2005), the funding of projects is considered to be as an essential factor in the decision-making process. By reviewing design guidelines in American cities, Punter (1999, p.208) highlights that a good outcome of urban design projects requires positive planning initiatives, a non-partisan government, a stable business community, strong participation of community planning, as well as the support of city officials. Through investigating fourteen cases in London, Carmona (2014) identifies four types of stakeholders in shaping London’s public space. They included (Carmona, 2014, p.31):

(1) Local authority providers with the regulatory, development, funding and management powers in one place; (2) Private developers/investors with the funding power;

(3) Master planners with the power of creating marketable solutions to the development, contextual and regulatory constraints, and maximising investment returns; (4) Public space designers, such as landscape designers, architects and other detailed designers, with the power of designing or redesigning space to maximise space amenity: aesthetic, social and functional.

Power relations towards entrepreneurialism

Harvey (2007a, 2007b) argues that the rise of neoliberalism has generated a sense of entrepreneurialism into the power relations between major players in the city. Neoliberalism seeks to bring all human actions into the domain of the market, in which powerful groups “step from the shadows into the forefront of capital's logic of accumulation” (Harvey, 2007a, p.267) and adopt a “growth-first” approach to urban development (He and Wu, 2009, p.282). In response to neoliberalism, urban governance has shifted from managerialism to entrepreneurialism (Harvey, 1989a), namely, local governments taking “an entrepreneurial stance to economic development” (Harvey, 1989a, p.4). Harvey (2007b, p.22) pointed out the role of the state under neoliberalism:

“the state has to be concerned with the quality and integrity of money. It must also set up military, defence, police, and juridical functions required to secure private property rights and to support freely functioning markets. Furthermore, if markets do not exist (in areas such as education, health care, social security, or environmental pollution), then they must be created by the state action if necessary”

One consequence of entrepreneurial governance is that the success of a particular state is often measured by “the degree to which it captures flows of capital, [and] builds the conditions favourable to further capital accumulation within its borders” (Harvey, 2011. p. 197). In this sense, the role of the state has been reoriented to explore new ways of promoting economic development and facilitating employment growth (Zheng, 2011). Urban government has been geared towards the provision of a good business climate and construction of places to attract investment capital into the city as well as

65 enhance economic competitiveness (Harvey, 1989a; Jessop and Sum, 2000; Zheng, 2011).

Moreover, major players in the city come together and form a pro-growth coalition, also termed as a ‘state-finance nexus’ by Harvey (2011). The entrepreneurial city has been a crucial result of this process. The new urban entrepreneurialism rests on a public- private partnership designed to promote investment and economic development (Harvey, 1989a). The city is thus branded as a place to play and consume, through image improvement, refurbishment and place-marketing initiatives (Zheng, 2011).

In summary, the above discussion draws on insights from a wide variety of urban studies for a better understanding of power relations and urban space. The overlapping concepts of power relations in the urban geography, sociology and urban design literature demonstrate the forms of power and their roles in shaping urban space, as well as the entrepreneurial nature of power relations under neoliberalism. Applied to this thesis, attention will be given to the economic power of capital investors, political power of state regulations, and cultural power of consumers, as well as the specific stakeholders involved and their specific roles in brownfield regeneration projects in Chongqing. It will also examine whether neoliberalism has exerted a similar entrepreneurial sense to power relations in the Chongqing context.

3.2.5 Urban Space and the Rise of Social Movements

The formation of urban space is concerned with social movements seeking for ‘the right to the city’ (Lefebvre, 1996; Harvey, 2003, 2008, 2012). This argument starts with Harvey’s conceptualisation of class struggle. Harvey (1978) defined the notion of ‘class struggle’ as the relations between labour and the capitalist class, namely, the conflict between the demands of the working class and the nature of bourgeois responses (p.124). By examining the link between urbanisation and capitalism, Harvey (2003, 2008, 2010) argues that urbanisation is a class phenomenon, since surpluses are extracted from labour, while the control over money and its disbursement lies in the hands of the capitalist class. The term class struggle was further applied to social movements struggling for collective rights (Harvey, 1978, 2008, 2010). It can be understood in Lefebvre’s (1996) and Harvey’s (2003, 2008, 2012) discourse on the right to the city, that there exists a bottom-up claim for egalitarianism by underprivileged

66 social groups. Given that spatial and temporal practices are never neutral - always expressing some kind of class (Harvey, 1990) - efforts by certain groups often emerge, seeking for social and spatial justice.

The publications by Soja (2010) and Marcuse (2010) take the work on the right to the city one step further. These authors contribute by analysing the role of social movements and efforts in shaping urban space, and exploring the relationship between social and spatial injustice. Marcuse (2010) considers spatial injustice as derivative but causal of social injustice. Soja (2010), on the other hand, argues that spatial injustice is “a way of looking at justice from a critical spatial perspective” (p.60). Although these scholars hold different viewpoints on social and spatial injustice, both acknowledge that ‘the right to the city’ can serve as an essential concept to understand cities (Iveson, 2011).

In interpreting the ‘right’ issue, Harvey addresses his influential discourse – ‘accumulation by dispossession’ – to explain social injustice caused by the ascent of neoliberal policy (Harvey, 2003, 2007a, 2007b). The key aim of neoliberalism is to reconstruct elite wealth and power (Piketty, 2014). Harvey (2007b) argues that “if the main effect of neoliberalism has been redistributive rather than generative, then ways had to be found to transfer assets and channel wealth and income either from the mass of the population toward the upper classes or from vulnerable to richer countries” (p.34). For better financial return, dominant stakeholders have adopted entrepreneurial approaches – such as the introduction of greater flexibility into markets, a deregulation of financial constraints by the states, and the formation of a pro-growth coalition (Harvey, 2007a, 2007b). The ongoing process of accumulation by dispossession has generated many questions, especially the commodification and privatisation of land, and the conversion of common property rights into exclusively private property rights (Harvey, 2007b, p.34). A crucial result of these neoliberal practices is social inequality and spatial injustice, as demonstrated by the displacement of low-income inhabitants in central London, New York City and urban China. For Harvey (2008, p.34), it is

“A process of displacement and what I call "accumulation by dispossession" also lies at the core of the urban process under capitalism. It is the mirror image of capital absorption through urban redevelopment and is giving rise to all manner of conflicts over the

capture of high value land from low income populations...Financial powers backed by the state push for forcible slum clearance, in some cases violently taking possession of a terrain occupied for a whole generation by the slum dwellers”.

In order to break social injustice, struggles against dispossession are formulated by disadvantaged groups or through neutral social organisations. As Harvey (2007b) observes, some seek to “de-link wholly or partially from the overwhelming powers of neoliberalism and neo-conservatism” (p.40), while others seek “global social and environmental justice by reform or dissolution of powerful institutions” (p.40). Less politicised international organisations caring for social justice and common welfare have been established. The goal of these organisations is to encourage urban policies that promote justice, sustainability, and inclusion in cities (Purcell, 2014). For instance, the special issue of CITY, ‘Cities for People, not for Profit’, underscores human social needs, rather than profit-making, as the priority of constructing cities (Brenner et al., 2009).

A general conclusion could be ventured that shifts in the urban space are often related to the social efforts behind them (Harvey, 1990). The above discussion highlights that ‘the right to the city’ can serve as a critical approach to look at social justice, and as an essential perspective to understand urban spaces. The work on the right to the city stresses the need to consider whether accumulation by dispossession takes place, whether struggles against profitability have emerged, and how these efforts influence urban spaces.

3.3 Relevance of the Production of Space under Capitalism to Chinese Cities

Western theories under capitalism are not equivalent to the socialist case, due to its ideological uniqueness. Indeed, the political-economic and socio-historical contexts of Chinese cities differ greatly from Western countries, and urban growth in China has some characteristics of the socialist city distinct from capitalist cities (Lin, 2007; McGee, 2009; McGee et al., 2007). McGee (2009) and other prominent scholars (McGee et., al, 2007) thus point out that Western theories “while offering useful insights into the urbanisation process are inadequate” (McGee et., al, 2007, p.9l).

The above theories on the production of space are not wholly applicable to the socialist city because all the arguments are based on explicitly ‘capitalist’ criteria. In fact, the above framework highlights the logic of political economy thinking, in which money is the key factor. Wu (1997) argues that political economy thinking is not only relevant to analyses of capitalism, but, indeed, to any political-economic system including the socialist city. Wu (1997) explains that political economy thinking “comprehends cities in a unified theoretical instance and transcends the ideological ‘uniqueness’ of specific social forms” (p.4) and the building of a socialist city “cannot be isolated from the basic operation of its economy and related capital movement” (p.6). Together with Wu18, authors like Peck and Zhang (2013), and Hamilton (1985) also regard China as a ‘special’ case, rather than a ‘unique’ case, which has similar characteristics to western capitalism but also has its own context. Hamilton (1985, p.207) argues that China is an independent vision rather a mirror image of the West and thus must be understood in its own terms. The following is a brief depiction of the application and limitations of the framework derived from Western theories to Chinese cities.

To a certain extent, city growth parallels the process of neoliberalism in western capitalism, and resembles the processes accompanying the movement to neoliberal solutions in post-reform China. Since Deng Xiaoping envisioned economic reform changing from a ‘planned economy’ to a ‘market economy with Chinese characteristics’ in 1978, various changes with the single goal of developing the national economy have occurred. These included the reform of the fiscal system, institutions, administration decision-making, land use systems, housing provision and urban planning. These reforms have impacted China’s economic-political and socio-cultural structure. Similar with western capitalism, China has moved towards neoliberalism, and facilitated shifts in capital accumulation towards marketisation, governance towards entrepreneurialism, and by redefining social class.

However, substantially different from the capitalist counterparts, features from the pre-reform system still exist in today’s China. Strict state supervision (Harvey, 2007a, 2007b), also called the control of a party-state (Lin, 1999, 2000; McGee et al., 2007), remains the key spirit of China’s neoliberalism. Post-reform China has seen the

18 Interview with Professor Fulong Wu from University College London (Sun and Qin, 2016) 69 construction of a particular kind of market economy that incorporates neoliberal elements intertwined with authoritarian state control, which has been referred to as ‘neoliberalism with Chinese characteristics’ (Harvey, 2007a, 2007b). This is expected to maintain social stability, because this mechanism can mitigate the adverse effects of the redistribution of administrative power and economic benefits entailed in the reform process (Zhu, 2005). Scholars like McGee et al., (2007, p.50) emphasise ‘a form of hybridity’ in Chinese urbanism, namely, showing some similarities to Western cities, but having been deeply influenced by the socialist legacy. The co-existence of the old and new system and the dual track nature of urbanisation in China (Lin and Ho, 2005; McGee et al., 2007; Nee, 1992; Shen, 2006; Yeh, 2005) suggest that Western theories cannot be applied directly.

To sum up, theories on the production of space under capitalism conditions shed light on the understanding of the critical issue leading to the outcome of urban space in post- reform China. In this sense, while accepting this broad framework, the forces driving the production of urban space in China can be grouped into three similar categories. However, these categories need to be understood through the Chinese context. Table 3.3 summarises the forces driving the production of space in western cities and Chinese cities.

Table 3.3: Comparison of the forces driving the production of space between western cities and Chinese cities

Forces Western cities under Neoliberalism Neoliberalism with Chinese characteristics Capital Shifted from the Fordist to post-Fordist mode of production and Shifted from state-led industrialisation to an urban-based regime of accumulation regime of accumulation (Lever, 2001) accumulation (Lin, 1999; Wu, 2008, 2009) Marketisation characterised by the domain of the market and Marketisation characterised by the interplay of market force and state minimisation of state intervention (Harvey, 2007a, 2007b) intervention (McGee et., al, 2007; Yeh, 2005; Yeh et al., 2015) Capital’s development shifts towards privatisation and Increasing privatisation and commercialisation with dual land market commercialisation (Harvey, 2007a, 2007b, 2014) system: land owned by the state in name, while the land use rights could be transferred by market mechanisms (Yeh and Wu, 1996; Yeh, 2005) Power relations Entrepreneurial urban governance (Harvey, 1989a, 2007a, Entrepreneurial stance of local government (He, 2007; He and Wu, towards 2007b) 2005, 2009; Qian, 2011; Shin, 2009; Wu, 2002, 2003, 2015, 2015; Wu entrepreneurialism et al., 2007) Deregulation, privatisation and withdrawal of the state from Decentralisation of power: greater local autonomy in the social provision (Harvey, 2007a, 2007b) administrative and fiscal system (Cartier, 2005) State regulation of and participation in the market (Ma and Wu, 2005) Entrepreneurial city approach Entrepreneurial city approach (Jessop and Sum, 2000; Wu, 2003; Zheng, 2010, 2011; Zheng and Chan, 2014;) Efforts by social The rise of creative class (Florida, 2002) The rise of creative class (Florida et al., 2008, 2012; Wang, 2004) classes to demand The rise of new bourgeoisie and new petite bourgeois involved The rise of nouveau riches who have benefited from the reform and ‘the right to the in the new economy (Shen and Wu, 2012) through accumulation by dispossession (Shen and Wu, 2012) city’ The rise of entrepreneurial class (Chen, 2012) Some social injustice caused by accumulation by dispossession Some social injustice caused by accumulation by dispossession (Harvey, 2007a, 2007b) Social inequality aggravated by the existence of city residency control (Wang and Liu, 2016), the formulation of regional development policy (Goodman, 2004; Lin, 2007), and rapid urbanisation (He and Wu, 2009; Shin, 2016; Wong and Liu, 2016) Social movements followed against accumulation by Social movements followed against accumulation by dispossession dispossession, as well as the entrepreneurial sense of power (Harvey, 2003, 2008) relations (Harvey, 2003, 2008, 2012). The weakness of civil society (Chen, 2012) and the lack of private property rights (Harvey, 2008) account for some of the failure of social movements.

3.4 The Urban Policy Mobility Perspective

The above discussion on the relevance of the production of space under capitalism to Chinese cities shows that the forces driving the production of space in post-reform China must be understood in their own terms. Investigating the process of the production of space, in fact, does not run smoothly, as the process may involve too many heterogeneous actors. To clarify the key components of the non-linear process, an approach of urban policy mobility was brought into the conversation together with theories on the production of space.

Key insights were drawn from urban policy mobility theory. This theory focuses on examining how mobilised knowledge – that includes (i) policies, (ii) ideologies or justifications, (iii) attitudes and ideas, and (iv) negative lessons (Stone, 1999, 2001) - is structured by the local contextual constraints. The urban policy mobility literature sheds light on investigating the place-shaping process. First, the concepts of ‘learning’ and ‘mutation’, as well as the role of ‘transfer agents’ are highlighted. Second, the social- cultural conditions and the political-economic system are considered as local intervening factors that contribute to the change of an imported idea.

3.4.1 The Process from Learning to Mutation

Urban policy mobility theory was developed from the policy transfer literature that considers how and why planning knowledge and practice spread between different regions (Dolowitz and Marsh, 1996, 2000; Hoyt, 2006; Khirfan, 2011; McCann, 2010; McCann and Ward, 2012; Stone, 1999, 2001, 2004; Ward, 2000, 2003, 2005). The notion of policy transfer was defined as “a process in which knowledge about policies, administrative arrangements, institutions etc. in one time and/or place is used in the development of policies, administrative arrangements and institutions in another time and/or place” (Dolowitz and Marsh 1996, p. 344). It also refers to the practice of national policymaking elites who “import innovatory policy developed elsewhere in the belief that it will be similarly successful in a different context” (Stone, 1999, p.52). Stone (1999, p.52) divided the concept of policy transfer into “the voluntaristic activity of lesson-drawing” and “ideas of coercion”. “The voluntary activity of drawing lessons” is a result of the free choices of a political actor. “Ideas of coercion” are a consequence of structural forces, that is a government or supranational institution pushing, or forcing,

72 another government to adopt a particular policy (Dolowitz and Marsh, 1996, 2000; Stone, 1999, 2001).

The policy transfer literature answers “who learns what from whom” (Dolowitz and Marsh, 1996), that is, why, when and how governments use policy transfer and what consequences it may have (Lee and Hwang, 2012). Emerging policy mobility studies have many similarities with the policy transfer literature, but also, some critical points of difference. The policy transfer literature focuses on understanding the process of policies and practices move from one region to another, especially the agents involved and the process of decision making by the agents (Stone, 2001, p. 8). The policy mobility literature adds an understanding of policy modification – that is, “the form and function of such polices is prone to change as they are translated and re-embedded within and between different institutional, economic and political contexts (at the local and national scales)” (Peck and Theodore, 2001, p.427). As McCann (2011) summarises, the mobility approach concerns “how local policy actors engage with global communities by learning and teaching about models and ‘best practices’, how these models are mobilised, how they are changed along the way, how these mobilities are socially conditioned, and how they shape specific places as well as regional, national and global geographies” (p.143).

Therefore, the mobility approach emphasises that the policy that remains is not simply a product of “the voluntaristic and natural movement of objective ‘best’ practices”, but the result of “the complex, selective and multilateral circulation of policy knowledge” (Lee and Hwang, 2012, p.2820). In short, the mobilised policy outcomes can be understood as a consequence of processes including ‘learning’ and ‘mutation’. ‘Learning’ refers to a new policy imported from elsewhere and then translated through local influences. ‘mutation’ refers to the policy outcomes are forged as complex hybrids due to negotiations between advocates and opponents of the policy within the local context (Lee and Hwang, 2012; Peck and Theodore, 2010).

In addition, in both the policy transfer and mobility literature, the role of key actors in the process of policy travel is highlighted. McCann (2008) examined how experts mobilise policies and knowledge from city to city – to be specific, “how urban policy actors are engaged in mobilizing policies by utilizing expertise, invoking authority and/ or legitimacy, and conducting their daily activities”; and, how this process is mediated

73 through an array of multi-scalar institutions (p.887). Key actors engaged in the policy transfer process are referred to as “transfer agents” by Stone (2004), including “think tanks or research institutes, consultancy firms, philanthropic foundations, university centres, scientific associations, professional societies, training institutes and so forth” (p.556). In a similar vein, Dolowitz and Marsh (2000) highlight the role of political actors, including “selected officials, political parties, bureaucrats/civil servants, pressure groups, policy entrepreneurs and experts, transnational corporations, think tanks, supra-national governmental and nongovernmental institutions and consultants” (p.10). Applying these roles and principles to this study, the empirical investigation in Chongqing needs to pay close attention to the role of the transfer agents noted above in the process of idea adoption and mutation.

3.4.2 The Intervening Factors as Context

In contrast to the apolitical view of the study of policy transfer, the mobility approach devotes attention to the socio-cultural conditions and the political-economic system that shapes the change to an imported policy (Lee and Hwang, 2012; McCann, 2011; Peck and Theodore, 2001, 2010). Peck and Theodore (2001) highlight institutional, economic and political contexts at both local and national scales as being critical to identify the intervening factors. Similarly, Lee and Hwang (2012) emphasise the dynamic politics and power relations behind the process of policy transformation. Mindful of these issues, the empirical investigation in Chongqing needs to be aware of any local intervening factors that shaped the final outcomes of heritage projects.

3.4.3 Implication of the Urban Policy Mobility Approach to Empirical Investigation

Following the above insights from urban policy mobility theory, this research sees Chongqing as a “policy borrower” (Lee and Hwang, 2012, p.2831), namely, the receiver of unidirectional transfer flows. The idea of ‘adaptive reuse of industrial heritage for cultural purposes’ is regarded as a ‘mobilised policy’, while the process of policy mobilisation in Chongqing is divided into ‘learning’ and ‘mutation’. ‘Learning’ refers to the process of the industrial heritage reuse idea imported from international and Chinese precedents and adopted in Chongqing, while ‘mutation’ refers to the

74 modification of the imported idea in response to Chongqing’s economic, political and cultural conditions.

3.5 The Theoretical Framework

A theoretical framework has been built by drawing on theories on the production of space and the urban policy mobility perspective. Section 3.2 discussed theories on the production of space under capitalism conditions and drew on insights from Harvey’s work and other related urban studies. The work of Harvey on the role of capital accumulation on urban space, urban governance under neoliberalism, and accumulation by dispossession as well as Harvey’s and Lefebvre’s discourse on the right to the city serve as the general guiding theoretical framework for this thesis. The concepts of capital accumulation, class, social justice, neoliberalism based on Harvey’s work are essential for understanding of the production of space. However, given some criticism of the Marxist’ approach (e.g. Obeng-Odoom, 2013, 2016; Soja, 2003), this framework has engaged critically with additional insights on power relations and urban space from related sociology and urban design literature. Given the complexity of investigating place-shaping, Section 3.4 incorporated the urban policy mobility perspective to guide the empirical investigation. Drawing on insights from the mobility perspective, two concepts - learning and mutation - can be applied to interpret the process of the formation of industrial heritage space. This approach also stresses the need to understand the change of an imported idea as an outcome mentioned by local contextual constraints.

Together, this theoretical framework offers four features. They are (1) the importance of examining the process of learning and mutation; (2) the importance of examining the role of capital accumulation on urban space under neoliberalism; (3) the influence of the economic power of capital investors, political power of state regulations, cultural power of the public, as well as the specific stakeholders involved and their roles in shaping urban space; and (4) the need to consider social movements or efforts for breaking social injustice caused by accumulation by dispossession.

3.6 Summary

This chapter has reviewed the literature on industrial land redevelopment in post- reform China, and developed the theoretical framework. Existing Chinse studies in Section 3.1 reflects a singular viewpoint on the forces driving industrial land redevelopment, covering aspects of economic restructuring, entrepreneurial governance and sociocultural influences. In response to this debate, it is necessary to conduct an empirical investigation of brownfield restructuring in Chinese-mega cities. The second part of this chapter developed a theoretical framework by combining theories on the production of space and the urban policy mobility perspective.

The remainder of this thesis will examine how industrial heritage conservation ideas have been adopted and mutated in Chongqing. The analysis will identify the reasons for the negative results of heritage conservation practice in inland China. Thus, Chapter 4 will present the single case study approach; justify the choice of Chongqing as the investigation city and the CSF as the empirical case; and present the methods of data collection and analysis.

Chapter 4 Research Approach and Methodology

The research approach and methodology are presented in this chapter. Following the theoretical insights from urban policy mobility theory, this chapter introduces the single case approach, and the detailed methods of data collection and analysis. The Chongqing Steel Factory (CSF) is chosen as a single case study, with mixed-methods research including semi-structured interviews, popular press reviews and documentary analysis. The data gathered were analysed qualitatively by a thematic network using Nvivo qualitative data management, MindManager Mind Mapping and NodeXL network mapping software.

4.1 Overview

Chapter 3 justified the value of urban policy mobility theory for this study as this theory stresses useful insights to guide the empirical investigation in Chongqing. From the policy mobility perspective, the evident gap between the ideals and the reality of industrial heritage reuse in Chongqing reflects the influence of local contextual constraints. Applied to the empirical investigation in the CSF project, attention is paid to understanding the origin of the industrial heritage conservation idea and its mutations as a result of local conditions.

For the main research question - What factors influenced the change from conception to implementation of adaptive reuse of industrial heritage as cultural clusters in Chongqing, primary attention needs to be given to examine local contextual constraints shaping the outcome of heritage conservation efforts in Chongqing. For the subsidiary questions in the case of the CSF project.

SRQ1 Where did the idea come from: to what extent did it draw from international and/or Chinese precedents? Attentions need to be given to examining the origin of the industrial heritage reuse idea, including the reasons for idea adoption, the process and the role of key players involved.

SRQ2 How did the idea change: what is the process that has driven change in the proposal for the industrial waterfront regeneration project in Chongqing? Attention needs to be placed on the process of how the cultural idea is altered and transformed by the negotiations between advocates and opponents of industrial heritage reuse in Chongqing.

SRQ3 Why did the idea change: what are the local intervening factors that have shaped the outcomes of the project in Chongqing? Investigation is needed on the intervening factors that shaped the final outcome of the CSF project.

A summary of the empirical investigations conducted on policy transfer and policy mobility in Table 4.1, shows that the case study approach has been widely used with mixed methods, especially interviews with key stakeholders, document analysis and review of popular press and academic literature. Applied to this thesis, a single case study approach with mixed methods is used, as explained in detail in the next sections. Figure 4.1 demonstrates the methodological framework for this research.

Figure 4.1: Methodological framework for the Chongqing Steel Factory case study approach

Table 4.1: List of methods, approaches used in some empirical investigations of policy mobility and policy transfer

Reference Research focus Approach Research method

Barber (2013) Policy mobility: Single case Qualitative methods: It applies the global-relational frame developed on study Interviews, participant observation at public meeting and urban policy mobility to heritage in Hong Kong. workshops, analysis of government documents, both contemporary and archival, and the print media Bok (2014) Policy mobility: Single case Qualitative methods: It examines the policy mobility implication of study Interview with senior policy makers, discourse analyses of Singapore Changi Airport by exploring its various Changi-related documents, including policy brochures construction, travels, and consumption. published by Changi, government reports and academic literature González Policy mobility: Two-case Qualitative methods: (2011) It studies how the Bilbao and Barcelona models study Semi-structured interviews with local authorities, scholars, travel and mutate in the global flows of policy tourists, discourse analysis of the regeneration agencies’ policy tourism. reports and academic literature Hoyt (2006) Policy transfer: Multi-case Qualitative and quantitative methods: It reveals the origins of the Business Improvement study Surveys and semi-structured interviews with BID managers, District (BID) model, why and how it was public and private service providers and government officials, successfully transferred to other countries and the Review of BID enabling legislation, public hearing transcripts, types of conditions that prevent its adoption. scholarly papers, newspaper articles, trade magazines and conference proceedings Lee & Hwang Policy transfer: Single case Qualitative and quantitative methods: (2012) It examines the city government of Seoul’s attempts study Interviews, archival analyses, site visits, content analysis of the at the policy transfer of creative cities programmes. mayor’s speeches and longitudinal data from annual budget reports Macleod Policy mobility: Single case Qualitative methods: (2013) It draws on recent theories on policy mobility to study Discourse analyses of documents and academic literature. investigate the planning of a New Urbanist settlement in the Scottish Highlands. Zhang (2012) Policy mobility: Single case Qualitative methods: Treating Shenzhen as a policy importer and exporter, study Discourse analyses of documents and academic literature. it examines how the Shenzhen Special Economic Zone was formed. 79

4.2 A Single Case Study Approach

The value of the case study approach was acknowledged by Crowe et al., (2011), Stake (1995, 2000, 2005, 2008, 2013), and Yin (1981, 1999, 2003, 2009, 2011). The case study approach is defined as “a research approach that is used to generate an in- depth, multi-faceted understanding of a complex issue in its real-life context” (Crowe et al., 2011, p.1); and “an empirical inquiry that investigates a contemporary phenomenon in depth and within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident” (Yin, 2009, p.18). The case was defined by Miles and Huberman (1994) as, “a phenomenon of some sort occurring in a bounded context” (p.25). In summary, a case study approach is used to explore and explain a phenomenon in its context and also to gain an in-depth understanding of its nature (Crowe et al., 2011; Denscombe, 2014; , Eisenhardt, 1989; Punch, 2005; Stake, 2000; Yin, 2003).

4.2.1 Reasons for the Case Study Approach

The case study approach is adopted in this research for the following reasons. First, according to Yin (2009), a case study should be considered when the focus of the study is to answer ‘how’ and ‘why’ questions. Similarly, Crowe et al., (2011) also stated that “the case study approach lends itself well to capturing information on more explanatory ‘how’, ‘what’ and ‘why’ questions” (p.4). This main research question is concerned with investigating ‘what’ local intervening factors influenced the change from conception to implementation of adaptive reuse of industrial heritage for cultural clusters in Chongqing. The focus of this study is to figure out ‘how’ and ‘why’ the heritage reuse idea change in Chongqing. The case study approach helps analyses the intervening factors influencing the adjustment of the heritage reuse idea in Chongqing.

Second, Yin (2009) argues that the case study is “an empirical inquiry that investigates a contemporary phenomenon in depth and within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident” (p.93). The case study approach enables the researcher to understand the phenomenon of the wholesale demolition of industrial heritage in inland China, and the uneven heritage conservation outcomes in urban China, as presented in Chapter 2. The case study is also valuable here as it allows the in-depth analysis of the economic,

80 cultural and political context behind this phenomenon of industrial heritage reuse in urban China.

4.2.2 Reasons for the Single Case Study Approach

After determining the value of the case study approach, it is necessary to consider what type of case study needs to be conducted. A variety of case studies are characterised by Stake and Yin using different terms. Stake (1995, 2000, 2005, 2008) broadly categorises case studies into three types: intrinsic, instrumental and collective. In the intrinsic case study, the case’s own issues and contexts are the key concerns. In contrast, the instrumental case study is to understand the general problem and a generic phenomenon, not the case itself (Crowe et al., 2011; Stake, 2008). In the collective case study, multiple cases are used to generate a broader appreciation of an issue (Crowe et al., 2011). On the other hand, Yin (2009) characterises three main types of case study: explanatory, exploratory, and descriptive; and also, differentiates between single, multiple-case and holistic case studies. This research adopts a single case study approach for three key reasons, in terms of it being representative, a reflection on existing theory, as well as a revelatory example, summarised as below.

Chongqing as a representative example

This thesis chooses Chongqing as a representative example of Chinese large cities, because of its political, economic and cultural conditions. Chongqing is the fourth municipality directly under the Chinese central government, possessing the same city status as Beijing, Shanghai and Tianjin. However, it has lagged behind the leading eastern cities in terms of economic development. A tripartite regional development by the central state policy after 1978 had previously privileged the ‘elite cities’ in East China, as opposed to the central and western regions (Wu, 2003; Goodman, 2004). The shift in emphasis concerning urban development from western to the eastern regions brought rapid economic growth in the eastern cities. Special policies were granted to these eastern cities, aiming at connecting China’s economy with the global market, through the eastern Chinese cities (Han, 1999). Eastern Chinese cities have therefore acted as “engines” in economic growth and achieved great development (Han, 1999). Shenzhen, Guangzhou, Beijing and Shanghai are showcases of the leading cities in China (Han, 1999; Qian, 2011). Qian (2011) argues that these eastern leading cities

81 have different urban development trajectories with other Chinese cities, and thus cannot reflect the broader situation of China’s urban development.

Chongqing, as the largest inland Chinese city, has not enjoyed the elite cities’ preferential policy or programs delivered by the central state. Thus, Chongqing is less economically developed compared with the eastern leading cities. Table 4.2 compares the GDP in Chongqing, Beijing and Shanghai and their grow output value of pillar industries, as well as their foreign capital. The ranking, released by the China Business Network weekly magazine on 2017 May 7, assesses 338 cities based on five indicators: concentration of commercial resources, city’s pivotability, citizen vitality, variety of lifestyle, and flexibility in the future (China Daily, 2017). Beijing, Shanghai, Guangzhou and Shenzhen are classified as ‘first-tier Chinese cities’. The ‘new first-tier Chinese cities’ have a strong economic base, a huge middle-class population, and considerable political resources, and consists of 15 Chinese cities (China Daily, 2017). They are: Chongqing, Chengdu, Hangzhou, Wuhan, Nanjing, Tianjin, Suzhou, Xi’an, Changsha, Shenyang, Qingdao, Dalian, Dongguan, Ningbo and Wuxi. A discussion of the Chongqing case will help to better understand the general condition of China’s large cities.

Table 4.2: Indicators for Beijing, Shanghai and Chongqing in 2013

Cities GDP Gross output value of pillar industries Foreign capital (billion (billion yuan) yuan) (100 million USD) Primary Secondary Tertiary industrya industryb industryc

Beijing 19500.56 161.83 4352.30 14986.43 NA

Shanghai 21602.12 129.28 8027.77 13445.07 181.70

Chongqing 12656.69 1016.74 6397.92 5242.03 106.00

Source: based on National Bureau of Statistics of China (2014) a Primary industry: agriculture, horticulture, fishing, aquaculture, forestry b Secondary industry: manufacturing, mining and utilities c Tertiary industry: transportation, postal, telecom, storage, commerce, catering, finance, insurance, real estate, and social services

Chongqing as a revelatory example

Yin (2009) points out that the single case study approach is suited when the case has revelatory significance. The paradox of using a single case study to generalise has been acknowledged by several researchers (Bryman, 2015; Merriam, 1998; Yin, 2009). Despite the concern regarding generalisability from a single case study, it is argued that the lessons learned from the Chongqing case can be transferred to other peer industrial cities especially those with similar characteristics in China.

As presented in Chapter 2, in contrast with the large scale of transformation of industrial landscapes in the leading eastern cities, the outcome of heritage reuse in inland China, such as Wuhan, Chengdu, Chongqing, has been less dramatic. Chongqing is thus chosen for showing the negative reality of industrial heritage conservation and reuse. As Chen et al., (2016) summarised, Beijing is the capital city with traditional Chinese characteristics; Shanghai is an international consumer-based city, as the investment by foreign and domestic forces has strengthened the city’s eminence in commercial functions. Chongqing has served as the industrial city for China. As a legacy of Chongqing’s industrial history from the early 1890s to present, historic industrial buildings and facilities were retained in Chongqing. However, unlike Beijing and Shanghai, urban Chongqing has experienced the dramatic loss of industrial architectural character (Chen et al., 2016).

The CSF is selected as the single case due to its regional and national significance, as well as its usefulness in showing the disparity between conception and implementation. On the one hand, concerning the significance of the site, the CSF is deemed as a microcosm of Chongqing’s history of industrialisation, witnessing the city’s ups and downs. As the earliest heavy industry factory in Chongqing, the CSF possesses a cluster of industrial buildings with high cultural and aesthetic values from different periods ranging from the 1890s to 2000s. On the other hand, in terms of its experience in industrial heritage conservation, with the relocation decision by the Chongqing Municipal Government in 2006, the CSF was originally imagined as a potentially authentic cultural precinct to acknowledge Chongqing’s industrial legacy. At the final implementation stage, very few industrial heritage elements were retained and reused as a cultural precinct, while most were demolished for new redevelopment.

The CSF case identifies the driving forces behind the dilution of ideals for provision of industrial heritage cultural space in Chongqing. Unravelling Chongqing’s contextual constraints helps explain why the planning goals of industrial heritage conservation failed in some of the most historically significant places in the western regions of China. The investigation of the Chongqing case can help identify the keys to the success or failure of industrial heritage reuse projects in post-reform China. The value of this case study thus lies in the in-depth analysis that can inform better policy instruments and lead to practice innovation in companion cities that still retain numerous industrial heritage.

Chongqing as a reflection of existing theory

Yin (2009) argues that a single case study is justifiable when the case can reflect on whether a theory’s propositions are correct or some alternative set of explanations might be more relevant. The CSF project serves as a critical reflection in response to the theoretical framework in Chapter 3. The theoretical framework includes (1) urban policy mobility theory, which comprises concepts of ‘learning’ and ‘mutation’; and (2) theories on the production of space, which comprises three areas including ‘capital accumulation’, ‘power relations’ and ‘the efforts by social classes for breaking injustice’. The investigation of the CSF project can examine whether these theoretical insights are relevant or need to be modified. Besides, past literature has examined the economic context, governance models and social environment in post-reform China by focusing on East China. Since the existing research attention has mostly been based on Eastern Chinese cities, an empirical check about their applicability is called for the Western Chinese context. The Chongqing case contributes to challenging the existing theoretical accounts and current literature of Chinese urban studies.

4.3 Data Collection

In order to ensure reliability and increase the validity of results, methods in the single case study often involve the collection of multiple sources of evidence (Crowe et al., 2011; Denscombe, 2014; Yin, 2009). To develop a thorough understanding of the CSF project, this research approaches the same objective from different angles by using multiple sources of cross-checking data (Crowe et al., 2011; Greene et al., 1989; Hesse-

Biber, 2010; Sandelowski, 2000). Green et al., (1989, p.259) and Hammond (2005, p.241) present five potential advantages of using mixed methods. They are: (1) triangulation – increasing convergence, corroboration and validity of results, (2) complementarity – seeking elaboration, enhancement, illustration, clarification of the results; (3) development – using the results from the first method to help develop or inform other methods; (4) initiation – discovering paradoxes and apparent contradiction, and seeking fresh perspectives; and (5) expansion – extending the breadth and range of the research.

4.3.1 Semi-structured Interviews

Qualitative information gained from in-depth interviews is fundamental to this investigation. The interview has four advantages, first, being targeted, as it focuses directly on the case study (Yin, 2009); second, being insightful, as it can provide perceived causal inferences (Yin, 2009); third, gathering first-hand information that is not printed or recorded elsewhere (Grix, 2001; Punch, 2005); and fourth, helping to interpret relevant documents, decisions and policies (Grix, 2001; Punch, 2005). Four types of interview are broadly discussed, including the structured interview, unstructured interview, group interview and semi-structured interview (Bryman, 2015; Walliman, 2006). In the structured interview, all interviewees receive the same predetermined questions in the same order, minimising flexibility and variation, while maximising standardisation. Unstructured interviews have a random list of concepts or flexible format questions, and are widely used for oral history and life history projects. Group interviews involve a specific group of people. The semi-structured interview contains standardised and open-format questions, allowing a certain degree of flexibility (Bryman, 2015; Walliman, 2006).

The interviews for this research, conducted in February 2015 and January 2016, were semi-structured around the key themes of the research questions (see Appendix II: Interview Questions for details), including:

- The origin of the industrial heritage reuse idea in the CSF project; - The evolution of the idea in the CSF project; and - The reasons for the change of the idea in the CSF project.

The semi-structured interview required participants to discuss the contribution and the role of their involvement in the CSF project and to narrate particular events, processes and outcomes related to the CSF regeneration. The interviews also asked participants to reflect upon their opinion of industrial heritage conservation in Chongqing, such as:

How do you think the implementation outcomes of Chongqing’s industrial heritage conservations compare to other projects in mega- Chinese cities (such as Beijing and Shanghai)?

(1) Sampling Strategy

The list of interviewees was identified through a combination of snowball, reputational and purposeful sampling techniques (Buser, 2012). Table 4.3 summarises the information about the interviewees, who were selected from the key stakeholders directly involved in the CSF project (n=24), as well as additional actors who could fill particular contextual gaps (n=17). The key participants were as follows:

- Participants representing the previous factory management were selected from the Chongqing Steel Corporation (n=2); - Government officials (n=8) comprised of the Chongqing Municipal Government (n=1), its government department of urban planning, the Chongqing Urban Planning Bureau (n=5) and its department of heritage conservation, the Chongqing Bureau of Cultural Relics (n=2); - Property developers (n=4) included the land banking agency Chongqing Yufu Assets Management Corporation (n=2), and its subordinate property development company Chongqing Industrial Museum Co., Ltd (n=2); - Planning and design consultants (n=10) included the Chongqing Urban Planning and Design Institute for the 2007 CSF regulatory plan (n=2); Chongqing La Cime Urban Landscape Design Corporation and Canada Ekistics Town Planning Inc for the 2008 urban design (n=3); the Chongqing Planning Research Centre for the

regulatory plan revision (n=2); Avanti Architects for the master plan of industrial heritage reuse, as well as HMA Architects & Designers and CMCU Engineering Corporation for its architecture design (n=3).

The experts (n=7) included university professors, urban planners, property developer and heritage professionals. The experts were selected for their involvement in:

- Urban studies and heritage conservation; - Similar projects connected with industrial land regeneration; and - Providing expert opinion for the CSF projects.

The experts were included in the interviews to fill in the gap regarding the context of industrial land regeneration in Chongqing. The researchers from the Chongqing University were select as interviewees, since their project Chongqing Industrial Heritage Protection Master Plan was related to this research. Experts in traditional heritage conservation were also included. The interview asked about their experience in heritage conservation, and sought their opinions about the CSF project outcome as well as the heritage conservation efforts in Chongqing. For the professionals and local developers who were involved in similar projects, the interview required the participants to narrate their experience in industrial lands regeneration, and reflect upon their opinions about the CSF project and the heritage conservation outcomes in Chongqing.

Additional members of the local artists (n=10) were then interviewed to obtain the views of local creative industries. The interviews focused on gaining information about the artists’ experience in Chongqing and their opinions of local cultural development. The artists were selected as they were:

- Using similar renovated industrial buildings as their studios (n=2); - Independent artists in different types of creative industries (n=5); and - Cultural entrepreneurs (n=3), such as a private cultural centre founder, a private gallery owner and a public museum curator.

Table 4.3: Summary of the interviewees information

Stakeholder Organisation Code Interviewee Designation and role Contribution

Municipal Chongqing Municipal Government G1 Anonymous Senior government official Provided suggestions for policy government making Government Chongqing Urban Planning Bureau G2 Xu Dongfeng Deputy Bureau Director, Jiangbei Supervision of the CSF project department district, Chongqing development G3 Liu Yuan Director, general engineer office Coordinator of the CSF project G4 Anonymous Senior government official G5 Anonymous Senior government official G6 Yang Xinjian Department director, detailed planning and management Chongqing Bureau of Cultural G7 Wu Tao Chief Engineer Provided suggestion for Relics industrial heritage conservation Heritage organization under G8 Yuan dongshan Deputy Director in the CSF project Chongqing Bureau of Cultural Responsible for heritage Relics conservation in Chongqing Land banking Chongqing Yufu Assets D1 He Zhiya Chairman Purchased the land-use rights agency Management Corporation D2 Zhang Chief Engineer of the CSF Chonghua Partly financed the CSF relocation plan Responsible for the CSF regeneration effort Property Susidiary company under Yufu: D3 Wen Bin General Manager Supervision of industrial developer Chongqing Industrial Museum Co., D4 Jin Daxin Director, market department heritage conservation in the Ltd CSF project The previous Chongqing Steel Corporation F1 Wen Yongyao Director, Chongqing Steel Sold the CSF land-use right to factory Corporation Archive Chongqing Yufu Assets management F2 Yu Xinqing Staff participated in factory Management Corporation relocation

Table 4.3 (continued): Summary of the interviewees information

Stakeholder Organisation Code Interviewee Designation and role Contribution

Design Chongqing Urban Planning and C1 Peng Yaoling Chief planner Responsible for the CSF land consultant Design Institute C2 Liu Min Urban planner use proposal Chongqing La Cime Urban C3 Chen Yuzhuo, General Manager Responsible for the CSF Landscape Design Corporation C4 Anonymous Urban designer urban design proposal C5 Zuo Shaoguang Urban designer, Project Manager Chongqing Planning Research C6 Anonymous Urban planner Responsible for the CSF land Centre C7 Liu Shenghong Urban planner use revision CMCU (China Machine China C8 Liu Bin Architect, Responsible for the Union) Engineering Corporation Project Manager Chongqing Industrial Cultural C9 Anonymous Architect Exposition Park architectural C10 Anonymous Architect design Expert Experts participated in Chongqing E1 Li Heping University professor, Outlined key industrial Industrial Heritage Protection Urban planner in similar industrial heritage in Chongqing, the Master Plan land regeneration projects planning principles, industrial E2 Anonymous Expert in industrial heritage heritage value assessment and conservation classification Independent experts E3 Huang Tianqi Urban planner Provided expert advice for the CSF land use revision proposal E4 Guo Xuan Heritage conservation expert Did not directly participate in E5 Dai Zhizhong Chongqing urban planning the CSF project committee member, Interview focus: their University professor comments to the CSF project E6 Yang Yuzhen University professor and Chongqing’s industrial E7 Anonymous Developer participating in similar heritage conservation industrial land regeneration projects

Table 4.3 (continued): Summary of the interviewees information

Stakeholder Organisation Code Interviewee Designation and role Contribution

Local artist Artists in restored/renovated A1 Zhou Qiuhang Landscape architect Did not directly community warehouses (501 warehouse) participate in the CSF A2 Nie Ying Independent curator project (Tank warehouse) Interview focus: their Independent artists A3 Wang Zi Oil painter artistic experiences and A4 Pu Chun Cartoon designer their comments to Chongqing’s cultural A5 Yang Shunqing Wood carving artist development A6 Li li Muralist A7 Liu Yong Jewellery designer Private art centre A8 Liu Jia Art centre founder Sculptor Private gallery (Jingse Gallery) A9 Zhang Qi Gallery owner Chongqing Federation of Literary A10 Wei Dong Public gallery curator, and Art Circles Gallery Photographer It should be noted that the interviewee codes will be presented in Chapter 5 and 6.

(2) The Interview Process

For the purpose of the UNSW ethics application, the researcher obtained ten letters of support from the organisations representing key stakeholders selected for interview. They included the Chongqing Urban Planning Bureau, the Chongqing Bureau of Cultural Relics, the Chongqing Cultural Heritage Research Institute, the Chongqing Steel Corporation, the Chongqing Urban Planning and Design Institute, the Chongqing Planning Research Centre, Chongqing Yufu Assets Management Corporation, Chongqing Industrial Museum Co., Ltd, Chongqing La Cime Urban Landscape Design Corporation, and CMCU Engineering Corporation. The meetings for the face to face interview were arranged through email, with interview questions sent to the interviewees beforehand.

The interviews were undertaken in Chinese, each taking approximately one hour. Audio recording was used only for transcription purpose and all participants were informed about this prior to the interview session. Following the application approved by the UNSW Built Environment Ethics Committee, all interviewees were provided with information about the project and the consent form before participating (See Appendix III: Ethics Application Documents for details). The researcher explained the purpose of the study and the interview process, and offered a copy of project information statement and project consent form.

The interviewer sought additional documents with permission from the interviewees after the interviews. The documents included planning and design proposals, government reports, meeting minutes, and statistical information relevant to the CSF project. For the artist community, photos of their studios and art works were taken with permission given at the interviews. The researcher also obtained the participants’ contact information and made request for possible future assistance in case that were needed during the research. The hard copy interview data and its digital recordings were stored safely for analysis.

4.3.2 Document Review

As a secondary data source, document review is used to supplement primary sources of the interview, as documentary evidence also provides a means to validate data

91 obtained from interviews. Document review requires the researcher to “locate, interpret, analyse and draw conclusions about the evidence presented” (Fitzgerald, 2007, p.279).

There are three types of documents, namely, personal documents, private documents and public documents. Personal documents include individuals’ letters, memos, diaries, notes, drafts and autobiographies (Payne and Payne, 2004). Private documents are produced by and for private organisations (Bryman, 2015; Gaborone, 2006; Punch, 2005) and provide detailed inside information that may be considered sensitive and which is not easily accessible (Bertrand and Hughes, 2005). Public documents include government publications such as policy statements, census reports, statistical bulletins, departmental annual reports, and consultancy reports (Gaborone, 2006). The official data in public documents is produced and analysed by the state, which has advantages of being authoritative, objective, impartial and factual (Denscombe, 2014). There are quality control criteria for handing documentary information. They are: authenticity, whether the evidence is genuine; credibility, whether the evidence is accurate; representativeness: whether the documents consulted are typical; and meaning: whether the evidence is clear and comprehensible (Scott 1990, p.6).

Following the quality control criteria, government public documents and private design proposals were both reviewed in the investigation of the CSF project. Since the relocation and regeneration plan for the CSF was launched by the Chongqing Municipal Government in 2006, the project has undergone a number of stages from urban planning to urban design and further to architecture design. Table 4.4 outlines the design proposals and other key documents analysed from the CSF project.

Table 4.4: Design proposals and other key documents in the CSF regeneration

Date Documents Department Key feature

2007.06 CSF Regulatory Plan Chongqing Planning and Design Institute Provided land Chongqing Urban Planning Bureau use guidelines 2008.07 CSF Urban Design Chongqing Municipal Government Provided urban Bidding Brief Chongqing Urban Planning Bureau design Chongqing Yufu Assets Management requirements Corporation 2008.08- CSF Urban Design Chongqing Urban Planning Bureau Chongqing La 2008.12 Bidding Chongqing Yufu Assets Management Cime and Corporation Canada Design Consultants Ekistics won the design bidding 92

2009.01- CSF Urban Design Chongqing La Cime Urban Landscape Provided the 2009.12 Design Corporation CSF urban Canada Ekistics Town Planning Inc design Chongqing Urban Planning Bureau guidelines Chongqing Yufu Assets Management Corporation 2010 - CSF Regulatory Plan Chongqing Planning Research Centre Provided the 2011 Revision Chongqing Yufu Assets Management CSF land use Corporation controls Chongqing Urban Planning Bureau 2011.03 Chongqing Industrial Avanti Architects Provided the Museum and Creative Chongqing Yufu Assets Management master plan for Industrial Park Corporation industrial Master Plan heritage reuse 2012 Chongqing Industrial CMCU Engineering Corporation Provided the Museum & Creative Avanti Architects master plan for Park Design Chongqing Yufu Assets Management industrial (Chinese Translation) Corporation heritage reuse Chongqing Industrial Museum Co., Ltd in Chinese 2012- Chongqing Industrial CMCU Engineering Corporation Provided the 2016 Cultural Exposition HMA Architects & Designers architectural Park Architectural Chongqing Yufu Assets Management design for Design Corporation industrial Chongqing Industrial Museum Co., Ltd heritage reuse 2015 Chongqing Wartime Beijing An-design Architects Provided Industrial Legacy: Chongqing Industrial Museum Co., Ltd guidelines for The Chongqing Steel industrial Factory Working heritage reuse Plant Conservation Proposal Note: All the above documents were gathered in line with what are permitted in the UNSW ethics approval.

Government documents related to the CSF project involved the Chongqing official development plans and government reports that included information on the CSF project. The official published statistical yearbook was also reviewed. Table 4.5 summarises documents related to the CSF project.

Table 4.5: Other documents related to the CSF project

Year Documents Department Key feature

2004 Chongqing Master Plan Chongqing Municipal Provided an overall (2007-2020) Government master plan guideline for Chinese Central Government Chongqing 2008 Chongqing Waterfront Chongqing Municipal Provided riverfront Strategic Plan and Urban Government district urban design Design Chongqing Urban Planning guidelines along the Bureau Yangtze River and EDAW Jialing River, including

the CSF location 2008 Chongqing Industrial Chongqing University Faculty Provided guidelines for Heritage Conservation of Architecture and Urban Chongqing’s industrial Master Plan Planning heritage conservation 2010 The Twelfth Five-Year Chongqing Municipal Provided a grand Plan for National Government blueprint for Economic and Social Chongqing’s economic Development of and social development Chongqing (2011-2015) 2010 The Twelfth Five-Year Chongqing Dadukou District Provided a grand Plan for National Government blueprint for the Economic and Social economic and social Development of development of the Dadukou District, Dadukou District Chongqing (2011-2015) 2014 Chongqing Historical Chongqing Municipal Provided a master plan and Cultural City Government for heritage conservation Protection Plan Chongqing Urban Planning in Chongqing Bureau Chongqing Bureau of Cultural Relics Chongqing University 2013- Chongqing Government Chongqing Municipal Provided a summary of 2016 Gazette Government the government’s work 2008- Chongqing Dadukou Chongqing Dadukou District Provided a summary of 2016 District Government Government the government’s work Annual Work Report 2008- Chongqing Statistical Chongqing Statistical Bureau Provided Chongqing 2016 Yearbook annual statistics Note: All the above documents were gathered in line with what are permitted in the UNSW ethics approval.

4.3.3 Popular Press Review

The popular press, including print and online media, is a useful complement to the interview data, with the main advantage being the local nature of the newspaper or media offering up-to-date information relevant to the case (Bryman, 2015; Grix, 2001). A number of popular documents and media outlets were reviewed for this research, such as the Chongqing Daily, Chongqing Evening Post, Chongqing Morning Post, Chongqing Longhua News and Chongqing Economic Times were selected as Chongqing’s main press outlets, both printed and online. By an online search using keywords relevant to the CSF project for the period 2006 to 2016, a thorough sampling of the popular literature was obtained.

In addition, supplementary information on the CSF project was accessed through the official websites of local government departments, for example the Chongqing Urban Planning Bureau (http://www.cqupb.gov.cn/) and the Chongqing Bureau of Cultural Relics (http://www.cqww.gov.cn/); the land banking agency Chongqing Yufu Assets Management Corporation (http://www.cqyfgs.com/); as well as the design consultancies. Through an internet search using keywords such as ‘Chongqing industrial development’, ‘Chongqing industrial heritage conservation’ and ‘the CSF regeneration’ in the public Chinese Academic Database CNKI (www.cnki.net) from 1990 to 2013, more detailed information relevant to the CSF case study was gained.

4.4 Data Analysis: Thematic Network Analysis

A qualitative descriptive study is suitable for researchers who wish to “use analytical categories to describe and explain social phenomena” (Pope et al., 2000, p.114). Content and thematic analysis are widely used as two analytic approaches in descriptive studies. Table 4.6 compares the similarities and differences of the two evaluation approaches with the research adopting thematic analysis for four reasons.

First, the purpose of thematic analysis is to identify, analyse and report themes within data (Braun and Clarke, 2006). It involves searching across a data set to find repeated patterns of meaning (Braun and Clarke, 2006). Thematic analysis is relevant to this research as it helps to analyse the regeneration process of the CSF project and identify the influencing factors in the local context.

Second, content analysis offers a model for analysing and interpreting the meaning of qualitative data (Joffe and Yardley, 2004; Schreier, 2012). However, the results may generate a danger of missing context when they rely exclusively on frequency outcomes, since frequency occurrence might simply reflect greater willingness or ability to talk at length about the topic (Joffe and Yardley, 2004). In contrast with content analysis, thematic analysis has the advantage of revealing the subtlety and complexity of a truly qualitative analysis, as it “offers the element characteristic of content analysis, but also permits the researcher to combine analysis of the frequency of codes with analysis of their meaning in context” (Joffe and Yardley, 2004, p.57).

Third, thematic analysis shares many of the principles and procedures of content analysis, but provides a more detailed process of data analysis for extracting themes within raw data. Fourth, the final outcome of thematic analysis is to produce a report of the analysis and relate it back to the research questions (Braun and Clarke, 2006), which serves as a useful guideline for this research.

Table 4.6: Comparison of thematic analysis and content analysis

Thematic analysis Content analysis

Definition A method to identify, analyse and A method for analysing data and report themes within raw data (Braun interpreting its meaning (Schreier, & Clarke, 2006); 2012); A process for encoding qualitative A method for drawing replicable and information (Boyatzis, 1998, p.4); valid inferences from data to A type of qualitative analysis for contextualise their use (Krippendorff, analysing classification and 2004); presenting themes that are related to A systematic means to make valid data (Alhojailan, 2012). inferences from data in order to describe and quantify specific phenomena (Downe-Wamboldt, 1992).

Aim and focus Both approaches share the same aim of analytically examining narrative materials by breaking the text into meaningful units and submitting them to describe social phenomena (Sparkes, 2005; Vaismoradi et al., 2013). Thematic analysis provides a more Content analysis enhances the quality detailed account of theme within the of the results through relating the data (Braun & Clarke, 2006). categories to the context (Downe- Wamboldt, 1992). Thematic analysis allows the Content analysis uses a descriptive researcher to combine analysis of the approach in both coding the data and frequency of a theme with the interpreting quantitative counts of the analysis of their meaning in context codes (Downe-Wamboldt, 1992). (Alhojailan, 2012; Joffe and Yardley, 2004)

Consideration Both approaches provide a framework of analysis within which the context of of data data is apparent (Vaismoradi et al., 2013). Focuses on the qualitative aspects of Establishes categories and then the material analysed, and combines counts the number of instances in analysis of the meaning in contexts which they are used in a text or (Joff & Yardly, 2004, p.56-57). images (Joffe and Yardley, 2004, p.56); Focuses on quantifying certain words in the text to understand the contextual use of the words (Carley, 1993; Hsieh and Shannon, 2005).

Data analysis Both approaches share similar principles and procedures of qualitative data process analysis (Joffe and Yardley, 2004).

Braun and Clarke (2006): Elo and Kyngas (2008): Step 1: Familiarisation with data Step 1: Preparation Step 2: Generating initial codes Step 2: Organising Step 3: Searching for themes Step 3: Reporting Step 4: Reviewing themes Step 5: Defining themes Step 6: Producing the report

4.4.1 Procedure of Thematic Network Analysis

According to Braun and Clarke (2006, p.87), the procedure of thematic analysis is divided into six main steps.

- Step 1 Familiarisation with the data: Transcribing and reading the data; - Step 2 Generating initial codes: Coding the data systematically and collating data relevant to each code; - Step 3 Searching for themes: Collating codes into potential themes, gathering all data relevant to each potential theme; - Step 4 Reviewing themes: Checking the themes and generating a thematic map; - Step 5 Defining and naming themes: refining the specifics of each theme, and generating clear definitions and names for each theme; - Step 6 Producing the report: relating the analysis back to the research question and literature, and producing a report of the analysis.

Following these principles and the procedure of thematic analysis, Attrides-Stirling (2001) presented a more detailed method for conducting thematic analysis with the aid of thematic networks. Thematic networks extract three groups of themes (Attrides- Stirling, 2001, p.388-389), namely:

(1) Basic Themes: the lowest-order themes that are derived from the raw data; (2) Organising Themes: the middle-order themes that organise the Basic Themes into clusters of similar issues; and (3) Global Themes: super-ordinate themes encapsulating the data as a whole. 97

A thematic network is “developed starting from the Basic Themes and working inwards toward a Global Theme” (Attrides-Stirling, 2001, p.389), where the three groups of themes are illustrated as a web-like map. The process of analysis can be split into three stages and six steps, summarised in Table 4.7.

Table 4.7: Procedure involved in thematic network analysis

Stage A: Reduction or breakdown of text

Step 1: (a) Developing a coding The coding framework is developed based Code the material framework on pre-established criteria, research questions, or theoretical framework (b) Separate text using The codes are applied to the textual data to the coding framework separate it into meaningful and manageable segments of text Step 2: (a) Abstract themes from Extract the salient, common or significant Identify themes coded text segments themes in the coded text segments (b) Refine themes Refine selected themes into themes that are sufficiently specific to be discrete, and broad to encapsulate a set of ideas Step 3: Construct the (a) Arrange themes Assemble themes into similar groupings network (b) Select Basic Themes Use the groups as Basic Themes (c) Rearrange into Organise the Basic Themes into clusters of Organising Themes similar issues as Organising Themes (d) Deduce Global Organise the Organising Themes into Themes clusters of similar issues as Global Themes (e) Illustrate as thematic Illustrate Basic Themes, Organising network Themes and Global Themes as a web-like map (f) Verify and refine the Go through the text segments to make sure network each theme reflects the data Stage B: Exploration of text

Step 4: (a) Describe the network Return to the original text and interpret it Describe and explore with the aid of the networks networks (b) Explore the network Explore underlying patterns Step 5: Present a summary of the main themes and patterns Summarise networks Stage C: Integration of exploration

Step 6: Return to the original research questions, and address them with Interpret patterns argument grounded on the patterns that emerged in the exploration of the texts Source: based on Attrides-Stirling (2001)

4.4.2 The Process of Thematic Network Analysis in this Research

The data collected from the triangulation of methods in this research, from semi- structured interviews, documents and popular press sources are recorded and analysed with the aid of the thematic network. It is split into five steps, as shown in Figure 4.2.

Figure 4.2: The process of thematic network analysis

Step 1: Coding the material

Coding the material involved (a) developing a coding framework; and (b) reading, transcribing and breaking the textual data into meaningful segments (Attrides-Stirling, 2001). The coding framework guided the coding process, indicating how data needs to be organised and coded. It was built based on the three sub research questions (SQR1, SQR2 and SQR3) and from the structure of the interview questions. In this research, the coding framework consists of seven categories where three are the general categories and four are the key topics for coding. This is summarised in Table 4.8.

Table 4.8: Coding framework categories based on the structure of interview questions

Interviewee Main category Sub-category Key General the CSF project Background stakeholders category 1 Process and actors in the CSF The role of you (your organisation) project Key topic 1 Where did the idea come Industrial heritage reuse from? Precedents case Cultural purpose Key topic 2 How did the idea change? Your proposal The proposal at previous stage Key topic 3 Why did the idea change? Factors influencing the outcome of the CSF project Key topic 4 The Chongqing context Comparison of Chongqing’s industrial heritage reuse outcome with other Chinese cities Expert General Expert background Experts’ professional experience category 2

Key topic 3 Why did the idea change? Influencing factors Key topic 4 The Chongqing context Comparison of Chongqing’s industrial heritage reuse outcome with other Chinese cities Artist General Artists’ background Cultural experience of the artists community category 2

Key topic 3 Why did the idea change? Factors influencing the outcome of the CSF project Key topic 4 The Chongqing context Comparison of Chongqing’s cultural development with other Chinese cities Comparison of Chongqing’s industrial heritage reuse outcome with other Chinese cities It should be noted that key topic 1, 2, 3 are the SRQ1, 2, 3 respectively

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The four key topics for coding were divided into sub categories for three groups of interviewees. For the key stakeholders, sub categories include:

(1) The origin of industrial heritage reuse, the precedent cases and the understanding of cultural purposes in the CSF project; (2) The process of how the heritage reuse idea changed along with the change of design proposal; (3) The factors influencing the outcome of the heritage reuse idea; and (4) The Chongqing context.

For the experts and artist community, sub categories include:

(1) The factors influencing the outcome of the heritage reuse idea; and (2) The Chongqing context.

Based on the interview questions, the interviews were digitally recorded, transcribed and coded into thematic codes using Nvivo software, as showed in Figure 4.3. The procedure of the coding included: (a) breaking the text into smaller units; (b) noting down the thematic codes associated with the research questions; and (c) coding all the relevant units with the key thematic codes (Attrides-Stirling, 2001; Braun & Clarke, 2006). This procedure also applied to the analysis of the documents and the popular press.

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Figure 4.3: Coding the material using Nvivo in Step 1

Step 2: Identifying themes

Step 2 involved transforming the codes from interview, document and popular press as initial themes. Through the coding framework, all initial codes were grouped into similar clusters. A record was kept of the various codes, the emerging themes, and the reference to the specific quotations that established each theme (such as interviewee name and interview quotes) (Attrides-Stirling, 2001). The coding also focused on commonalities, differences and contradictions across the interview information. This step was conducted through the MindManager Mind Mapping Software, useful for organising information. Figure 4.4 shows an example of initial themes for SRQ1– ‘where did the idea come from?’

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Figure 4.4: An example of initial interview themes for SRQ 1 using MindManager in Step 2

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Step 3: Constructing the networks

After generating initial themes in the second step, the third step involved sorting the initial themes into different levels that is, illustrating them as a thematic network structure; and re-reading and collating the entire data set within the themes (Attrides- Stirling, 2001). The process of constructing the thematic network is presented below.

(a) Arrange themes: Themes derived from the codes were assembled into similar, coherent groupings, which were to become the thematic networks. Meanwhile, an initial thematic structure was generated through NodeXL software19, based on the frequency of the themes discussed by interviewees. With the aid of the NodeXL software, the frequency of themes derived from text segments was calculated and visualisations of networks between interviewees and interview themes were created in Figure 4.5. In Figure 4.5, white dots represent interviewees. Black dots represent interview themes derived from interview information analyses. Lines are the visualised network between interviewees and interview themes. The size of a dot shows the frequency of a theme discussed by interviewees.

Figure 4.5: An example of arranging interview themes for SRQ1 using NodeXL

19 The NodeXL software is a template for graphing network data in Microsoft Excel. It adds network analysis and visualisation features to the spreadsheet, allowing graph metrics to be easily calculated and visualisations of networks to be created. 104

(b) Identify Basic Themes, Organising Themes and Global Themes: In light of the frequency of themes in the initial thematic network, the main interview themes were selected as Basic Themes. Similar Basic Themes were assembled into a group to make Organising Themes. The main claim, argument, or assumption that forms the Organising Themes was summarised as a Global Theme. Figure 4.6 shows an example of identifying different levels of themes for SRQ1 by using NodeXL. In figure 4.6, white dots represent interviewees. Black dots refer to interview themes derived from interview information analyses. Grey circles represent organising themes. Lines are the visualised network between interviewees and interview themes. The size of a dot shows the frequency of a theme discussed by interviewees.

Figure 4.6: An example of different levels of interview themes for SRQ1 using NodeXL

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(c) Illustrate as a thematic network: After different levels of themes were identified, a thematic network was built including the Basic, Organising and Global Themes. Figure 4.7 is an example of constructing the thematic networks for SRQ1 by using NodeXL.

(d) Verify and refine the network: This checked the relationships of primary themes and sub-themes or whether they needed to be further subdivided into separate themes (Braun & Clark, 2006).

Figure 4.7: An example of the thematic networks for SRQ1 using NodeXL

Step 4: Describe and explore the thematic networks

After constructing the thematic networks, the researcher returned to the original text and read through the Basic, Organising and Global Themes. It presented text segments from the original transcripts to support the thematic network.

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Step 5: Interpret patterns

The final step involved deduction from the summaries of all the networks and the identification of significant patterns, concepts and structures that have stemmed from the text (Attrides-Stirling, 2001). The researcher addresses the main research question and three sub research questions by using the arguments grounded in the patterns in the thematic network.

4.5 Methodological Challenges

The major data collection challenges experienced were associated with the interviews. The primary one was access to the Chongqing mayor. The researcher interviewed senior government officials from the Chongqing government and two government departments of urban planning and cultural relics, but was not able to reach the Chongqing mayor. I asked some interviewees to introduce me to the mayor. However, none of them agreed or were able to do so. Instead, some interviewees introduced me to a senior official in the Chongqing Municipal Government. Consequently, secondary data was used to fill this gap, such as government meeting minutes and newspaper reports where mayoral participation had taken place and the events recorded.

The second challenge was obtaining access to the international design consultancies that participated in the CSF project, such as Canada Ekistics for the CSF Urban Design, Avanti Architects for the Chongqing Industrial Cultural Park Master Plan, and HMA Architects & Designers for the Chongqing Industrial Cultural Park Architectural Design. Since these international design consultancies were located in Canada, the UK and Japan respectively, the researcher was unbale to reach these designers for interviews due to a limited travelling budget. I asked my interviewees for email addresses or Skype accounts of relevant international designers. However, none of my interviewees could provide me with this information. Consequently, the research interviewed local design consultancies that had collaborated with the international consultancies in the CSF project. For example, Canada Ekistics Town Planning Inc worked with Chongqing La Cime Corporation and they conducted the urban design bidding together. Avanti Architects worked with CMCU Engineering Corporation and were jointly responsible for the master plan of the Chongqing Industrial Cultural Park,

107 while HMA Architects & Designers and CMCU Engineering Corporation collaborated at the stage of architectural design.

Moreover, local design consultancies were responsible for writing the project reports to the client and government officials which meant that local designers were actually more familiar with the story behind the CSF project than the overseas company. As such, local urban planners, urban designers and architects were selected as the main interviewees representing the design consultancies.

The third challenge was getting more comprehensive and reliable interview data. Several methods were used to get the participants to provide a narrative of their stories and elicit more valuable information. The researcher conducted interviews with some key stakeholders more than once. For instance, the project champion – the Chairman of Chongqing Yufu Assets Management Corporation – who participated in the entire process of the CSF project was interviewed three times during 2015 and 2016. The Deputy Bureau Director of the Chongqing Urban Planning Bureau and some key designers were interviewed twice. In addition, to minimise the chance of personal biases that could stem from one participant, the researcher selected two or more interviewees in the same organisation.

4.6 Summary

This chapter has presented the single case study approach and methods for data collection and analysis. First, it drew on the theoretical insights from urban policy mobility that informed the methodological framework of this research. Second, it discussed the single case study approach, as well as justified the choice of Chongqing as the investigation city and the CSF as the empirical case. Mixed methods were employed for data collection and data were analysed qualitatively with the aid of the thematic network. Following this methodology chapter, the next two chapters will present the findings of the single case study, by tracing the origin and evolution of industrial heritage reuse in the CSF project.

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Chapter 5 The Vision for the Chongqing Steel Factory: From Industrial Site to Heritage Precinct

This chapter addresses the first subsidiary research question ‘where did the idea come from?’ by exploring the origin of the heritage conservation idea – that is ‘adaptive reuse of industrial heritage for cultural purposes’ – in the Chongqing Steel Factory (CSF) project. After a short introduction about Chongqing and the CSF, this chapter discusses key representations from individuals and organisations for recasting a new image for the former CSF site. It is followed by the analysis of the exogenous and endogenous factors in adopting the heritage conservation idea to apply to the CSF project.

5.1 A Short Introduction to Chongqing and the CSF Project

Chongqing is the largest city in south-west China and one of the four municipalities directly under the Chinese central government. Figure 5.1 shows the location of Chongqing. Table 5.1 outlines its population, urban area and pillar industries in 1978, 1997 and 2015.

Figure 5.1: Location of Chongqing

Source: Google Maps 109

Table 5.1: Vital statistics for Chongqing in 1978, 1997 and 2013

Year Population Urban Gross Gross output value of pillar industries land area Domestic (billion yuan) (million) (km2) Product: GDP Primary Secondary Tertiary industry a industry b industry c (billion yuan)

1978 N/A N/A 71.70 24.81 34.46 12.43

1997 30.42 N/A 1509.75 307.21 650.40 522.14

2015 33.71 7027 15717.27 1150.15 7069.37 7497.75

Source: based on data released in the official website of the Chongqing Statistics Bureau, available at http://www.cqtj.gov.cn/. a Primary industry: agriculture, horticulture, fishing, aquaculture, forestry b Secondary industry: manufacturing, mining and utilities c Tertiary industry: transportation, postal, telecom, storage, commerce, catering, finance, insurance, real estate, and social services

Many Chinese cities have a similar industrial past, with industrial development largely having commenced in the late nineteenth century (Chen et al., 2016). As a result of the Chinese defeat in the First Anglo-Chinese War in 1840, the Nanking Treaty heralded a new era and forced the eastern coastal cities of China, such as Hong Kong (1842), Shanghai (1843), Ningbo (1843) and Fuzhou (1843), to be opened up to western countries for trading purposes (Han and Yan, 1999). In the subsequent Tianjin Treaty of 1858, inland cities along the Yangtze River continued to serve as trading ports, including Wuhan (1861) and Chongqing (1891) (Han and Wang, 2001). The rise of industrial development in most eastern cities came to an end following the Second Sino- Japanese War (1937-1945) and the civil war (1946-1949). On the other hand, western regions expanded their industrialisation during the war period, since most defence- related heavy-industry factories were relocated from the eastern cities to the inland regions. Chongqing, as the wartime capital of China, quickly developed into a modern industrial city in the 1940s (Han and Wang, 2001).

When the People’s Republic of China (PRC) was established in 1949, an immediate ideological objective of the Communist leadership shifted the consumption cities into production cities (Tung, 2001). Under the slogan of ‘socialist construction’ from 1949

110 to 1978, the Chinese government formulated heavy industry-oriented policies to guide urban development, and launched a series of industrial projects in major Chinese cities. These national strategies spurred the industrial expansion of the inland regions including in Chongqing. Since 1997 when Chongqing was designated as the single municipality of inland China, its development has focused on heavy industry and was designated by the Chinese central state as ‘China’s important industrial base’. Up until today, Chongqing has served as one of China’s most important industrial cities and the legacy of a heavy industrial landscape has become a symbol of the city’s past. Urban landscape views of Chongqing in the 1950s and 2010s are shown in Figure 5.2 and 5.3 respectively.

Figure 5.2: Urban Chongqing in the 1950s Source: Chongqing Steel Factory Archives (2011)

Figure 5.3: Urban Chongqing in 2017 Source: Photograph taken and provided by the interivewee Zhou Qiuhang

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The CSF is one of the biggest and earliest steelworks in Chongqing. It covers around 466 hectares and is located along the western bank of Yangtze River, known as the Dadukou District. The CSF has been regarded as a microcosm of Chongqing’s industrialisation history, witnessing the city’s ups and downs (Chongqing Steel Factory Archives, 2011). The factory possesses a cluster of industrial buildings constructed from the 1890s to 2000s. Formerly named as the Hanyang Iron Plant in Wuhan, it was established as the earliest government-funded steelworks by Zhang Zhidong – the governor of Hu Guang Area – in the late Qing Dynasty in the 1890s.

The factory was relocated to Chongqing by the Chinese Nationalist Party in the Second Sino-Japanese War (1937-1945) when Chongqing served as the wartime capital. It was renamed as the No. 29 Arsenal in 1940, and was changed to the Chongqing Steel Factory after 1949 (Chongqing Steel Factory Archives, 2011). During the war from 1940 to 1945, the CSF produced 96057 tons of iron, 28657 tons of steel and 15456 tons of steel products, accounted for 90%, 65% and 40% respectively of the total steel production in China (Chongqing Steel Factory Archives, 2011). Figure 5.4 shows the location of the CSF in urban Chongqing and Figure 5.5 demonstrates the circumstance of the factory in 2009.

Figure 5.4: Location of the CSF in urban Chongqing

Source: EDAW (2008), provided by CUPB, translation by the author

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Figure 5.5: The circumstance of the CSF site before the factory removal in 2009 Source: Chongqing La Cime & Canada Ekistics (2009), translation by the author

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After 2006, the Chongqing Municipal Government (CMG) launched the CSF relocation and regeneration plan to make way for developing tertiary industry in the prime urban location that the factory previously occupied. The Chongqing Steel Corporation, as the then owner of the CSF, was proceeding with the factory relocation from the Dadukou District to a new site in the Changshou District on the outskirts of Chongqing. The regeneration process of the CSF project is outlined in Table 5.2.

Table 5.2: The regeneration process of the CSF project Stage Year Events / proposals Organisations involved Before 2006 CSF relocation plan Chongqing Municipal Government the Chongqing Steel Corporation project Chongqing Yufu Assets Management Corporation Launch 2007 CSF Regulatory Plan Chongqing Urban Planning Bureau the Chongqing Urban Planning and Design project Institute Detailed 2009 CSF Urban Design Chongqing La Cime Urban Landscape Project Design Corporation proposal Chongqing Urban Planning Bureau Chongqing Yufu Assets Management

Corporation 2010- CSF Regulatory Plan Chongqing Planning Research Centre 2011 Revision Chongqing Yufu Assets Management Corporation Chongqing Urban Planning Bureau 2011- Chongqing Industrial Avanti Architects 2012 Museum & Creative Chongqing Yufu Assets Management Industrial Park Master Plan Corporation Chongqing Industrial Museum Co., Ltd Chongqing Industrial CMCU Engineering Corporation Museum & Creative Park Avanti Architects Design (Chinese Chongqing Yufu Assets Management Translation) Corporation Chongqing Industrial Museum Co., Ltd 2012- Chongqing Industrial CMCU Engineering Corporation 2016 Cultural Exposition Park HMA Architects & Designers Architectural Design Chongqing Yufu Assets Management Corporation Chongqing Industrial Museum Co., Ltd Source: Based on interviews, popular press reviews and document appraisal

Regarding the CSF experience in industrial heritage reuse, since the launch of the CSF regeneration project in 2007, the CSF was originally imagined as an authentic heritage precinct to commemorate the legacy of industrial landscape in Chongqing. At the final implementation stage, only very few industrial items were as a heritage

114 precinct and most were demolished for property redevelopment. The appearance of the CSF in the 1990s is shown in Figure 5.6, and the 2015 situation, and the 2017 retained industrial fragments, appear in Figure 5.7 and 5.8 respectively.

Figure 5.6: The CSF in the 1990s Source: Photograph provided by the interviewee He Zhiya

Figure 5.7: The CSF in 2015 Source: Photograph by the author

Figure 5.8: Retained industrial heritage in the CSF in 2017 Source: Photograph by the author 115

5.2 The Origin of the Industrial Heritage Conservation Idea

The key players at the preliminary stage included the project champion, local government and government departments, as well as local scholars. The Chairman of a government-established land banking agency (Chongqing Yufu Assets Management Corporation, known as Yufu) served at the project champion who was responsible for the redevelopment of urban industrial sites in Chongqing, including the CSF. Concern for industrial heritage conservation arose because of his personal interest and effort.

The Chongqing Urban Planning Bureau (CUPB) and the Chongqing Bureau of Cultural Relics (CBCR) are two government departments under the CMG. The responsibility of the former lay in supervision of urban planning and development, while the latter was responsible for the management of local cultural heritage and the cultural precincts. In the CSF case, these two government departments contributed to converting former industrial buildings into conservation uses at the learning stage - that is the familiarisation with the concepts and principles of industrial heritage conservation.

In response to the efforts of the above key players, the industrial heritage conservation idea was adopted for the former CSF site. Figure 5.9 demonstrates a thematic network analysis of interview data, and Table 5.4 summarises the process, representations and events at the learning stage in the CSF project.

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Figure 5.9: Thematic network analysis of the origin of the industrial heritage conservation idea Source: Based on the interview data 117

Table 5.3: The process, representations and events at the learning stage in the CSF project Process Representations Organisation Events Contribution

Stage 1 Project champion Chongqing Yufu Organised a learning trip for precedent Presented the industrial heritage conservation idea Assets Management reconnaissance in Europe for the former CSF site (2007) (the Chairman of Corporation Yufu) Introduced international precedents through public lectures Stage 2 Government Chongqing Urban Organised the master plan for industrial Supported the industrial heritage conservation department Planning Bureau heritage: Chongqing Industrial Heritage idea at the former CSF site (2008) Conservation Master Plan Inventoried Chongqing’s industrial heritage

Chongqing Bureau of Granted a municipal-level heritage Cultural Relics protection order for the No. 29 Arsenal in the CSF Academic experts Chongqing Completed the master plan: Chongqing University Industrial Heritage Conservation Master Plan Stage 3 Government Chongqing Municipal Approved the construction of an Approved the adaptive reuse of former industrial Government industrial-themed museum reused from buildings as a heritage museum at the former CSF (2008- the CSF site 2011) Included the industrial heritage conservation idea in the government document Publicised the industrial heritage conservation idea in local newspapers Source: Based on the interview data

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5.3 The Process of Adopting the Industrial Heritage Conservation Idea

As shown in Table 5.3, the industrial heritage conservation idea was first presented by the Chairman of Yufu with his personal effort of organising a study trip to European cities as well as introducing the concept through public lecture in 2007. Secondly, in 2008, the heritage concept was supported by some government officials in the two municipal government departments of urban planning and heritage conservation, as well as by local experts who inventoried the industrial heritage buildings in a draft plan. Finally, during 2008 and 2011, approved by the CMG, the adaptive reuse of industrial heritage in the former CSF site was included in the official government documents.

5.3.1 An Initial Idea by the Project Champion

Having been interested in industrial heritage, the Yufu Chairman (D1)20 hoped some of the industrial heritage items in the former CSF site could be retained, as revealed by the following statement. The contribution of the Yufu Chairman was also confirmed by most interviewees involved in the CSF project, including the government officials in CUPB (G2, G3, G4, G7), the Yufu staff (D1, D2, D3 and D4), urban planners/urban designers (C1, C6, C8) and local artists (A1 and A10).

I used to work for the Chongqing municipal government and participated in some historical heritage projects before. These experiences led me to formulate ideas for Chongqing’s urban development. I personally hoped some industrial heritage in the CSF could be retained and reused as a public museum. (Int: D1, Chairman, Yufu)

The Yufu Chairman first presented the concept of industrial heritage conservation to the government officials and his colleagues in 2007. In order to benefit from prior experience of successful international precedents of industrial heritage reuse, as well as inculcate the heritage conservation idea to the government officials, the Yufu Chairman organised study trips. He invited some senior government officials, his colleagues, local design professionals, and academic experts, to visit over 100 precedents in cities in England, Germany, France, Denmark, Switzerland, Austria, the Czech Republic and Hungary. The Yufu Chairman emphasised that “the United

20 The interviewee codes were identified in Chapter 4, see p.86-88. 119

Kingdom was the focus of our field trips, as it is a traditional industrial country. The invention of the steam machine and the industrial revolution occurred there” (D1). Figure 5.10 presents photos taken by the Yufu Chairman on study trips.

In addition, to persuading others to accept the industrial heritage conservation scheme, the Yufu Chairman introduced what he had learned through public lectures and reports. In his lecture PowerPoint, the Yufu Chairman identified a series of valuable international precedents what could be applied in Chongqing. Examples in the United Kingdom were underscored, including “the Ironbridge Gorge in Shropshire, the Swindon Railway Works in Swindon, Halifax Textile Mills (Dean Clough Industrial Park) in Yorkshire, the Chatham Historic Dockyard in Kent, Tate Modern Gallery in London, the Blaenavon Ironworks and the Rhondda Valleys in Wales”, while examples in Germany also included the Ruhr as “a good example in Germany. It includes the Zollverein Coal Mine Industrial Complex and the Landschaftspark Duisburg-Nord.”

Figure 5.10: Study trips in European cities organised by the Yufu Chairman

Source: The Yufu Chairman’s report (He, 2013), translation by the author 120

5.3.2 Further Support by Local Government Officials and Scholars

The Deputy Bureau Director in CUPB (G2) initiated research on Chongqing’s industrial heritage. The urban experts at Chongqing University (E1 and E2) were commissioned to prepare the Chongqing Industrial Heritage Conservation Master Plan (2008) (Figure 5.11), inventorying local industrial heritage and providing a reference for future heritage policy for CUPB. The Project Manager of Chongqing Industrial Heritage Conservation Master Plan (E1) explained the role they played in the planning proposal, including “assessing each industrial building based on the criteria of culture, society, science and technology; grouping the industrial buildings and sites into three categories; and then providing suggestions on the three categories of heritage items”. The CSF was classified in the first category as the most important of the industrial heritage sites, with suggestions that over fourteen industrial buildings and facilities be retained. Nevertheless, some interviewees, such as the Deputy Bureau Director of CUPB (G2) and the experts (E1 and E2), pointed out that due to time limitations, the heritage plan proposal was more like a general concept, which listed a broad range of industrial heritage items, but lacked specific assessment and reuse strategies for different industrial sites.

Figure 5.11: Chongqing Industrial Heritage Conservation Master Plan

Source: Chongqing University (2008), translation by the author 121

Although this master planning proposal was not an official government document, the heritage conservation idea was also supported by the government department for heritage conservation of CBCR. The Chief Engineer in CBCR (G7) stated that the No. 29 Arsenal in the CSF was designated as a municipal-level protection item with the force of law. Figure 5.12 shows a photograph of the No.29 Arsenal and its site plan.

Photograph of the No.29 Arsenal

Site plan of the No.29 Arsenal

Figure 5.12: The municipal-level heritage protection item of No. 29 Arsenal

Background figures: Beijing An-design Architects (2015), provided by Chongqing Industrial Museum Co., Ltd., translation by the author 122

5.3.3 Official Approval by the Chongqing Municipal Government

Following the efforts described above by the Yufu Chairman and some of the government officials and local urban experts, the industrial heritage conservation idea in the CSF project was approved by the CMG, included in the formal government documents and made public in local newspapers.

(1) Including the idea in the official government documents

Local authorities listed the Chongqing Industrial Cultural Museum created from the CSF site as a key cultural project in the government documents. The documents included the Twelfth Five Year Plan of Chongqing: 2011-2015 (Chongqing Municipal Government, 2011), the Twelfth Five Year Plan of the Dadukou District, Chongqing: 2011-2015 (Chongqing Dadukou District Government, 2011a) and the Special Planning for the Development of Service Industry in the Twelfth Five Year Plan of the Dadukou District, Chongqing: 2011-2015 (Chongqing Dadukou District Government, 2011b).

For instance, in the Special Planning for the Development of Service Industry in the Twelfth Five Year Plan of the Dadukou District, Chongqing (2011-2015), the former CSF site was to be redeveloped as “a waterfront complex including a commercial area, a cultural area and an entertainment centre”. By dividing the industrial site into “the heritage protection construction, the heritage reuse area, and the demolition area”, the CSF site was assumed to “protect and develop its heritage resource and to continue its historical context”. In addition, it was highlighted to reuse some typical industrial buildings in the former CSF site as a museum precinct.

In the Twelfth Five Year Plan of Dadukou District, Chongqing: 2011-2015 (Chongqing Municipal Government, 2011a), the transformation of the former CSF site was aimed at converting industrial heritage for local cultural industry, mainly covering design, crafts, arts and music. The document stated that “some of the industrial buildings and facilities that define the site’s historical identity could be reused as a creative industry cluster for local artists”, and cultural festivals like an art exhibition could also be accommodated.

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(2) Publicising the idea in local newspaper

The industrial heritage conservation idea was firstly publicised in the Chongqing Evening News on 10th January 2007. The Chongqing Evening News reported that “the regeneration of the former Chongqing Steel Factory site would include two theme parks. The first is a waterfront public park along the Yangtze River. The second is an industrial theme public park that is to exhibit the steelmaking process of the factory. These two public areas will be free for the public” (Wang, 2007). In the Chongqing Morning Post, it was reported that the former CSF site would be converted into mixed-uses, including a cultural precinct, an entertainment area, an industrial-themed tourism attraction, and a commercial complex. The cultural precinct refers to adaptive reuse of some of the industrial heritage items as artists and artisans’ quarters, as well as a Steel-city Cultural Park, which would cover 10 hectares (Huang and Li, 2008).

In addition, an interview with the Yufu Chairman (D1) by the Chongqing Morning Post (Jiang, 2007) stated that “the Chongqing Steel Factory has 117-year history and cannot be demolished completely. Its regeneration plan must place much emphasis on retaining industrial heritage. The industrial buildings could be reused as an industrial-theme museum. Some industrial facilities that may not be retained in their original position could be placed in the museum as exhibits”. The above reports have shown that new visions for the former CSF site were not exactly the same, though one thing in common was that the CSF regeneration would adaptively reuse some of its industrial heritage items as a cultural precinct.

5.4 Factors Influencing the Industrial Heritage Conservation Idea

The interview data in Figure 5.8 shows that the industrial heritage conservation idea was influenced by the interplay of exogenous and endogenous factors. Exogenous factors include the Chinese and international precedents. Endogenous factors refer to Chongqing’s motivation to promote its city branding through the CSF project due to its regional and national significance.

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5.4.1 Exogenous Factors: The Chinese and International Precedents

Regarding the subsidiary research question (SQR1) – Where did the idea come from: to what extent do they draw on the International and/or Chinese precedents? - most interviewees involved in the CSF project gave a definite answer. Firstly, the field trips organised by the Yufu Chairman had directly expanded the thinking for a local solution, as stated by those who attended the study trips, including the participating urban planner (C1), the Yufu staff (D3) and the government official in CBCR (G7). One urban planner (C1) expressed her feelings about examples in Barcelona:

“Barcelona did a good job in industrial heritage reuse. I remember that a cotton factory there was reused as a library. The light through the saw-tooth roof was very gentle and was suitable for a library”.

(Int: C1, Chief Urban Planner, CIMC)

Secondly, most design consultants participating in the CSF project (C3, C4, C5, C6, C8, C9 and C10) and the staff members in Yufu (D1, D3 and D4) stated that they had drawn on the international precedents, partly from the lectures given by the Yufu Chairman and partly from visiting heritage reuse cases themselves. In addition, successful examples in the leading eastern cities were also studied by the design consultants. Beijing, Shanghai, Guangzhou and Nanjing being widely cited in the interviews. Figure 5.13 shows some Chinese heritage cases visited by the participating urban designers.

The Capital Steel Park in Beijing

The 798 Art Zone in Beijing 125

The Qijiang Park in Zhongshan

The Jinling Manufacturing Bureau in Nanjing

Figure 5.13: Case visiting of heritage reuse in Chinese cities by the participating urban designers

Source: Chongqing La Cime (2009)

5.4.2 Endogenous Factors: City Branding and the Significance of the CSF

Although the industrial heritage conservation idea was influenced by both the international and Chinese precedents, most interviewees emphasised endogenous factors - that is Chongqing’s city branding, as well as the regional and national significance of the CSF.

(1) City Branding: Chongqing as an Industrial City

Developing the CSF as a public heritage precinct was seen as a means of building Chongqing’s city branding. The discussion below covers three aspects: Chongqing’s contribution to China’s industrialisation, Chongqing’s rich industrial legacy and the benefits of industrial heritage reuse.

Chongqing’s contribution to China’s industrialisation

Most interviewees, including the government officials in CUPB and CBCR (G2, G3, G6, G7 and G8), the Yufu staff (D1, D3 and D4), local urban planners /urban designers (C1, C3, C4 and C5) and two urban experts (E5 and E6), highlighted that

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Chongqing’s industrial history was part of the city’s urban tradition and an important part of its cultural identity. Although Chongqing made the transformation to industrialisation a half century later than the eastern cities, Chongqing’s industrial history was uninterrupted and contributed greatly to China.

First, in terms of its long and continuous history, Chongqing is one of the earliest industrial cities in West China. Chongqing’s history records the whole process of China’s industrialisation, spanning the Treaty Port Period (1891-1936), the Wartime Period (1937-1949), the Post-war Period (1950-1962), the ‘Three Fronts’ Regionalisation (san xian jian she) Period (1963-1977) and the Reform Period (1978-present) (Xu, 2014; Zhang, 2009; Zhao et al., 2010). The leading eastern cities, by comparison, stagnated during the wartime period.

Second, regarding the city’s contribution to national industrialisation, due to a geographic defence advantage, Chongqing had served as the defence city for China and thereby made a significant contribution to the country in the Wartime and ‘Three Fronts’ period. Chongqing was China’s capital during the Sino-Japanese War (1937- 1945). From 1938, over 400 large-scale factories located in the eastern cities were moved to the inland regions, while 243 factories of defence-related heavy-industries moved to Chongqing (Xu, 2014). The city experienced a second industrial expansion between 1963 and 1977, during a policy called ‘Three Fronts’. It was a regional scheme for the allocation of industrial resources (Han and Wang, 2001), carried out by the central government for the same defence reasons. The defence-related SOEs from the eastern provinces were moved to Chongqing while the Chinese central government allocated 118 industrial projects to Chongqing (Xu, 2014).

Chongqing’s rich industrial legacy

As a legacy of Chongqing’s industrial history from the early 1890s to present, historic industrial buildings and facilities were retained in Chongqing. They covered major types of heavy industry such as steel, weaponry, metallurgy, mechanical engineering, ship building and automobile production. In 2008, based on the criteria of culture, society, science and technology, the heritage expert in Chongqing and the professionals in CUPB listed the following industrial legacy of Chongqing. Table 5.4 shows the industry type, founding time and location of the main items of industrial legacy in Chongqing.

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Table 5.4: The main industrial legacy items in Chongqing Industry type Factory name Time Period Location

Metallurgy Chongqing Steel Factory 1890 Treaty Port Urban Chongqing Special Steel Factory 1919 Treaty Port Urban (No. 24 Arsenal*) Chongqing Metal Smelting Plant 1940 Wartime Suburban Chongqing Steel Corporation 1937 Wartime Suburban No. 4 Steel Plant Nuclear industry No. 816 Factory 1967 ‘Three Fronts’ Suburban Manufacturing West South Aluminum 1965 ‘Three Fronts’ Urban Processing Plant Mining Tianfu Colliery 1933 Wartime Suburban Nantong Colliery 1938 Wartime Suburban Songzao Colliery 1961 Post-war Suburban Chemical industry Changshou Chemical Plant 1939 Wartime Suburban Sichuan Vinylon Fiber Mill 1970 Reform Suburban Tianyuan Chemical Plant 1928 Treaty Port Urban Machinery Yangtze Power Station 1905 Treaty Port Urban manufacturing (No. 20 Arsenal*) Construction Factory 1890 Treaty Port Urban (No. 1 Arsenal*) Jialing Factory 1875 Treaty Port Urban (No. 25 Arsenal*) Chang’an Factory 1862 Treaty Port Urban (No. 21 Arsenal*) Jianglin Factory 1931 Wartime Urban (No. 20 Arsenal*) Wangjiang Factory 1931 Wartime Urban Tiema Factory 1941 Wartime Urban Sichuan Automobile 1965 ‘Three Fronts’ Urban Manufacturing Plant Chongqing Machine Tool Plant 1936 Wartime Urban Jinlin Mchinery Plant 1939 Wartime Suburban *Previous factory name

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Table 5.4 (continued): The main industrial legacy in Chongqing

Industry type Factory name Time Period Location

Machinery Chongqing Chemical Machine 1940 Wartime Urban manufacturing Plant Chongqing Motor Factory 1929 Treaty Port Urban Chongqing Crane Factory 1957 Post-war Urban Guoying No. 107 Factory 1966 ‘Three Fronts’ Suburban Guoying Hongshan Foundry 1966 ‘Three Fronts’ Suburban Automatic Tianxing Instrument Factory 1966 ‘Three Fronts’ Suburban instruments and Silian Corporation 1965 ‘Three Fronts’ Suburban meters Bashan Instrument Factory 1959 Post-war Urban Shipping industry Chongqing Shipyard 1927 Treaty Port Urban (Minsheng Machine Factory*) Chongqing Dongfeng Shipyard 1918 Treaty Port Urban Chuandong Shipyard 1967 ‘Three Fronts’ Suburban Lianjiang Company 1965 ‘Three Fronts’ Suburban Changping Machinery Plant 1965 ‘Three Fronts’ Suburban Light industry Chongqing No.3 Cotton Factory 1919 Treaty Port Urban Chongqing Silk Spinning Mill 1909 Treaty Port Urban (Sichuan Silk Corporation*) Shabagou Paper Mill 1938 Wartime Urban Chongqing Paper Mill 1904 Treaty Port Urban Chongqing Cannery 1956 ‘Three Fronts’ Suburban Chongqing Cigarette Factory 1907 Treaty Port Urban

Hechuan Match Factory 1930s Wartime Suburban Chongqing Beer Factory 1958 Post-war Period Urban Urban Chongqing Waterworks 1927 Treaty Port Urban infrastructure Chongqing Power Station 1954 ‘Three Fronts’ Urban Shizitan Power Station 1954 ‘Three Fronts’ Urban Gaodong Power Station 1944 Wartime Suburban Nangdu Power Station 1928 Treaty Port Suburban *Previous factory name Source: Xu (2014)

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The benefits of reusing industrial heritage

Converting an old industrial site into a heritage precinct was seen as beneficial for the city as well as local communities, as revealed by the following interviews. First, industrial heritage could be symbolic capital for city image. One senior government official in CUPB (G6) stated that “Chongqing is a traditional industrial city. Retaining some industrial heritage elements could present Chongqing’s industrial culture”. Although Chongqing has contributed greatly to China, as revealed by the Chairman of Yufu (D1), this contribution is “not well-known enough to most people outside Chongqing”. Unsurprisingly, the Yufu Chairman (D1) and some local government officials (G2, G3, G6 and G7) were eager to highlight Chongqing’s industrial contribution to China through the CSF regeneration project.

Second, for the local community, one government official in CUPB (G6) indicated that adaptive reuse of industrial heritage was “a good way of achieving sustainability”, whereas new construction “may have the same function, but lacks historical content”. As one urban designer (C4) stated, a commonly seen activity in most long-established urban areas given China’s fast development speed, was “demolishing and construction” – that is demolishing derelict buildings completely and replacing them with new construction. He saw such a practice as unfavourable for local communities, given that the industrial relics opened a window to the past, a form of “nostalgia” to the local community. He stated:

Some people have spent their whole life in these factories, born, grown up, worked, and retired there. But suddenly, these old factories were torn down, without any memories to be retained. To evoke people’s memories, it is necessary to convert some industrial heritage items into new uses. (Int: C4, Urban designer, Chongqing La Cime)

(2) The Significance of the National and Regional Contribution of the CSF

In response to the strong motivation to convert elements of industrial heritage into a heritage precinct, the CSF was selected as a showcase due to its essential advantages, in terms of historical value, location and substantial land area.

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Historical value

The historical value of the CSF was the most commonly stated factor, since the CSF was one of the earliest steelworks in Chongqing and regarded as the microcosm of industrialisation of this city, as discussed below.

First, rich industrial buildings and facilities with high cultural and aesthetic values were noted by most interviewees, including the government officials in CUPB (G2, G4, G6), the Yufu staff (D1, D3 and D4), the factory staff (F1 and F2), the participating design consultants (C1, C2, C4, C5 and C9) and three of the urban experts (E2, E4 and E6). One architect in CMCU Engineering (C9) pointed out that the CSF not only possessed “many valuable industrial heritage items that are memorable to the city”, but also had “the No.29 Arsenal - a municipal-level protection item - that must be retained.”

Apart from the physical value of the CSF, some interviewees (F1, C5 and C6) pointed out the rich archival material in the CSF. One director in the Chongqing Steel Corporation (F1) said that “when the Chongqing Steel Factory was relocated to Chongqing, nearly 10,000 pieces of scientific drawings and archives were also brought along”. Figure 5.14 shows the Chongqing Steel Factory Archives and its archival materials.

Figure 5.14: The Chongqing Steel Factory Archives

Source: Photograph by the author 131

Second, in terms of the economic significance of the CSF, this factory had been a major contributor to the economy of the Dadukou District. The statistics in the Longhua News (Zhang, 2011) indicated that the CSF contributed to 40% of GDP, 50% of industrial output value and 20% of tax revenue to the Dadukou District in the 2000s. The economic significance of this factory to the region and the city was highlighted by an urban designer (C4) by stating that “today we could say the Dadukou District was given birth by the Chongqing Steel Factory”. This viewpoint was also confirmed by an urban planner (C6) and a university professor in urban studies (E6).

Urban waterfront location

The CSF had an essential geographic advantage in its urban waterfront location, frequently recognised by the Yufu staff (D1 and D4), the government officials in CUPB (G4 and G6), the experts (E2, E4 and E6) and the urban planner/designer (C2 and C5). These interviewees highlighted the prime urban location of the CSF. One local heritage expert (E4) stated that “apart from the heritage value, the CSF has a location advantage. Others steel works with similar historical value are not located in the urban area”. Some interviewees emphasised the value of its waterfront location as an important stimulus for Yufu to redevelop the former CSF site. One university professor (E6) said that “the Chongqing Steel Factory was located in the Dadukou District which is a prime urban location. The waterfront is another advantage which improved its attractiveness for Yufu and local government”.

The CSF interfaces with 7.5 linear kilometres of the Yangtze River, yet most of the land had not been accessible to the public. Redeveloping the urban waterfront industrial land and recasting a new image for the former CSF site would have been beneficial for local government and the land banking agency Yufu. Firstly, for the government, reusing the industrial items in the former CSF site as a beautiful waterfront environment could recast a new image for the Dadukou District. The government report of the Special Planning for the Development of Modern Service Industry in the Twelfth Five Year Plan of the Dadukou District, Chongqing (2011 – 2015) wrote that “the Dadukou District was a ‘steel town’ and a ‘heavy-industry base’ in Chongqing. Adaptive reuse of the waterfront industrial heritage items in the former CSF site could help recast a new image for the Dadukou District”. This report also stated that converting the Dadukou District from “a steel town and a 132 heavy industry base” to “a high-quality environment” could boost the competitiveness of this region.

In addition, the improvement of the physical waterfront environment would help attract more investment and drive up the land price of the Dadukou District. It could help solve the problem of industry decline brought by the factory relocation. One staff member in Yufu (D4) stated:

“industrial heritage conservation could remedy the problem of industry decline in the Dadukou District, because reusing industrial heritage was suitable for developing local cultural creative industry and tourism.”

(Int: D4, Staff member, Yufu)

Secondly, it was considered that a high-quality waterfront environment would help promote property values. A similar viewpoint was advanced in the interviews with Yufu staff member (D4) and the participating urban designers/planners (C4, C5 and C6), that ‘branding’ with the theme of waterfront industrial heritage was a good selling point for the land banking agency Yufu. The staff member in Yufu stated:

“The job of Yufu is to sell land to the property developers. The Chongqing Steel Factory site is a wasteland with very poor public transport nearby, which is not beneficial for selling land. For us, it is better to have a theme we can use in selling land. Adaptive reuse of waterfront industrial heritage can be a good theme and would help promote the property’s value”.

Int: D4, Staff member, Yufu)

Substantial land area

The third advantage of the CSF was seen as its substantial land area, as pointed out by the Yufu Chairman (D1), an urban planner (C2) and a heritage expert (E4). The Yufu Chairman (D1) pointed out that “Chongqing has other steel factories. But those steel works are not the focus of industrial heritage conservation”. He chose the CSF as the showcase partly because “it covers an area of 7000 acres”, while “other factories such as the Chongqing No. 3 Cotton Factory and Nanan Tannery Factory only have 100 or 200 acres”. 133

A substantial land area would be beneficial for promoting the value and significance of a heritage precinct and for the development of a commercial agenda for the CSF site. The Yufu Chairman (D1) emphasised that “a small area is not good for a public museum”, while a large-scale heritage precinct could generate a local and even a national influence. The CMG listed the construction of an industrial- theme museum created from the former CSF site as one of the government’s key cultural objectives in its five-year plan from 2011 to 2015. Achieving the objective required that the heritage project should have a substantial land area to accommodate the needs of the local cultural community and showcase the government’s achievement.

In addition, the huge land area of the CSF offered potential for successful property development. New bulky blocks of apartment, large commercial districts and tourist- oriented zones would take up a large proportion of the land parcels. In addition, a place of residence and business needed utilities, regional rail links and other transport facilities. These actions logically required a sufficient amount of land and the 7000- acres land parcel of the former CSF site could accommodate all these services.

5.5 Summary

This chapter has described the origin of the intention to adaptively reuse industrial heritage for cultural purposes in the CSF project and that it was shaped by representations from individuals and organisations. At the same time, exogenous and endogenous factors have also contributed to the adoption of the heritage concept to the CSF project. These factors include international and Chinese precedents, and local motivation for promoting Chongqing’s urban branding and celebrating the regional and national contribution of the CSF to the country’s development. However, the outcome of the project departed considerably from its initial concept of providing a public heritage precinct to recognise Chongqing’s industrial landscape. As the project proceeded, pressure was exerted to maximise economic benefits. Substantial discrepancies between the articulated objectives and the actual outcomes in the CSF case occurred. The next chapter – Chapter 6 – will discuss the loss of industrial heritage value and the intervening factors shaping the outcome of the CSF project.

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Chapter 6

Mutation of the Industrial Heritage Conservation Idea:

Change to the Chongqing Steel Factory Proposal

This chapter addresses two subsidiary research questions SRQ2 ‘how did the idea change?’ and SRQ3 ‘why did the idea change?’ It investigates the power structure among the stakeholders by assessing the leading actors and their different roles and interests in the Chongqing Steel Factory (CSF) project. The chapter then reviews the major stages of the CSF regeneration project, and examines the factors influencing the dilution of heritage value at each stage.

6.1 Introduction

Chapter 5 revealed that industrial heritage reuse idea in the CSF project was a complex one, related to Chongqing’s historical identity, the influence of international and Chinese precedents, and the interplay of local development visions. The CSF was originally imagined as an authentic heritage precinct to commemorate the legacy of industrial landscape in Chongqing. However, as the project proceeded, pressure was exerted by key stakeholders in response to their financial considerations. Consequently, the original idea of regenerating the CSF as a heritage precinct was obscured by a commercial development agenda. After reviewing the planning process for the CSF project, four stages can be summarised in Figure 6.1 and Table 6.1. They include:

(1) the first adoption of the heritage reuse idea in the official urban design proposal;

(2) the expansion of the idea to embrace the reuse of twelve industrial sites;

(3) the drastic dilution of the original scale from twelve industrial areas into only one site; and

(4) the reduction of the size of the remaining museum for public exhibition.

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Figure 6.1: Changes in industrial heritage conservation through the four design stages

Source: Based on Chongqing La Cime and Canada Ekistics (2009), Chongqing Planning Research Centre (2010, 2011), Avanti Architects (2011), CMCU Engineering (2012), CMCU Engineering and HMA Architects & Designers (2015) 136

Table 6.1: Change of the reuse of industrial heritage through four stages

Stages in the design proposals Industrial heritage Year Floor area Reuse function retained (Hectares)

Original design concept: Power plant gasometer 1980s 0.19 Hotel and theatre Urban design proposal by Canada No. 2 Building 1970s 0.08 Fire control room Ekistics & Chongqing La Cime No.3 Building 1950s 0.07 Staff rooms Traffic police building 1950s 0.06 Staff rooms Red Building 1950s-1960s 0.12 Office building Old Milling Plant 1940s 0.04 Leisure complex No. 5 Plant 1950s 0.88 Commercial complex Steel Milling Plant 1980s 0.9 A museum and a creative industry cluster Idea expansion of the concept: Power plant gasometer 1980s 0.15 Hotel and theatre Land use proposal by CUPB Traffic police building and NA 0.20 Staff rooms No.3 Building Coking plant 1980s 0.42 Public space Blast furnace 1980s 1.02 Public space Red Building 1950s-1960s 0.13 Communities’ entertainment centre

Telephone exchange 1980s 0.04 Suggested retaining the structure while leaving No.2 Steel Plant 1950s 0.74 its future function to be negotiated with the Western-style building 1950s 0.04 developer

No. 38 Building 1938 0.22 Old Plant 1940 0.05 Old Milling Plant 1940s 1.09 Steel Milling Plant 1980s 2.02 Museum Major dilution of the concept: Steel Milling Plant 1980s NA Museum Land use proposal by Yufu Further mutation of the concept: Steel Milling Plant 1980s NA Museum, office complex, creative industry Architectural design proposal by cluster, commercial complex Avanti, CMCU & HMA

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6.2 Major Actors, Roles and Interests in the CSF Project

The means of redeveloping the industrial land in the CSF project was through the land banking system where the land bank agency purchased the industrial land from the state-owned enterprise (SOE). The land was purchased at a reasonable cost, while the land use rights for various sites were transferred at a high price to property developers. Later, under the land development guidelines, property developers converted the industrial lands into other uses. This way is very different from that of the socialist period before 1978. Previously, local governments were constrained for direct land development, because most land parcels were administratively allocated to the SOEs, and few sites were obtainable in the government’s land bank (Xu et al., 2009). Since the introduction of the land leasing system in 1988, land ownership and land use rights have been separate. The use rights of state-owned land can be transferred in the market, while the ownership is maintained by the state (Han, 2000; Ma and Wu, 2005; Wu and Yeh, 1997; Yeh, 2005). The first example of a land banking system was established in Shanghai in 1996, and contributed greatly to relieve the economic pressure on local government generated by the tax-sharing system 21 (Han, 2000; Tian and Ma, 2009; Xu et al., 2009). Therefore, setting up a land bank agency soon spread to most Chinese mega-cities, including Chongqing.

Major actors in the CSF case include local government, the Chongqing Municipal Government (CMG); its government department, the Chongqing Urban Planning Bureau (CUPB); the SOE Chongqing Steel Corporation (CSC); the land banking agency Chongqing Yufu Assets Management Corporation (Yufu); and its subordinate developer Chongqing Industrial Museum Co., Ltd (CIMC); as well as the design consultancies. Figure 6.2 shows an organisation chart, and Table 6.2 and Figure 6.3 summarise the roles and interests of these main actors.

The land use rights of the CSF were transferred from the CSC to Yufu and, in turn, to the property developers through the primary urban land market. Specifically, Yufu acquired the land use rights of the industrial land from the CSC, provided urban infrastructure such as roads, electricity and water for the land, and transferred land use

21 To increase the central government’s share in the fiscal revenue, a tax-sharing assignment system was introduced. It divided the tax revenues into centrally collected taxes, locally collected taxes and shared taxes between the central and local governments (Cartier, 2005; Han, 2000; Shen, 2005; Wang, 1997; Wu, 2000; Zhang, 1999, 2000), while cutting most funds that previously came from the central government. Local government has to deal with funding for its public education facilities, welfare programs and city infrastructure (Zhang, 2000). 138 rights to property developers through the procedures of ‘public tender, auction, quotation or negotiation’ (zhaobiao paimai guapai xieyi). From the 1990s, a policy of ‘supressing the manufacturing industry and developing the service industry’ (tui er jin san) was initiated by the CMG for the inner industrial sites. To make way for developing tertiary industry in urban Chongqing, most inner-urban factories were required to be relocated from the urban prime locations which they had previously inhabited to the outskirts of the urbanised area. The CSF relocation and its regeneration plan were made under such a policy background, for the three reasons outlined below.

First, the most widely mentioned reason by most interviewees was the unacceptable level of pollution produced by the CSF. Characterised as “three heavies” - namely, “heavy industrial base, heavy chemical industry and heavy pollution”, the CSF was regarded as the major pollution source in urban Chongqing (Deng, 2006, 2007; Liu and Wang, 2007; Gao, 2006). One government official (G4) stated that the environment of urban Chongqing had been polluted with excessive noise, noxious gases, waste water and the residue of the steel manufacturing process of the CSF.

The second reason was the potential economic revenue from urban residential and commercial land as opposed to the ground rent of industrial land. Chongqing’s high rate of urbanisation has resulted in high urban land values - including the Dadukou District where the CSF was located. Since the Chongqing municipal officials realised the potential opportunities of the valuable inner city industrial land, capitalising on its exchange value by transforming the old CSF into a high-value land use was an attractive task for the Chongqing municipal officials.

The third reason concerns the factory industry upgrade, as pointed out by the factory staff (F1 and F2), the Chairman of Yufu (D1), the General Manger of CIMC (D3) and one expert (E3). Due to continued use of outdated technology, the steel production of the CSF was very low in comparison to the balance of China’s steel industry and could not compete with the productivity of other steelworks. Its production was three million tons per year, while similar steel plants contributed more than ten million tons per year from the same approximate design capacity. Therefore, with the support of the municipal government, the factory leaders were eager to relocate the factory, upgrade technology and increase steel production.

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Figure 6.2: Organisation chart for the CSF project Source: Based on the interviews 140

Table 6.2: Actors in the CSF project Actor Organisation Role and contribution Interests

Government Chongqing Municipal The initiator of the CSF relocation To tackle the CSF pollution Government The driver of the CSF implementation scheme To guarantee the CSF relocation cost To regenerate the decaying industrial area Government Chongqing Urban Planning The project coordinator among different actors To supervise the CSF planning process Department Bureau The project supervisor To conserve some industrial heritage Land bank Chongqing Yufu Assets The capital investor who: To pay back the investment debt arising from the Agency Management Corporation Purchased the land use right of the CSF from factory relocation the CSC; To gain more economic return by property Financed the CSF relocation; and development Responsible for land improvement and land To promote the property value through reusing planning some industrial heritage

Property Subsidiary property development Operation and supervision of the heritage To construct and operate the industrial heritage developer company under Yufu: precinct created from the industrial site precinct Chongqing Industrial Museum Co., Ltd State-owned Chongqing Steel Corporation The land supplier who transferred of the land To pay back the debt arising from the factory enterprise use rights of the CSF to Yufu relocation The factory property owner To upgrade technology and increase steel The factory removal and relocation operator production Design Chongqing Urban Planning and The CSF regulatory plan proposal To meet the client’s requirement consultants Design Institute To conserve industrial heritage Chongqing La Cime Corporation The CSF urban design proposal Canada Ekistics Chongqing Planning Research The CSF regulatory plan revision Centre Avanti Architects Master plan of the heritage precinct created from the industrial site CMCU Engineering Corporation Architectural design of the heritage precinct HMA Architects & Designers created from the industrial site

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Figure 6.3: Thematic network of key actors in the CSF project Source: Based on the interviews 142

6.2.1 The CMG as the Initiator and the Driver of the Project

The first significant player in urban development in post-reform China is local government. The role of the CMG is a complex one – in the words of the Chongqing Urban Planning Committee member (E5): “In the game of land redevelopment, the Chongqing government is like a referee but also an athlete”. As a “referee”, by setting up government regulations, the CMG has retained control over future development and exerted regulatory power on how the land was to be developed. As an “athlete”, the CMG empowered its department of urban planning CUPB and its land banking agency Yufu as the representatives of the CMG. The CMG was not involved directly in the CSF regeneration project throughout the planning and implementation process. However, it has played a role in the background as the initiator of the CSF relocation and the driver of the implemented scheme.

As the initiator, with the major goal of helping SOEs to restructure and survive, the CMG approved the CSF relocation, and contributed to the solution of the relocation cost by encouraging the partnership between the SOE (the CSC) and the land banking agency (Yufu). The decision to keep and relocate the factory was a big economic burden for the Chongqing authorities because the cost of relocating the factory and tackling the social problem of compensating the laid-off workers was extremely high, up to 40 billion RMB.

The CMG organised the CSF Relocation Coordination Committee to arrange relocation finance. The China Development Bank, China Construction Bank, China Agriculture Bank and China Transport Bank provided 5.5 billion RMB to Yufu (Ren and Liao, 2007; Sun et. al., 2007). Together with the bank loans and self-raised funds, Yufu initially financed 7.5 billion RMB and further invested over 10 billion RMB for the CSC, while the rest was paid by the CSC itself.

As the driver of the implementation plan, the CMG transferred the CSF regeneration task to Yufu and empowered CUPB to be the project supervisor. Regarding specific regeneration strategies in the planning and implementation process, most interviewees stated that the CMG would not interfere much with Yufu. As for industrial heritage conservation, the government officials in CUPB (G2 and G5), the Chairman of Yufu (D1), and the General Manager of CIMC (D3) said that the CMG had remained more

143 neutral on this issue – which meant that the CMG approved the idea of industrial heritage conservation, but had not, at that point, provided any financial support.

The interests of the CMG in the CSF project were related to the factory relocation and the future redevelopment of the old industrial site. The CSF relocation addressed the CMG’s concern about the level of the pollution in urban Chongqing and the transformation of the city’s industrial structure and helped Chongqing’s largest steelworks survive by upgrading its steel production technology. In addition, the CMG would acquire an economic return from the redevelopment of the CSF site. Most interviewees said that tax revenue could be gained by converting industrial land into mixed-uses. Apart from the tax revenue, according to the interview with one director in Yufu (D4), “most of the economic return of selling lands to the property developer belongs to Yufu, while a certain percentage was turned over to the municipal finance department”. This statement was also confirmed by two university professors in urban studies (E1 and E6).

In some cases, one urban planner (C1), two of the above experts (E1 and E6) and one property developer involved in a similar land banking agency (E7) suggested that the municipal government benefited greatly from indirect aspects, apart from its direct value added by the redevelopment of the former industrial site. Since Yufu served as the state-owned finance enterprise of the CMG, it, actually, works for the government, or at least, has a close relationship with the CMG. In the future, Yufu would likely finance other urban infrastructure projects in Chongqing for the municipal government.

6.2.2 Yufu as the Land Banking Agency and the Capital Investor

Yufu is one of the eight government-owned investment enterprises22 driven by the then Chongqing Mayor, Huang Qifan. The establishment of these investment enterprises was aimed at solving the financial shortage in big infrastructure projects arising from the tax-sharing system. Under the tax-sharing system, local governments’ tax revenues were reduced substantially, while most funds previously coming from the central government also declined. In addition, since local government could not obtain

22 The eight investment enterprises include: (1) Chongqing Chengshi Jianshe Touzi Gongsi, infrastructure investment; (2) Chongqing Kaifa Touzi Youxian Gongsi, financial services; (3) Chongqing Dichan Jituan, real estate development; (4) Chongqing Shuiwu Konggu Jituan, water supply wand sewerage services; (5) Chongqing Gaosugonglu Fazhan Youxian Gongsi, highways; (6) Chongqing Jiaotong Luyou Jituan, tourist facilities, (7) Chongqing Shuili Touzi Jituan, hydroelectric power generation; and (8) Chongqing Nengyuan Touzi Jituan, energy supply (Azuma and Jun, 2011). 144 finance directly from the market, a common solution was that local government established the investment enterprises as off-budget entities and had these enterprises collect funds through bank loans, bonds and investment trust companies (Azuma and Kurihara, 2011). In Chongqing, a similar economic model – ‘Chongqing Investment and Financing Model’ (Chongqing tou rong moshi) – was advocated by the then Chongqing Mayor, where the CMG established eight investment enterprises to finance urban development and major urban infrastructure projects.

The relationship between the CMG and Yufu can be understood as the public-public cooperation. The local government, namely the CMG, established the government- owned corporation Yufu in 2004. Yufu is responsible for financing the regeneration of the decaying industrial sites in urban Chongqing. From 2004 to 2006, Yufu provided over 5 billion RMB for relocating 45 factories, including 3.4 billion RMB for purchasing non-performing assets and 2 billion RMB for helping SOEs in the process of restructuring (Liu et al., 2006). In the case of the CSF project, Yufu served as the land banking agency and the major capital investor. In the property transaction deal, Yufu acquired the industrial land from the CSC and financed around 18 billion RMB in return. Its role was complex in the planning and implementation stage, with its functions including land improvement, land reservation, investment, planning, and transferring the land use rights to the property developers. One senior staff (E7) in a similar land banking agency remarked on the role of Yufu:

What we [the land banking agency] did was like housing refurbishment – buying a house, refurbishing the house and then selling it out. Generally speaking, it is not likely for us to lose money in the primary-level redevelopment of urban industrial land. We need to calculate economic accounts before purchasing industrial land. If the economic accounts look good, then we will proceed with purchasing land [land use rights] from the factories.

(Int: anonymous, E7, local land banking agency)

Yufu had the administrative order given by the CMG and its own interests to take care of in the marketplace, as pointed out by the Yufu staff (D2 and D4). Established by the government, Yufu had an administrative order for regenerating industrial land in

145 urban Chongqing, redeveloping the CSF in this case. As an independent corporation, Yufu tried to finance itself in the marketplace and become less dependent on government subsidies through its regular investment in banks, the stock market and the property market. Gaining higher economic returns through transferring land to property developers was the major concern of Yufu, as it would not only pay back the regeneration cost in a short time, but would also benefit from its own investments in the future. Yufu’s pursuit for fast economic return was emphasised by most interviewees, including the government officials, the Yufu staff, the factory staff, the designers and some experts.

Apart from the economic issue, heritage conservation was another concern arising from the personal effort of the Chairman of Yufu. The idea was not approved initially by Yufu due to the economic conflict over property development. As the Chairman (D1) and his colleagues (D2 and D3) stated, most directors in Yufu thought that adaptive reuse of industrial heritage was not Yufu’s mission. Instead, the priority needed to be placed on paying back the debt through property development. Nonetheless, the Chairman finally persuaded Yufu to proceed with industrial heritage conservation by citing the successful case of the Shanghai Xintiandi, arguing that creating a high-quality heritage landscape would help promote property values. As a result, a subordinate property development company Chongqing Industrial Museum Co., Ltd (CIMC) was founded for the construction and operation of the proposed heritage precinct.

6.2.3 CSC as the Land Supplier, Property Owner and Factory Removal and Relocation Operator

SOEs are regarded as “the largest consumers of real properties” (Han and Wang, 2003, p. 105) and “the largest potential land suppliers” (Han and Wang, 2003, p. 105), therefore have played an essential role in the industrial land redevelopment in post- reform China. Inherited from the planned economy, SOEs occupied a considerable amount of land in prime urban locations, and therefore were commonly portrayed as “socialist land masters” (that is, de facto owners of urban lands) (Hsing, 2006, p. 578; Shin, 2009, p.2833). However due to the problem of inefficiency and shortage of capital for production, most SOEs have been facing financial difficulty and following a similar trajectory of ‘bankruptcy, mergers and reorganisation’ (guan ting bing zhuan). The change in the land use system offered an opportunity for existing land occupants to

146 capitalise on their fixed real estate assets by supplying them to the land banking agency or property developers (Zhong, 2013). SOEs have widely adopted the practice of ‘land use replacement’ (tudi zhihuan) in which the land parcels they had previously inhabited were sold to the investors to finance factory relocation to new sites in the urban periphery (Hu, 2015). In the CSF case, the CSC is simultaneously the previous land owner, the property owner and the factory removal and relocation operator.

As the land supplier, the CSC seized the opportunity offered by the CSF project, quickly signed the contract with Yufu, and received an initial capital of 7.5 billion RMB for transferring the land use rights to Yufu in 2007 and a further amount of 10 billion RMB from Yufu. Together with the bank loans, the CSC succeeded in relocating the factory and continuing steel manufacturing on a new site in the Changshou District. Furthermore, as stated by the factory staff (F1 and F2) and the Yufu Chairman (D1), in response to China’s competitive steel industry, the CSC wanted to achieve the goal of ten-million-tons production per year by upgrading its backward technology and equipment.

As the property owner as well as the factory operator, the CSC was responsible for factory relocation by self-financing over 20 billion RMB for the removal process and construction of the new factory. However, due to the CSC’s financial difficulties23, most of the cost was met through bank loans, with a small amount from government subsidies. To gain a better economic return in a short time was of great importance to the CSC. According to the relocation incentive agreement with Yufu, the CSC would obtain a bonus of 800 million RMB if they could complete the removal plan in three years (Xia, 2014). To access the relocation bonus, the CSC hired a company called the Jiangong Group to clear the area within a short time. Consequently, clearing the factory quickly rather than concern for heritage conservation was the major task of the Jianggong Group, which was confirmed by the Deputy Bureau Director of CUPB (G2), and most interviewees in Yufu (D1, D3 and D4). Another important motivation of the CSC in demolishing the old steelworks was that they could recycle the old steel from the factory buildings into new uses which could save several million RMB, as explained by the above interviewees.

23 The operational losses of the Chongqing Steel Corporation were 1.47 billion RMB in 2011, 1.16 billion RMB in 2012, 2.49 billion RMB in 2013, and around 6 billion RMB in 2015 (Chongqing Steel Corporation, 2015). 147

In terms of heritage conservation, although the design consultants regarded it as beneficial for promotion of the CSC brand, surprisingly, the CSC was not interested in the adaptive reuse of industrial heritage. Some urban designers (C1 and C5) who had contacted the CSC for field reconnaissance stated that the CSC cared more about the business problem of increasing annual production to compete with other steelworks. However, one director in the factory (F1) did not agree with such statements, since much preliminary work regarding industrial heritage in the CSF had been undertaken by the Chongqing Steel Archive of the CSC. Nevertheless, the factory staff (F1 and F2) admitted that the CSC had not participated in the planning and design process for heritage conservation.

6.2.4 CUPB as the Project Supervisor and the Coordinator

The Chinese urban planning bureaus have been involved in land redevelopment since the early 1990s when they were empowered to serve as urban renewal project supervisors. Their role was defined in the 1989 Urban Planning Act that “land utilisation and all development within the planned area must conform to the plan and be subject to planning management” (the Ministry of Construction, 1990, p.8; Han and Wang, 2003, p.99; Han and Yan, 1999). The act also identified the role of Chinese urban planning bureaus in implementing planning control, including project registration and approval, issuing planning permits, the land use rights available, property ownership certificates, and the final inspection of the completed projects (Han and Wang, 2003; Wu, 1999). This allows the urban planning authorities to set up planning targets, to formulate design guidelines for the site, to check and approve the proposals before the commencement of any construction, and to inspect the completed projects (Han and Wang, 2003).

As the representative of the CMG in urban planning and development, CUPB served as the manager and supervisor of the CSF project by generating the development guidelines and issuing the planning permits. The CUPB also functioned as the broker of the project by coordinating the interests of the other players. In addition, CUPB had its own ideas for city development, since most staff in CUPB are also urban planning professionals. Its Deputy Bureau Director supported industrial heritage conservation and suggested retaining the overall industrial layout by using the integrity principle of

148 heritage, as pointed out by the director himself (G2) and the participating urban planners/designers (C1, C4 and C5).

6.2.5 Planning and Design Consultant as Dual Identity

The planning and design consultants included the Chongqing Urban Planning and Design Institute (CUPDI) for the 2007 regulatory plan proposal; Chongqing La Cime Corporation (Chongqing La Cime, in short) and Canada Ekistics Town Planning Inc (Canada Ekistics) for the 2009 urban design proposal; the Chongqing Planning Research Centre (CPRC) for the CSF regulatory plan revision; Avanti Architects for master planning the industrial cultural park; as well as HMA Architects & Designers and CMCU (China Machine China Union) Engineering Corporation (CMCU) for detailed architecture design. As Low (1994) points out, urban planners and architects have a dual identity. They are, on the one hand, “private sector planners and architects” who “have a role in the sphere of ‘commodity exchange’. They market their service and sell their information- quite legitimately- as private sector consultants and advocates to developers” (Low, 1994, p.133). On the other hand, they are “government planners and architects” who “play a role in the sphere of ‘welfare’…it is an essential part of the government planner’s job to identity the nature and location of need and, what is more, campaign for the relief of need” (Low, 1994, p.133). A crucial result of this dual identity was, correspondingly, their dual interests. As the “private sector planners and architects”, they needed to compete for providing their design services to their clients, the capital investor Yufu in this case. Meanwhile, as “government planners and architects”, their other interests were more associated with the public benefit as they had been educated to be the caretakers of the public interest, adaptively reusing the industrial heritage as a cultural precinct in this case. The roles of the above actors in the CSF project will be linked to the aspect of ‘power relations’ in the theoretical framework. ‘Power relations’ in the theoretical framework refers to the influence of the economic power of capital investors, political power of state regulations, cultural power of consumers, as well as the specific stakeholders involved and their roles in shaping urban space. This will be discussed in Section 7. 4, Chapter 7.

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6.3 First Modification of the Heritage Conservation Idea

The original idea to reuse the abandoned industrial site to acknowledge the legacy of Chongqing’s industrial heritage was in the 2008 CSF Urban Design Proposal by Canada Ekistics and Chongqing La Cime.

6.3.1 Reasons for the CSF Urban Design

Registered by Yufu, and arranged by CUPB, the international bidding of the CSF urban design was launched for three reasons. First, a preliminary regulatory plan proposal (kongzhixing xiangxi guihua) (Chongqing Ubran Planning and Design Institute, 2007) was conducted by CUPDI in 2007 before Yufu became the new land owner (Figure 6.4). Yufu, however, was dissatisfied with the 2007 version, due to the revised land scale and the lack of an urban landscape design strategy, as expressed by the Chairman of Yufu (D1) and the General Manager of CIMC (D3). In addition, the Project Manager (C5) for the 2009 urban design proposal remarked that the economic feasibility of the 2007 regulatory plan version was unlikely to be realised because of the intense scale of construction needed for the proposed floor space of 13 million square meters and the net plot ratio of 4. The scale of construction, as stated by one university professor (E1), could bring considerable benefits but this development plan had negative side effects since the existing infrastructure of transport and education in the Dadukou District could not meet the potential demand.

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Figure 6.4: The land use in the 2007 CSF regulatory plan proposal

Source: Chongqing Urban Planning and Design Institute (2007), provided by CUPB, translation by the author

The second reason given by some interviewees in CUPB and Yufu (G2 and D1), was the lack of consideration of industrial heritage conservation, which was also confirmed by the urban planner involved in the 2007 regulatory plan version (C2). The third reason for internationalising the design competition was the unusual quality of the waterfront. Since 2008, when Mr. Bo Xilai served as the Chongqing Party Chief, a strategic plan –

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Chongqing Two Rivers Four Banks (EDAW, 2008) – was launched to create a high- quality waterfront environment on both sides of the Yangtze and Jialing rivers in Chongqing, covering 3,465 hectares and 180 linear waterfront kilometres (Figure 6.5). Ten waterfront zones were identified, with specific goals and general urban design guidelines. Eight of the waterfront areas, including the CSF, were required to proceed with detailed urban design proposals. To expand its influence, local and international design consultants were invited to bid on urban design proposals of waterfront areas.

Figure 6.5: The 2008 Chongqing Two Rivers and Four Banks Strategic Plan

Source: EDAW (2008), provided by CUPB

6.3.2 The CSF Urban Design Proposal

Two goals were identified in the CSF design brief (Chongqing Urban Planning Bureau, 2008a). The first was to promote land values to remedy the industrial decline brought about by the factory relocation. The second was to adaptively reuse the industrial heritage site for the recognition of Chongqing’s historic industrial landscape.

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Four joint design consultants24 participated in the bidding with Canada Ekistics and Chongqing La Cime wining the bidding. In the winning proposal, three functional areas were established including the waterfront area, the public area and the residential area (Chongqing La Cime and Canada Ekistics, 2009) (Figures 6.6). The waterfront area consisted of waterfront and cliffs as green belts, and five green corridors as the visual and physical linkages from the city down towards the river’s edge. The public area contained a commercial core district, an entertainment complex and a cultural precinct which included industrial heritage converted into a museum and a creative industry cluster. The third area was to develop different types of apartments to meet housing demand in the Dadukou District. The above urban design proposal presents the original idea to reuse the abandoned industrial site. This industrial heritage reuse idea will be eroded through different design proposals, which shows how the industrial heritage reuse idea changed. The theoretical implications of the above process will be linked to the concept of ‘idea mutations’ that is to understand the process of importing an idea into a local situation. This will be discussed in Section 7. 6, Chapter 7.

Figure 6.6: The CSF Urban Design Proposal

Source: Canada Ekistics and Chongqing La Cime (2009)

24 The second is Australia Woods Bagot Design Company (Beijing Branch), the third Denmark VLA and the fourth, the Chongqing Planning and Design Institute, and Germany HPP Architects (Chongqing Urban Planning Bureau, 2008b), accessed on 29 September 2015, http://www.cqupb.gov.cn/2008new/content.aspx?id=17773. 153

The reasons given by the urban designers for the winning bid were their considerations of the balance between economic issues and heritage conservation. As the Project Manager (C5) reflected, a ‘safe’ strategy was adopted for the bidding - trying to consider each aspect of the project, especially, the economic aspects. A paradox was emerging in the minds of the participating urban designers. The urban designers (C4 and C5) admitted that more industrial heritage items were proposed for retention than originally intended. However, acknowledging it would greatly influence the commercial property development potential, the design team compromised by retaining a small area of industrial heritage in order to win the bidding. The Chairman of Yufu (D1), also as a bidding panel member, stated similarly that the winning proposal was more ‘mature’ in its consideration of the transport, waterfront, industrial heritage and property development issues.

6.3.3 The Heritage Conservation Idea in the CSF Urban Design Proposal

The urban designers listed eight industrial buildings to be retained and outlined specific reuse strategies, as shown in Figure 6.7. First, the Steel Milling Plant was selected for retention as the core heritage precinct which included the museum and the creative industry cluster. This steel plant was regarded as possessing high historical value since it represented the final step in the steel manufacturing process. The plant also occupied a prime location in the core waterfront area of the CSF with its unique topography and a convenient transport network. Second, several scattered heritage items, including the gasometer, the traffic police building, the No.2 Building, the No.3 Building, the Red Building, the No.5 Plant and the old milling plant were proposed for conversion into a tourism precinct.

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Figure 6.7: The industrial heritage sites in the CSF Urban Design Proposal

Source: Chongqing La Cime and Canada Ekistics (2009),

Translation by the author

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6.4 Expansion of the Heritage Conservation Idea

Since the urban design proposal lacked the force of law, to form a legal document, a regulatory plan was prepared based on the urban design guidelines in 2010. Commissioned and supervised by CUPB, its subordinate design consultancy CPRC was responsible for the regulatory plan proposal. As stated by the urban planners involved (C6 and C7), the detailed land use of each land parcel was specified, serving as the standard for transferring land to property developers in the future.

There were two different opinions regarding industrial heritage conservation in the land use proposal. Both proposals are analysed about the extent to which historic structure and components have been retained. The version encouraged by CUPB was to retain the whole industrial layout and embrace twelve heritage items by following integrated heritage management. It included the production line, the livelihood area and the railway (Chongqing Planning Research Centre, 2010) (Figure 6.8).

(1) The production line included mineral processing, iron making, steel making and steel milling. (2) The livelihood area included one 1950s office building, one logistics building, a cinema and a worker dormitory. (3) The main railway line was to be reused as a landscaped avenue with industrial facilities on both sides of a ten-metre green belt.

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Figure 6.8: The retained industrial heritage proposed by CUPB Source: Chongqing Planning Research Centre (2010),

Translation by the author

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6.5 Major Dilution of the Heritage Conservation Idea

As the project proceeded, the scale of industrial heritage conservation began to tip towards property development and financial considerations. Following is the discussion of the dilution of the heritage conservation idea and its influencing factors.

6.5.1 The Final Version of Land Use Proposal

Instead of the version developed by CUPB to retain twelve scattered areas, Yufu preferred to reuse one key area that included various types of industrial facilities. The General Manager of CIMC (D3) outlined the reasons for selecting the Steel Milling Plant. First, it was “the last procedure of steel manufacturing, which characterised much of the unique steel works”. Second, “the milling plant was spacious and suitable for conversion into an exhibition space” and third, “the plant had various industrial facilities, such as chimneys, a gasometer, and a railway”. More importantly, the Steel Milling Plant included a municipal level heritage protection item the No. 29 Arsenal.

At the end of 2009 when CUPB and Yufu were still arguing for their own versions of heritage conservation, the CSC suspended its steel production and relocated the factory to the new site in the Changshou District. The Jiangong Group was hired to clear the site quickly, and most industrial buildings were demolished in a short time. The Chairman of Yufu personally tried to retain some heritage items by discussing the issue with the CSC. This discussion turned out to be successful, as four buildings were retained, including the Steel Milling Plant, one blast furnace, the Red Building and the Logistics Building. The Chairman founded a subordinate company for the construction and operation of the heritage reuse project.

Nonetheless, in the interview with the staff in Yufu and its subsidiary property development company, CIMC, it was confirmed that in the final land use plan only the Steel Milling Plant was retained and converted into a heritage precinct (Chongqing Planning Research Centre, 2011) (Figure 6.9). However, the reuse of the blast furnace was still in discussion, while the Red Building and Logistics Building would most likely be demolished after the construction of the proposed cultural precinct.

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Figure 6.9: The sole industrial heritage site in the official CSF land use proposal,

Source: Chongqing Planning Research Centre (2011),

Translation by the author

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6.5.2 Reasons for Dilution of the Heritage Conservation Idea

Interviewees were invited to explain their understanding of the factors influencing the dramatic reduction in the heritage conservation area. The factors given by the interviewees at the stage of the CSF land use revision can be grouped into three: economic considerations, entrepreneurial governance and weak local support for the arts and heritage.

(1) Economic Factors

The most widely mentioned factors leading to the reduction of heritage conservation area were Yufu’s economic interests. It became inevitable that the many unique industrial heritage items were demolished to make way for successful property development. The economic issues included the investment debt of Yufu arising from the factory relocation, its need for fast economic benefits, and the conflicts between heritage conservation and property development, as discussed below.

First, the interviewees in Yufu (D1, D2, D3 and D4) highlighted that, for Yufu, in the face of the harsh reality of the high cost of the factory relocation, obtaining financial benefits through transferring land to property developers had to be given priority. Yufu’s economic pressure was also noted by one university professor in urban studies (E1), the Chief Planner in CUPDI (C1) and one senior government official in CUPB (G6). The above views were further confirmed by the Project Manager in Chongqing La Cime (C5). He revealed that some parcels of industrial land in the CSF had been heavily polluted, which unsurprisingly, had increased the economic burden on Yufu.

Yufu has been under great economic pressure since the existing land parcels already have high costs resulting from the CSF relocation, the remediation of land contamination, and other numerous costs in transferring land. The CSF has manufactured steel for over one-hundred years. Some land parcels had a serious contamination problem and were more difficult to sell. Yufu knew that situation very well and that there was low demand in the market for the polluted land. Yufu did not have much money for heritage conservation. (Int: C5, Project Manager, Chongqing La Cime)

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Second, property development, in comparison with heritage conservation, was clearly a much faster way to obtain economic benefits. In one urban designer’s words (C4), “property development can bring about economic gain in a short time”, and, “investment in large-scale heritage conservation needs a lot”. One university professor in urban studies (E1) added that the fast economic return could be guaranteed due to the high value of waterfront urban land in the CSF site. For Yufu, reducing the scale of the retained heritage could leave more urban land for property development. As he remarked, “the more industrial heritage that was retained, the less money from land transfer for Yufu”.

Third, it was frequently stated that adaptive reuse of industrial heritage conflicted directly with property development. As emphasised by the Chairman of Yufu (D1), the version of twelve scattered conservation areas proposed by CUPB was too difficult to realise, since “these twelve scattered areas would influence greatly land values at the next step of transferring land to the private developers”. He explained clearly the influence of heritage conservation on land values:

For example, to conserve a blast furnace is not only to retain the heritage itself. It would also influence the surrounding land, such as architecture style, building density and height. The property developer who takes over the land parcels surrounding the heritage sites, needs to meet the requirements brought by the retained heritage. It would become inevitable that the value of the surrounding land would be reduced. (Int: D1, Chairman, Yufu)

The influence of the scattered heritage items on property development was also explained by the Chief Planner in CUPDI (C1) and the expert in heritage conservation (E2). Adaptive reuse of industrial heritage is a costly operation for Yufu. Firstly, the land parcels that the retained industrial heritage had taken up, could not be developed into high-rise blocks. Secondly, honouring the grid of the historical streetscape, to some degree, constrains the construction of new avenues and buildings. The layout of the surrounding land parcels would meld into the fabric of the industrial heritage items, and the new road system would follow the existing road network, thereby causing small fragmented land parcels to emerge. However, these small parcels would likely lose their desirability in the real estate market as new bulky apartment blocks and large

161 commercial districts are not able to fit easily into small and fragmented parcels. Thirdly, new construction in the heritage area would be subject to design guidelines, requiring that the heritage items be honoured and that new facades be visually compatible with the historical environment surrounding them. This requirement would apply to plot shapes, architecture styles, fire safety, building sizes and street width. Fourth, the antiquated construction of industrial buildings made it difficult and costly to adapt them to current dwelling standards and contemporary fire regulations. The additional cost of heritage reuse and maintenance would greatly increase the cost burden on Yufu.

(2) Governance Factors

The disadvantages of the current approach adopted in the CSF project were pointed out by one government official in CUPB (G3) and an urban designer (C5). In their view, the development plan had the advantage of ‘efficiency’ in that it could achieve the main goal of the CSF relocation in a short time. However, it only included the main stakeholders such as the municipal government and its departments, Yufu and the CSC, whose primary interest was economic return. Groups possessing knowledge of and concern for adaptive reuse of industrial heritage were excluded. A crucial result of this approach was that the development plan had a highly entrepreneurial nature – more oriented towards property development and disadvantaging heritage conservation. Apart from the general entrepreneurial nature, specific governance issues in the CSF project included the lack of the political, financial and moral support for industrial heritage conservation, the absence of third parties, and the lack of relevant legislation and regulations on adaptive reuse of industrial heritage.

The Political Issue: Lack of Support from the CMG

A significant comment made by the interviewees in Yufu and CUPB regarding the difficulty of heritage conservation was the lack of the political, financial and moral support by the CMG which contributed to an outcome focused on property development at the expense of heritage conservation. The idea of adaptive reuse of industrial heritage in the CSF project had not received any financial support from the CMG, as confirmed by the Chairman of Yufu (D1) and the General Manager of CIMC (D3). The Chairman of Yufu (D1) stated that the local authorities presented the task to finance the factory

162 relocation as a priority to Yufu. Consequently, it was hard for the Chairman to proceed with industrial heritage conservation without the government’s support. As the Deputy Bureau Director of CUPB reflected:

Industrial heritage conservation depends on how much attention has been paid by the government officials. One senior municipal government official mentioned that reusing one chimney and one plant was enough in the CSF project. Lacking [moral and financial] support from the municipal government, it is hard for us to retain industrial heritage. (Int: G2, Deputy Bureau Director, Jiangbei District, CUPB)

The key reason for the local authorities being unsupportive towards heritage conservation was related to finance. The university professor in urban studies (E1), an expert in heritage conservation (E2) and an artist (A1) suggested that the lack of support was inevitably related to local government revenues. In fact, the government’s revenue largely relies on the economic development of the city. However, Chongqing is relatively underdeveloped in economic terms in comparison with the leading eastern cities such as Beijing and Shanghai. Therefore, the Chongqing authorities had been under great pressure to promote economic growth in order to generate more local fiscal revenue. In the face of the harsh reality of its less-developed economy, the Chongqing government’s economic development agenda was given priority. Heritage conservation appears to be, by comparison, a secondary consideration. As one expert remarked,

if the Chongqing municipal government had been very rich, then it could have overcome the finance problem in the CSF project. Unfortunately, the Chongqing Municipal Government cannot support heritage conservation because its municipal financial department is also short of money. (Int: E1, University professor, Chongqing University)

The Absence of Third Parties

Another frequently mentioned factor is the absence of third parties with knowledge regarding industrial heritage conservation. In the words of the Project Manager in Chongqing La Cime (C5), third parties include “the assessment group [specialists], the ordinary people and the design professionals”. He believed that the project outcome 163 would have been better if it had allowed more groups to make their voice heard in the decision-making process.

A heritage assessment body is of great importance among third parties for effectively implementing the idea of industrial heritage reuse. The absence of such a heritage assessment specialist in the CSF project was confirmed by the urban designers in the bidding (C4 and C5) and the urban planners involved in the land use revision (C6). The design consultants conducted a field reconnaissance in the CSF site and inventoried the heritage items, which, however, did not follow a strict heritage assessment procedure. One government official in CUPB (G3) also noted the absence of the assessment group in the CSF project and stated that “it lacks a robust assessment of heritage value, which led to much heritage being demolished”. One local expert in heritage conservation (E4), whose team has been involved in a project on local heritage conservation - Chongqing Historical Cultural City Protection Plan - since 2015 (Chongqing University, 2015), confirmed that local heritage specialists were not invited to conduct an assessment of the industrial heritage items in the CSF.

Another essential but absent group was the public. Some urban designers/planners (C4, C5 and C6), one senior government official in CUPB (G5) and the Chief Engineer in Chongqing Bureau of Cultural Relics (G7) highlighted the importance of the role of ordinary people in promoting the public visibility of the retained industrial heritage. The government official (G5) stated that, “if ordinary people cared about the value of industrial heritage, then conversely, it could encourage the government to pay more attention to industrial heritage”. The reasons about why the ordinary people did not care about the industrial heritage include local people’s poor recognition of the value of industrial heritage, as discussed in the next section on Chongqing’s cultural context. The discussion about why the public involvement is absent in the planning process involves the entrepreneurial nature of power relations in the CSF project. This will be discussed in Section 7.4 Entrepreneurial Nature of Power Relations and Loss of Industrial Heritage.

Regarding the expert group, while the development plan included experts on the panel, a number of interviewees including the urban designers/planners (C5 and C6), the experts (E1 and E4), the factory staff (F1) and the government official (G5) outlined the very limited influence of urban experts in the CSF project. However, one urban 164 designer (C4) commented that some panels were not neutral enough as sometimes they still supported the interests of property developers.

In addition, as confirmed by most artists interviewed, the local artist community was also absent in the planning and implementation process of the CSF project. In some cases, artists were not interested in participating in this process. As one local cartoon artist (A4) explained, “the CSF project is more like a property development project. Yufu would like to promote property values through reusing very few industrial heritage items and integrating them into a heritage precinct. This tactic is just for economic benefits, rather local cultural needs”. Most artists believed that after Yufu succeeded in promoting the value of the property and encouraging new development, it would be impossible for artists to afford studio space in the CSF site.

Lack of Legislation and Regulation of Industrial Heritage

The wholesale demolition of industrial buildings by the CSC reflects the absence of industrial heritage assessment in the CSF project, but also a lack of legislation and regulation for industrial heritage conservation in Chongqing, as revealed by the following interview data. The CSF project lacked a robust industrial heritage assessment that is a compulsory action in heritage conservation, as revealed by the General Manager of CIMC (D3), the government officials in CUPB (G2 and G3), the Chief Engineer in Chongqing Bureau of Cultural Relics (G7), the Deputy Director in the Chongqing Cultural Heritage Research Institute (G8), the design consultants (C2 and C5) and a local expert (E4). The General Manager of CIMC (D3) stated that “in the official assessment document of heritage conservation, industrial buildings which can be removed and which can be retained, as well as who to reuse the retained heritage items need to be identified.”

For a better heritage conservation result in the CSF project, some interviewees provided insights into when and how industrial heritage could be assessed. One urban designer (C5) emphasised that the assessment work should be done before the factory removal, so that “the most valuable industrial heritage could be outlined and retained with a protection order”. Similarly, one local expert in heritage conservation (E4) said that “if the CSF project was regarded as a heritage project, then the assessment needed to be done before the factory removal. The lack of such an investigation resulted in the

165 absence of standards that could restrict future development”. Speaking of how the heritage should be assessed, the Deputy Bureau Director of CUPB provided some suggestions:

Industrial heritage should be taken into China’s heritage system with the force of law. According to China’s official assessment requirements for heritage conservation, heritage is grouped into country-level, municipal- level, district-level, excellent historical-level, and historical-level protection categories. But the CSF project has had no such assessment [so its position in the hierarchy is unknown].” (Int: G2, Deputy Bureau Director, Jiangbei District, CUPB)

In the CSF project, one single site, designated as the No.29 Arsenal, was granted by the Chongqing Bureau of Cultural Relics as a municipal-level heritage protection item with the force of law, so, it cannot be removed. However, other industrial buildings did not have such protection orders. In this regard, the CSC, as the property owner, had the right to deal with the other industrial buildings as it saw fit. An inevitable consequence in the CSF project was, as stated by the General Manager of CIMC (D3), that most buildings were torn down legally by the CSC.

Moreover, the reduction of the value and range of industrial heritage retained in the CSF project was not unique. Instead, this is a quite commonly experienced phenomenon in Chongqing, due to the lack of legislation and regulation over industrial heritage conservation. The widely-adopted approach to Chongqing’s industrial heritage conservation has largely relied on the advice of an expert panel. As reported by Chongqing Evening Post (Ding and Zhang, 2008; Zhao, 2008), the General Manager of the CSC suggested retaining “some blast furnaces, workshops and the workers’ production and livelihood area” in the CSF expert seminar held on industrial heritage conservation in CUPB. The Deputy Director of Chongqing Bureau of Cultural Relics suggested adaptively reusing “one typical historical section of the Chongqing Steel Factory as a key industrial heritage exhibition zone, such as blast furnace, chimney, steam locomotive, and typical steel production line”. At the same time, the Deputy Chief Engineer of CUPB suggested retaining “the Ganghua Cinema, the workers’ sanatorium and the dormitory buildings”. Such different expert advice, as pointed out by the Head of the Chongqing Steel Corporation Archive (F1) and one senior

166 government official in CUPB (G5), may have been a personal preference, rather than the subject of a compulsory protection order; and therefore, could not serve as an implementation standard.

In addition, some interviewees remarked that, the absence of the heritage legislation and regulation reflected the generally weak control of China’s planning system regarding building demolition. The General Manager of CIMC (D3) said that “China’s planning system leans mightily towards building construction, and very weakly towards demolition”. This planning issue was also revealed by the Deputy Bureau Director in CUPB (G2). In the industrial land regeneration projects, the role of CUPB was to generate urban planning guidelines and provide suggestions to the factory owner. Nonetheless, those guidelines and suggestions did not have the same force as compulsory protection orders and hence could not stop the factory owner from demolishing their own property, even though the buildings were valuable in the eyes of the urban elites. The assessment of obsolesce and the identification of the most suitable renewal method should be conducted in the first place. Conservation also depends on the heritage status of the building, whether it is a listed heritage. Lacking a strong legislative and regulative framework but largely relying on subjective judgement and loose guidelines helps to explain why conservation efforts in the CSF project were extremely limited and fragmented.

(3) The Local Cultural Context

The third reason for the weakening of heritage value in the CSF land use proposal concerns Chongqing’s cultural context, namely, a lack of local support for industrial heritage and art. This involves poor recognition of the value of industrial heritage, regarding reuse, maintenance and potential safety arising from the heavy-industry factory, and the absence of local precedents and a supportive creative class.

Recognition of the Value of Industrial Heritage

The lack of a universal recognition of the value of industrial heritage was revealed by government officials in the departments of urban planning and cultural heritage (G2, G3, G4 and G7), the factory staff member (F1), the experts (E1, E3, E4, E5) and an artist

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(A7). In comparison with China’s traditional monuments, such as temples, palaces and historic residential housing, the recognition of the value of industrial heritage is still generally limited in China. One interviewee from CUPB remarked:

As for traditional heritage in one of the dynasties, the Cultural Relics Bureau can easily identify its historical value. For some industrial equipment, we could say it was produced in a specific year or from some events, and then exhibit it in a museum. But for the industrial buildings, or even the industrial layout, we do not have a very good assessment method to highlight their cultural values. (Int: Anonymous, G4, government official, CUPB)

The appreciation of the value of industrial heritage was not universal, which was also reflected through the different heritage proposals from Yufu and CUPB. One department director in CUPB (G6) said that Yufu and its property development company considered the Steel Milling Plant to offer the most value because No. 29 Arsenal had a municipal-level protection order. Meanwhile, one urban designer (C5) pointed out that it was the preference of the Chairman of Yufu to keep one large scale space including different types of industrial artefacts – and the Steel Milling Plant was regarded as the best option for meeting these requirements. Nevertheless, for some government officials in CUPB, retaining the overall industrial layout of the CSF was strongly supported as they regarded it of great importance for representing the whole history of the CSF. The Deputy Bureau Director in CUPB (G2) expressed his dissatisfaction at Yufu’s decision to adaptively reuse only one key industrial site as a heritage precinct, and emphasised that “I personally support the integrated version very much and suggested that Yufu retain twelve areas”.

Heavy-industry Heritage Issues

Several interviewees pointed out the potential safety issues and the particularly difficult problem of reusing heavy-industry heritage items at the CSF. This was an important concern for Yufu, as the Chief Planner in CUPDI commented:

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The CSF is a heavy-industry factory. Some equipment has toxic and hazardous chemicals associated with it. In order to guarantee safety, before converting this heavy-industrial heritage into a pubic precinct, Yufu needed to deal with the toxicity issue. Besides, some places may easily collapse. Yufu needed to take all these safety issues into account. (Int: C1, Chief Urban Planner, CUPDI)

Another concern was the reuse and maintenance problem of the heavy-industry heritage items, as pointed out by the Chief Planner in CUPDI (C1), the Project Manager in Chongqing La Cime (C5) and one member of the Chongqing Planning Committee (D5). The latter (D5) highlighted that in contrast to Shanghai and Beijing, Chongqing’s development had largely relied on heavy industry, especially military industries. In comparison with the legacy of light industry elsewhere, the reuse and maintenance of the largescale heavy-industry buildings would be costly in terms of time and money, since they needed constant repair and maintenance to avoid decay from the presence of toxic and hazardous chemicals.

The Absence of Precedents and the Critical Mass of a Creative Class

The missing issues in the local context, including the absence of successful examples of industrial heritage conservation and the lack of a critical mass of the local creative class, decreased Yufu’s confidence for adaptively reusing industrial heritage for cultural purposes. This is discussed below.

First, Chongqing lacks successful examples of converting industrial heritage into cultural uses, in contrast with Beijing, Shanghai and Guangzhou, all of which did exceptionally well at combining creative industry and industrial heritage. One office director in CUPB (G3) said that the absence of successful examples in Chongqing meant that “local experience from urban planning to architectural design along with the relevant construction technology and management is not mature”. He regretted seeing the CSF outcomes tipping toward economic consideration, though could understand the approach that Yufu adopted. “To some degree, the current way in the CSF is safe for Yufu, using most of the land for property development while leaving a small land parcel for heritage reuse”. Similarly, one urban designer in Chongqing La Cime (C4) stated 169 that, “unfortunately, we could not use local precedents to persuade Yufu that the reuse of industrial heritage could really bring about more economic benefits than property development”. Therefore, with the lack of local successful cases, for Yufu, property development was a safer way for obtaining economic benefits in a short time.

Second, Chongqing’s creative class lacks numerical strength, as commonly expressed by the design consultants and local artist community. As one urban designer (C4) remarked, “compared with Beijing and Shanghai, people who appreciate the value of industrial heritage and can spontaneously combine industrial heritage and creative industry are much fewer in Chongqing”. In one case, considering the absence of this critical mass, one senior government official (G5) in CUPB did not support extensive conversation of industrial heritage for creative activities – “reusing industrial heritage as cultural facility is just one means. but I cannot say it is the best way in Chongqing. I think it is unrealistic to reuse all industrial heritage elements [in the Chongqing Steel Factory] for creative industry”. This interviewee also had doubts about the existing industrial heritage precincts in other Chinese cities.

Beijing, Shanghai and Guangzhou seem to have many remarkable cases of industrial heritage conservation into creative industry. But actually, people who use these refurbished factories for creative industry are still few in number. These factories were redeveloped for local creative industry in name only. What people want was to reuse cheap industrial land for high-value commercial real estate. Most of these precincts finally became office complex and shopping malls. (Int: Anonymous, G5, government official, CUPB)

6.6 Further Mutation of the Heritage Conservation Idea

After the decision was made to retain the Steel Milling Plant was retained, Yufu’s subordinate property developer CIMC proceeded to carry out the restoration of the steelworks in the cultural precinct. The company commissioned international and local architects including Avanti Architects, CMCU Engineering and HMA Architects & Designers, to undertake the master plan and the architectural design. Building upon the master plan by Avanti Architects in 2010 (Figure 6.10), CMCU Engineering and HMA

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Architects & Designers took the project further by completing a detailed architectural design (Figure 6.11).

These two proposals show that the project orientation shifted from “Industrial Museum & Creative Industrial Park” (Avanti Architects, 2011) to “Industrial Cultural Park” (CMCU Engineering and HMA Architects & Designers, 2015). The project function changed, therefore, from a public cultural precinct to a more mixed-use one including cultural, commercial and tourist development facilities, with a massive reduction of the scale of the public exhibition area from 26000 ㎡ to 5000 ㎡ . Furthermore, the scale of the retained steelworks structure was reduced from eight structural bays to five. These changes in the proposals were confirmed by the Chairman of Yufu (D1), the General Manager of CIMC (D3) and the architect in CMCU Engineering (C9).

Figure 6.10: Aerial perspective of the Chongqing Industrial Museum & Creative Industrial Park

Source: Avanti Architects (2011)

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Figure 6.11: Aerial perspective of the Chongqing Industrial Cultural Park

Source: CMCU Engineering and HMA Architects & Designers (2015)

6.6.1 The Master Plan by Avanti Architects

Avanti Architects assessed the heritage significance of the area using conversation criteria, including evidential, historic, aesthetic and community values, after a systematic documentation of the existing buildings, artefacts and structures. Three intervention approaches were adopted: first, to ensure minimal disturbance to the existing structure; second, to introduce new elements into the old structure with little visual impact; and third, to combine new and historic elements seamlessly. The design strategies as stated in the proposal by Avanti Architects, were as follows: “the proposed master plan is created through the establishment and strengthening of two key axes or view corridors across the former factory…Another key concept in our plan is working around some of the key urban spaces of the former factory. This brings a memory trace of the activities and operations of the steelworks into the new plan and defines its characteristics”. The main specifications of each functional zone are shown in Table 6.3 and Figure 6.12.

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Figure 6.12: Master plan of the Chongqing Industrial Museum & Creative Industrial Park

Source: Avanti Architects (2011)

Table 6.3: Index of functional use in the master plan

Zone Building type Function Building Total Site area Plot area (㎡) (㎡) (㎡) ratio

A1 The Milling Industrial museum 21712.9 115,387 98,835 1.17 Plant New Building Commercial complex 19859.8 Exhibition 33406 A2 Guobao Plant Exhibition 1280.4 New Building Office building 32827.9 Parking garage 6300 B Gasometer Business hotel 56150 56,150 43,409 1.29 New Building Apartment C New Building Commercial complex 459550 459,550 84,241 5.46 Source: Avanti Architects (2011), CMCU Engineering and Avanti Architects (2012)

6.6.2 Architectural Design by CMCU Engineering

The proposal by CMCU Engineering and HMA Architects & Designers shifted the cultural precinct into a more mixed-used one that consisted of a public museum, a cultural industry cluster, a commercial complex and a tourist attraction (Figure 6.13 and Table 6.4). The cultural industry cluster was for companies and the individuals in the

173 cultural and creative industries; the commercial complex consisted of restaurants, shops and retail markets; and the tourist attraction included hotels, industrial-themed exhibition spaces and entertainment leisure facilities.

Figure 6.13: Site plan of the Chongqing Industrial Cultural Park

Source: CMCU Engineering and HMA Architects & Designers (2015)

Table 6.4: Index of functional use in the architecture design proposal

Zone Floor area (㎡) Functions Floor area (㎡)

Industrial 5000 Exhibition 4000 museum Auxiliary space 1000 Cultural industry 48500 Office buildings 36000 cluster Creative industry complex 12500 Commercial 24000 Retail market 11000 complex Restaurants 11000 Shops 2000 Tourist attraction 23000 Leisure complex 10000 Industries exhibition 6000 Hotels 7000 Source: CMCU Engineering and HMA Architects & Designers (2015)

6.6.3 Reasons for Further Change of the Cultural Idea

Similar to the influencing factors outlined in Section 6.5.2, the reasons for further changes in the cultural precinct between the master planning and the detailed

174 architectural design can be grouped into three categories, namely, economic issues, governance factors and the local cultural context.

(1) Economic Issues

In the interviews, the most commonly mentioned influence was economic issues, including construction cost, and expenditure on the operation of the proposed cultural precinct. As previously discussed, Yufu’s decision to reuse industrial heritage as a cultural precinct was to contribute to potential property value, since converting industrial heritage into a high-quality environment could help to promote the value of land surrounding the Steel Milling Plant. The Chairman of Yufu (D1) stated that the construction cost of the cultural precinct was up to several hundred million RMB, which was paid by Yufu, rather than the municipal government. The solution by Yufu and its subsidiary property developer was that “we left some land to the north and south of the milling plant site for property development and hoped that the land sale revenue from the property development would cover the construction cost of the cultural precinct” (D1). The economic preoccupations of Yufu and its property developer were outlined similarly by the participating architects (C9 and C10). Consequently, the Project Manager in CMCU (C8) stated that in order to cover the cost of the long-term operation of the cultural precinct, the function of the cultural project was changed to mixed uses, increasing the proportion of profit-oriented space. This was confirmed by the Chairman of Yufu (D1) and the General Manager of CIMC.

In addition, Yufu and CIMC believed that commercial uses were still insufficient to compensate for the construction cost, because the whole CSF site was not very accessible and might be not attractive to the visitors. Given poor accessibility, the companies decided to use some land for office buildings and rent them out to design companies in the cultural and creative industries. This view was similarly expressed by the architects (C9 and C10) and the General Manager of CIMC (D3). Meanwhile, the problem of accessibility of the CSF site was also stated by the artists who were interviewed. Most artists (A2, A3, A6, A7 and A9) were not interested in moving to the CSF site due to under developed urban infrastructure in the vicinity.

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(2) Governance Factors

Another reason for commercialisation of the heritage precinct was a lack of support from the leadership of Yufu. A powerful project champion for the CSF project was absent, which was highlighted by the director in the CSC (F1) and one senior government official in CBRC (G8). The director in the CSC (F1) stated that “an industrial heritage project needs a project champion who can communicate with the government leaders but also has a heritage background”. As noted, in the first three stages of the project, the Chairman of Yufu (D1) personally supported the idea of adaptive reuse of industrial heritage. Nevertheless, in response to the high costs arising from factory relocation, he had to compromise to achieve a financially successful property development. In this regard, heritage conservation was not regarded as the primary goal for the Yufu Chairman and pursuing the economic benefits was advanced as the priority.

In addition, a leadership transition in Yufu influenced the CSF project greatly. The Yufu Chairman was the deputy group leader for the CSF project in 2010 and was able to play a significant role in decision making. However, in response to the policy of ‘streamlining administration and delegating power’ (jian zheng fang quan), this group was dismissed which confined the Chairman’s influence. Making the situation much worse was the retirement of the former Chairman in 2012 when Avanti Architects finished the master plan. The architects in CMCU Engineering (C8, C9 and C10) remarked that since then, a number of different opinions from Yufu had emerged regarding architectural design. One architect (C9) stated:

we had been busy with the proposal report to different leaders; however, the proposal did not go forward. There was no agreement regarding design among the leaders. Different people had different opinions.

(Int: C9, Architect, CMCU Engineering)

Apart from the changing nature of the Yufu leadership, the project was also affected by suggestions from the municipal government. The General Manager of CIMC (D3) mentioned two design suggestions from local authorities. The first was to build a large cultural precinct as it could be used to showcase the government’s achievement. The second was more realistic, which was to control the museum scale and consider how to 176 deal with the cost of long-term management and operation. Yufu and CIMC, therefore, “made a compromise between the two key opinions” (D3) – which kept the museum while leaving most land parcels for profit-oriented development.

(3) The Local Cultural Context

Further change to the heritage conservation idea was due to the relatively underdeveloped cultural nature in Chongqing. Interviewees participating in the architectural design competition highlighted the absence of a critical mass of the local creative class and a lack of a precedent, as noted by other interviewees in Section 6.5.2 above. Thus, the design consultants needed to draw on lessons from other cities. However, the Project Manager in CMCU (C8) noted that “since the context of each city differs a lot, how to use the experience from other cities in the CSF project is a difficult task for us”. One government official in CUPB (G4) did not only agree with this architect’s view, but also stated that there was a lack of people in Chongqing who could appreciate the value of industrial heritage.

Indeed, as most interviewees stated, the absence of a local creative class and successful precedents reflects a relatively underdeveloped local art culture. One architect (C9) doubted that the design strategy to reuse the industrial heritage purely for cultural consumption could succeed. She explained that “the general cultural atmosphere in Chongqing is very weak and not supportive of cultural consumption. The demand for local cultural pursuits is actually very low”. This statement concerning Chongqing’s weak cultural atmosphere was also highlighted in the interviews with artists. Chongqing’s cultural development could not rival the eastern leading cities, in terms of local art market and artist community as well as the government’s support for art.

First, all artists in interview pointed out Chongqing’s weak art market, namely, a physical venue or network in which art is bought and sold. One muralist (A6) stated frankly that “[the art market] is bad here, because nobody is buying art works”. The owner of a local private gallery (A9) expanded on this theme: “most of our clients are from Beijing, Shanghai, Hong Kong and Taiwan. Clients [art lovers and collectors] from Chongqing are much fewer”. A public gallery curator also remarked:

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Private galleries which can make profits here are few, because Chongqing’s art market is not good. It is due to the cultural consumption of local people. Art auctions and fairs are still far from optimistic.

(Int: A10, Public gallery curator)

Second, most artists expressed that Chongqing’s art environment was less attractive for the China’s avant-garde artists, in comparison with Beijing, Shanghai and Guangzhou which possess rich cultural assets, such as leading universities, art schools, theatres, libraries, museums and art galleries. An independent art curator (A2) explained the reasons for local artists not staying in Chongqing.

[Chongqing’s] famous artists with good reputation usually prefer to leave Chongqing and go to Beijing or other eastern cities which can provide a better art environment. Some artists go to Beijing for pure artistic creation, because Beijing’s art environment is mature, having many avant-garde artists. Shanghai is more international. It is like a platform for artists and has very good art exhibitions, such as the Shanghai Art Biennale. Guangzhou is also pretty good and its artworks appeal to the public.

(Int: A2, Independent curator)

Third, some artists (A1, A2, A4, A7, A8 and A9) pointed out local government’s weak support for art. The Chongqing government has provided a small amount of rent subsidies for artists, and special funding for art festivals. However, some artists (A1, A3, A4, A6 and A7) pointed out that administrators of these subsidies prefer famous artists with good reputation and large art studio, rather than small creative industry companies or individuals. One jewellery designer who has his own studio stated:

I was thinking about applying for the rent subsidy from the Chongqing government, but give it up now, because the application is too complicated. One friend of mine did the application, spent much time on the required procedure and finally got 30,000 RMB. But this money was just kept in an account [which was not be used by cash].

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(Int: A7, Jewellery designer)

In addition, most artists and two experts (E1 and E5) expanded on the Chongqing urban tradition. In contrast to the urban tradition of Beijing and Shanghai, Chongqing has served as an industrial city to China. One unavoidable result of Chongqing’s development being reliant on traditional manufacturing industry, is that the city government has been less active in the promotion of local cultural development. Preferential funding or policy for influential art exhibition, such as an Art Biennale, and state-sponsored mega-events such as cultural flagships, has not generally been promoted in Chongqing.

6.7 Summary and Conclusion

This chapter has revealed that the planning and implementation of the CSF project destroyed much of a unique industrial architectural heritage that would have shed light on how this factory succeeded in contributing to Chongqing and China’s industrial development. It addressed the SRQ2 ‘how did the idea change?’ by investigating the power structure and the planning and design process of the CSF regeneration project. Comparing the key players in the learning and mutation stages of the CSF project with their roles and interests, four types of actors are summarised below:

(1) Those who forwarded property development as priority, such as Yufu and the CMG; (2) Those who supported industrial heritage reuse, such as local scholars and CBRC, being absent in the implementation process for industrial land redevelopment. (3) Those who supported industrial heritage reuse and property development include the CUPB, the expert committee, as well as the participating planning and design consultants. (4) The CSC who did not care about industrial heritage reuse nor property development, since it did not participate in the CSF implementation process.

The key players in the stages of idea learning and mutation, with their views on industrial heritage and property development in the CSF project are demonstrated in Figure 6.14.

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Figure 6.14: Key players in the learning and mutation stages of the CSF project

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A network analysis based on the interview data was conducted for addressing the SRQ3 ‘why did the idea change?’ (Figure 6.15). The factors influencing the change in the heritage conservation idea were: first, economic considerations; second, entrepreneurial governance; and third, the local cultural context.

First, the primary reasons for the project’s departure from its initial purpose of reusing industrial heritage were economic considerations. They included: the economic debt arising from the CSF relocation; the economic pursuit of value added by property development; and relative financial return from industrial heritage conservation and property development. The CSF project gradually became dominated by real estate development and profit-making imperatives, at the expense of industrial heritage conservation.

Second, entrepreneurial governance has been a determinant for the dilution outcome of the heritage conservation idea in the CSF project for four reasons. To begin with, the entrepreneurial nature of governance in the CSF project was reflected in the pursuit of the economic interests in the land banking system, which relied on collaboration among the main stakeholders including the government, the land banking agency, the property developer and the previous factory owner. However, the pursuit of a good financial return was the justification for diminishing the heritage value, since the rush toward achieving economic prosperity needlessly consumed much of the site’s remarkable industrial heritage. In addition, without the effort of third parties in the decision-making process, the project outcome guided by the main stakeholder inevitably yielded to the property development agenda.

Moreover, a powerful project champion on heritage conservation is essential, since its work could actively help to shoulder the economic burden of industrial heritage reuse and come to command a higher moral position (Tung, 2001). Unfortunately, an enduring champion was noticeably absent in the CSF project. Finally, a lack of a necessary legislation and regulation for industrial heritage conservation helps explain why the conservation effort in the CSF project was partial and fragmented. All these missing issues revealed an imbalanced power distribution in the decision-making process of the CSF project. Hence, the CSF project could hardly be expected to accommodate local community cultural needs.

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Third, the CSF site endured the loss of industrial character through the implementation process due to weak local support for the arts and heritage. There was poor recognition of the value of industrial heritage, as well as safety concerns and, reuse and maintenance issues connected with heavy industry heritage. In addition, Chongqing lacks successful examples of industrial heritage conservation and local creative class lacks numerous strength. The weak local art culture decreased the confidence of the main stakeholders in the adaptive reuse of industrial buildings into accommodating local cultural activities.

The above influencing factors, which provide the insights into the driving forces behind the changes in the CSF proposal, are deeply rooted in the political-economic and socio-cultural situation of Chongqing. It raises the issue that in the developing inland Chinese cities, it is inevitable that the heritage value is dramatically sacrificed to short- term profitability in property development, when relatively weak economic conditions, entrepreneurial governance with a focus on investment return and limited local cultural support work together. The next chapter relates these empirical findings to theories and existing literature.

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Figure 6.15: Thematic network analysis of the factors influencing the dilution of the industrial heritage reuse idea

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Chapter 7 Discussion: Empirical Findings Related to Theory and Existing Literature

This research aims at identifying the driving forces behind the dilution of ideals for provision of industrial heritage cultural space in post-reform China, through conducting an empirical investigation in the major industrial inland city of Chongqing. The Chongqing Steel Factory (CSF) project is an exemplary brownfield regeneration program that demonstrates the clash between property development and industrial heritage reuse in Chongqing and the resulting weakened industrial architectural characteristics of the city. The empirical investigation in the CSF case thus reveals the forces shaping the negative reality of industrial heritage conservation practice in urban Chongqing. This chapter relates the empirical findings of the CSF project in Chapter 5 and 6, to the theoretical framework and the Chines studies reviewed earlier in Chapter 3.

7.1 Answers to the Research Questions

The main research question (MRQ) – what factors influenced the change from conception to implementation of adaptive reuse of industrial heritage as cultural clusters in Chongqing? – was divided into three subsidiary research questions (SRQ1, SRQ2 and SRQ3) by investigating the CSF regeneration project as a case study. The CSF case has traced the origin of the idea of industrial heritage reuse for cultural purposes; explored the interaction of imported ideas with local circumstances through the recording of the whole planning and design process; and analysed the intervening factors influencing the adjustment of the cultural idea. The answers to the three subsidiary research questions are summarised below.

SRQ1 Where did the original idea come from: to what extent did it draw from international and/or Chinese precedents? The origin of the intention to adaptively reuse industrial heritage for cultural purposes in the CSF project was shaped by representations from influential local individuals and organisations. Exogenous and endogenous factors included international and Chinese precedents, local motivation for

184 promoting Chongqing’s urban branding and celebrating the regional and national contribution of the CSF.

SRQ2 How did the idea change: what is the process that has driven change in the proposal for the industrial waterfront regeneration project in Chongqing? The industrial heritage value in the CSF case was eroded by the key players involved through four stages of planning and design proposals. The original idea to reuse the abandoned industrial site was initially presented by the then Yufu Chairman, and integrated with the official urban design proposal. The idea was then expanded by local urban planning authorities to retain the whole industrial layout and embrace twelve heritage items. However, the scale of industrial heritage conservation was obscured by property development and financial considerations of the land banking agency and the previous factory owner, and was drastically diluted into only one site in the official land use proposal. Later, in the architectural design proposal, the size of the remaining museum for public exhibitions was further massively reduced while the proportion of commercially-oriented space was increased by the land banking agency and its subsidiary property development company.

SRQ3 Why did the idea change: what are the local intervening factors that have shaped the outcomes of the project in Chongqing? The evident gap between the original ideals and the reality of industrial heritage reuse in the CSF project reflects the influence of local economic considerations, entrepreneurial governance and weak local support for the arts and heritage. First, economic considerations included the economic debt arising from the CSF relocation; the economic pursuit of value added by property development; and the relatively lower financial return from industrial heritage conservation. Second, the entrepreneurial nature of governance in the CSF project was reflected in the pursuit of economic interests by the government, the land banking agency, the property developer and the previous factory owner, while those who had concern for heritage conservation were absent in the planning process. Third, weak local support for the arts and heritage involved poor recognition of the value of industrial heritage; as well as safety concerns and, reuse and maintenance issues connected with heavy industry heritage.

Through investigating the origin, the regeneration process and the factors influencing the CSF project, the answer to the primary research question points to Chongqing’s

185 contextual constraints, namely, the influence of local economic, political and cultural conditions. They include:

(1) the modes of capital accumulation, namely, manufacturing industry as a continued accumulation mode and real estate development as a new accumulation mode in Chongqing; (2) the entrepreneurial nature of power relations, which includes a pro- growth coalition consisting of local government, the land banking agency, the property developer, and the SOE in the process of industrial land redevelopment, while grass-roots communities with knowledge of and concern for industrial heritage conservation were excluded; (3) weak local forces for combining art and cultural activities with industrial heritage reuse. Chongqing lacked strong artist communities, a critical mass of the creative class as well as the incentives to act as an incubator or catalyst for developing local cultural industries.

7.2 Summary of Empirical Findings in Relation to the Theoretical Framework and Existing Literature

The theoretical framework by combining theories on the production of space and the urban policy mobility in Chapter 3 offers four features. They are (1) the importance of applying the concepts of idea learning and mutation to understand the process of importing an idea into a local situation; (2) the importance of examining the role of capital accumulation on urban space under neoliberalism; (3) the influence of the economic power of capital investors, political power of state regulations, cultural power of the public, as well as the specific stakeholders involved and their roles in shaping urban space; and (4) the need to consider social movements or efforts for breaking social injustice caused by accumulation by dispossession.

The theoretical framework in Chapter 3 shows that the production of space is related to the multiple driving forces in operation - the combination of capital accumulation, power relations and social movements. However, in the studies of the Chinese context, the radical change of industrial landscape in post-reform China is understood as a result of broader transformation in the political economy and socio culture spheres since 1978.

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Scholars have interpreted the change of industrial landscape by focusing on aspects of capital accumulation (Hu, 2015; Wu, 1999, 2006c, 2008, 2009), entrepreneurial governance (Chou, 2012; Fung and Erni, 2013; Ren and Sun, 2012; Shin, 2010; Zheng, 2010, 2011; Zielke and Waibel, 2014) and sociocultural influences in post-reform China (Currier, 2008; Fung and Erni, 2013; Hee et al., 2008; Chou, 2012; O’Connor and Gu, 2006, 2014). Existing literature demonstrates that these viewpoints on the forces driving industrial land redevelopment in Chinese-mega cities so far have been largely considered separately. The empirical findings of the CSF project broadly support that the forces driving industrial heritage landscape include this set of three factors in combination, rather than separately. The following sections relate the findings to theories related to the production of space under capitalism conditions and the existing literature on Chinese brownfield regeneration.

7.3 Modes of Capital Accumulation and Loss of Industrial Heritage

Economic considerations in the CSF project as the primary reason for the loss of industrial heritage, echo Harvey’s discourse on the contribution of capital to the production of urban space (Harvey, 1975, 1978, 2001, 2007a, 2007b, 2014). The relationship between capital and urban space can be understood as follows: urban space is not only produced to create new opportunities for the sake of direct accumulation, but, is also fixed which is favourable to the subsequent reproduction of capital (Harvey, 1975, 2001, 2014). The outcome of industrial landscape transformation in Chongqing was both a result of the city’s capital accumulation in the post-reform period, and an influence on its ability to reproduce capital in the future. The findings of this study largely agree with the existing Chinese literature on the switch from SOEs to the real estate industry (Hu, 2015; Wu, 2006c, 2008, 2009; Ma and Wu, 2005), but contribute to the literature in two ways, by relating capital accumulation in Chongqing and spatial changes in industrial landscape, as elaborated below.

7.3.1 Manufacturing Industry as a Continuing Mode of Capital Accumulation

The CSF case reveals that replacing obsolete factories by new industrial zones outside the city was undertaken to create new opportunities for direct capital accumulation in the traditional manufacturing industry on the outskirts of Chongqing. Since the 1990s, due to the problem of inefficiency and shortage of capital for

187 production, most SOEs in Chongqing have been facing financial difficulty and have followed a similar trajectory of ‘bankruptcy, mergers and reorganisation’ (guan ting bing zhuan). The numbers of loss-making SOEs reached 424, 154 and 145 in 2000, 2008 and 2015 respectively (National Bureau of Statistics of China, 2001, 2009, 2016). Up until 2003, SOEs in Chongqing were liable for a non-performing debt of nearly 27 billion RMB, and the average debt ratio of SOEs were up to 85% (Liu et al., 2006). The deteriorating industrial landscape in urban Chongqing supports the discourse on the decline of the state industrial system in post-reform China (Brandt et al., 2008; Lu, 2006; Ma and Wu, 2005; Parker and Pan, 1996; Walder, 1995a; You, 1998).

However, contrary to the popular perception of the deteriorated state industrial system in the eastern leading cities of China (Parker and Pan, 1996; Tong, 2009; Yang, 2007), the CSF case suggests that this decline has continued in Chongqing. Being reliant on the state industrial system in Chongqing is a result of the city’s historical development and its current industrial orientation arranged by the central state. The development guidelines for Chongqing after 1978 were largely related to the national development strategy of the People’s Republic of China’s throughout the reform era. Since 1978, recognising the regional difference between the coastal and inland cities, a tripartite regional development policy by the central state had previously privileged the eastern economies, as opposed to the central and western regions (Han, 2000; Han and Yan, 1999; Hayter and Han, 1998; Wu, 2003; Goodman, 2004). In mid-1999, the central state announced another regional development policy called ‘Open Up the West’ (xibu da kaifa), with the goal of social and economic development of the interior and western regions (Goodman, 2004). Chongqing, as the single municipality city in the western regions since 1997, was given subsidies by the central state for economic restructuring. However, in distinct contrast to the post-reform industrial of Beijing and Shanghai, the major goal for Chongqing was to serve as an ‘important modern manufacturing base’ in China. Beijing was planned to be ‘China’s cultural centre’, and Shanghai to serve as ‘the modern international metropolis’.

Unlike the prioritisation of tertiary industry25 in Beijing and Shanghai, traditional secondary industry assumed a leading role in Chongqing’s economic growth. For

25 According to National Bureau of Statistics of China, secondary industry includes manufacturing, mining and utilities, and tertiary industry includes (1) transportation, postal and telecom, and storage; (2) commerce and catering; (3) finance and insurance; (4) real estate; and (5) social services. 188 instance, the value-added growth in secondary industry in Chongqing increased from 604.39 billion RMB in 1999 to 6397.92 billion RMB in 2013 and its share in Chongqing’s GDP (Gross Domestic Product) jumped from 40.8% to 50.5% (Chongqing

Municipal Statistics Bureau, 2000, 2014). Manufacturing has been the dominant sector in Chongqing’s economy (Han and Wang, 2001). There are 46,737 factories with fixed assets of over 1626.3 billion RMB and over 2.7 million employees in 2013 (Chongqing Municipal Statistics Bureau, 2014).

7.3.2 Real Estate Development as a New Capital Accumulation Mode

The outcome of the CSF regeneration project tipping towards real estate development reflects four major points about the new mode of capital accumulation in Chongqing. First, the CSF case reveals that the development experience of Chongqing conforms to the prevailing tendency to view real estate development as a new means of capital accumulation in post-reform China. For instance, the value added by the real estate industry in Chongqing increased from 5.07 to 81.70 billion RMB from 1999 to 2014 (Chongqing Municipal Statistics Bureau, 2000, 2015). From the analysis of the real estate market in China (He and Wu, 2005; Lu, 2006; Shen and Wu, 2012; Shin, 2009; Wu, 1999, 2001;Yang and Chang, 2007), property-led development has been an impetus for the eastern cities, largely because profits generated by the real estate sectors in the secondary circuit are significantly more than those from the deteriorated state- owned manufacturing sectors in the primary circuit26 (Currier, 2008; Hu, 2015). The CSF case also shows capital switching from manufacturing industry to the real estate development in Chongqing which supports the change in the driving force of urban development from “industrial surplus-driven growth” (Hu, 2015, p.2801) to real estate development in post-reform China (Hu, 2015; Wu, 1999; Yeh, 2005).

Second, the CSF case reveals the specific Chongqing context. It can be argued that rather than simply being attributable to profitability in the real estate market, Chongqing’s property development is an imperative due to the harsh reality of factory relocation. Given the continuation of the manufacturing function on the outskirts of Chongqing, the CMG launched programs of ‘Environmental Relocation’ (huanbao

26 See Chapter 3, Harvey’s (1978) theory of the three circuits of capital: the primary circuit is related to manufacturing and industrial production, while the second circuit involves the production of fixed assets and the built environment. The tertiary circuit concerns science and technology as well as social expenditure in education and health. 189 banqian) for the inner-city factories. A total of 207 factories including the CSF, were required to be relocated in six phases from 2002 (Xia, 2015). The decision to relocate major factories generated extremely high financial debts. For instance, the relocation cost of the Chongqing Machine Corporation was around 1.85 billion RMB (Wang and Gen, 2011), and that of the CSF required 40 billion RMB. Such costs were expected to be covered by the land-related interests in transforming the old industrial land into a high-value residential and commercial use, as demonstrated by the CSF experience.

Third, the CSF regeneration represents a property-led rather a heritage-led project, since its implementation process was dominated by profit-making imperatives and large relocation costs. Large-scale industrial heritage conservation was considered to conflict directly with real estate development, and most industrial buildings were thus demolished. The retained industrial heritage items in the CSF site suggest, that branding with industrial heritage conservation as cultural symbols was just a marketing device, in order to promote property values and facilitate property development. This finding agrees with the studies on city branding and packaging in post-reform China (Chen, 2011; Shen and Wu, 2012; Su, 2015; Wu, 2008, 2010; Wu and Shen, 2015), namely that “branding and selling the city is a tactic” (Wu, 2008, p. 1094-1095). It also gives support to the argument that places are conceptualised as commodities for consumption, through image improvement and refurbishment, place promotion and marketing strategies (Zheng, 2010, 2011).

Fourth, the CSF case reveals that most industrial land was converted into residential and commercial uses, rather than cultural uses. In contrast with the eastern cities, large- scale adaptive reuse of industrial heritage has not emerged to accommodate cultural consumption activities in Chongqing, because the cultural and creative industries have not played a significant role in Chongqing’s capital accumulation. The operational revenue of the cultural and creative industries in East China in the first quarter of 2017 was 14,831 billion RMB, accounting for 75.3% of all China. That of West China was only 1,531 billion RMB, accounting for 7.7%, while Central China accounted for 3,333 billion RMB, or 16.9% 27.

27 The statistics were checked from the official website of National Bureau of Statistics of China, available at http://www.stats.gov.cn/. According to National Bureau of Statistics of China, ‘East China’ includes Beijing, Tianjin, Shanghai, Jiangsu, Zhejiang, Fujian, Guangdong and Hainan; ‘West China’ includes Neimenggu, Guangxi, 190

7.4 Entrepreneurial Nature of Power Relations and Loss of Industrial Heritage

The power structure in industrial land redevelopment and its impact on industrial heritage conservation in Chongqing was revealed in the CSF case. There are two aspects of differences from the existing Chinese literature, as reviewed in Chapter 3.

First, a normative perspective in existing literature on Chinese urban development focuses on the entrepreneurial endeavour of the state, and regards the state-capital coalition as the dominant forces driving the transformation of urban landscape in post- reform China (He and Wu, 2005; Lin and Yi, 2011; Qian, 2011; Wu, 1999; Xu and Yeh, 2005; Xu et al., 2009; Zhu, 2004b, 2005). Contrary to the popular stereotype that views local government and property developers as the major power network in China’s land redevelopment, the CSF case reveals the main players participating in the brownfield redevelopment process, and the stakeholder groups who are not directly involved in the process. The main parties directly involved in the planning process, included local government and its urban planning department, the land banking agency, the SOE and its workers, as well as the participating design consultants. The groups who were absent in the process, include the heritage assessment body and specialist, heritage conservationists, the ordinary urban residents and local artist communities.

Second, in the analysis of existing heritage precincts and creative industry clusters, some scholars (e.g. Chen, 2011; Fung and Erni, 2013; Su, 2015; Wang, 2009; Zheng, 2011) have pointed out that the entrepreneurial re-orientation of local governments towards maximising economic interests has resulted in the commercialisation of heritage precincts. This study shows the similar entrepreneurial stance of the Chongqing authorities; nevertheless, it also demonstrates the experience of a pro-growth coalition between major stakeholders with a major interest in extracting economic value from redeveloping state-owned industrial land, and the missing efforts of third parties in industrial heritage conservation. The negative reality of industrial heritage conservation efforts in the CSF case was created by both the domination of the pro-growth coalition and the absence of third parties with concern for heritage conservation in the planning process. The major stakeholders and the forms of their power in the CSF project, as well as the entrepreneurial nature of power relations in state-owned industrial land

Chongqing, Sichuan, Guizhou, Yunan, Xizang, Shanxi, Gansu, Qinghai and Xinjiang; and ‘Central China’ includes Shanxi, Anhui, Jiangxi, Henan and Hunan. 191 redevelopment in Chongqing will be discussed below. The below section also discusses the relationship between the empirical material and the literature reviewed in Chapter 3.

7.4.1 Stakeholders and Power Relations in the CSF Project

As reviewed in Chapter 3, urban designers such as Lang (1994, 2005), Punter (1999) and Carmona (2014) stress the need to analyse the stakeholder group involved in the design process of urban space. Concepts of the political power of state regulations (Harvey, 2014; Campbell, 1998), economic power of capital investors (Harvey, 1990; Lang, 1994, 2005), and cultural power of the public (Hannigan, 1998; Zukin, 2010) and how they influence the production of space are seen as important in understanding the production of space. The major actors with their power relations in the CSF case can be grouped into similar three categories as the literature; nevertheless, they need to be understood in the Chongqing context.

(1) Political power of local government: the land banking system as an entrepreneurial government endeavour

The CSF project reflects the viewpoint that the land banking system serves as an entrepreneurial government tactic to intervene in land markets (Han, 2000; Tian and Ma, 2009; Xu et al., 2009; Wu and Shen, 2015). In response to fiscal decentralisation brought about by the tax-sharing system, the CMG had to deal with financing its public education facilities, welfare programs, health services, and city infrastructure. These responsibilities placed much economic pressure on the CMG. For instance, the CMG was liable for debts of nearly 700 billion RMB and 600 billion RMB in 2013 and 2014 respectively (Liu, 2015). The land banking system was adopted as a means of relieving economic pressure on the Chongqing government, generating local revenue from the rent gap between the actual low price of the state-owned industrial land and the potential high value of the land for commercial and residential uses.

Local governments in China have been portrayed as “an essential feature of urban entrepreneurialism in China” (Su, 2015, p.2877), as “industrial firms” (Walder, 1995b), as “economic interest groups with their own policy agenda” (Zhu, 2004a), as “a more entrepreneurial type of market actor” (Xu et al., 2009) and “entrepreneurial bureaucrats” (McGee et al., 2007, p.14). These views are also supported by the role of the CMG as the driver of the implemented relocation and regeneration scheme in the

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CSF project. The CMG had a dual identity of being both the ‘referee’ and ‘athlete’ in the CSF regeneration process. As a ‘referee’, by setting up direct government regulations and rules, the CSF retained control over future development and exerted regulatory power on how the land was to be developed. As an ‘athlete’, the CMG empowered its department of urban planning (CUPB), and its land banking agency (Yufu) as the representatives of the CMG. The CMG transferred the CSF regeneration task to Yufu and empowered the CUPB to be the project supervisor. The intervention of the CMG in the CSF project thus supports the view that local governments in China “replace and monopolise the market to enhance its capacity and secure its objectives” (Xu and Yeh, 2009, p.567) by formulating development directions and setting up regulations (Han and Wang, 2003, p.91).

(2) The domination of economic power of investors

The capital investor, Yufu, with its funding power, played a dominant role in the decision-making process. The major dilution of the industrial heritage reuse idea in the CSF case was dominated by the decisions of Yufu and its subsidiary real estate development company in the planning and implementation stage, which placed economic pursuits as the major concern, rather than industrial heritage conservation, as outlined in Chapter 6.

(3) The absence of cultural power of the public

Zukin (2010) argues that the forces of power that shape the city’s future do not just include the economic power of capital investors and the legal power of the state, but should not neglect the cultural power of the public. However, this cultural power of the public, namely, a grass-roots community with knowledge of and concern for industrial heritage conservation, was absent in the CSF project. This included heritage assessment specialists, the general community, heritage conservationists and local artist communities, elaborated in Chapter 6. The role of these absent players is essential in promoting the public visibility of the retained industrial heritage, shouldering the economic burden of industrial heritage reuse and offering moral support for heritage conservation.

In addition, the widely-adopted approach to Chongqing’s industrial heritage conservation has largely relied on the advice of an expert panel, and the guidelines of 193 the design consultants and CUPB. But those guidelines and suggestions did not have the same power as compulsory protection orders. A lack of a necessary legislation and regulation for industrial heritage conservation further led to the extremely limited conservation effort in the CSF project.

7.4.2 Entrepreneurial Nature of Power Relations under Neoliberalism in Chongqing

The rise of neoliberalism has generated a sense of entrepreneurialism into power relations between main players (Harvey, 1989a, 2007a, 2007b). The success of the state under neoliberalism is often measured by “the degree to which it captures flows of capital, [and] builds the conditions favourable to further capital accumulation within its borders” (Harvey, 2011. p. 197). Urban government has been geared towards the provision of a good business climate and construction of places to attract investment capital into the city and enhance economic competitiveness (Harvey, 1989a; Jessop and Sum, 2000; Zheng, 2010, 2011). The entrepreneurial nature of governance in the implementation process of the CSF project supports the concept of entrepreneurial governance under neoliberalism in the Chongqing context, namely, local authorities taking “an entrepreneurial stance to economic development” (Harvey, 1989a, p.4). Substantially different from deregulation of the state as the key spirit of neoliberalism in capitalist countries, the CSF case shows the strong intervention of the state in local industrial land redevelopment in Chongqing. This is consistent with what Harvey (2007a, 2007b) calls neoliberalism with Chinese characteristics, namely, a mechanism that introduces market elements while retaining strict state supervision (Zhu, 2005).

Moreover, major players in the city come together and form a pro-growth coalition, also termed as a ‘state-finance nexus’ by Harvey (2011). Neoliberalism seeks to bring all human actions into the domain of the market (Harvey, 2007a, 2007b), in which powerful groups “step from the shadows into the forefront of capital's logic of accumulation” (Harvey, 2007a, p.267) and adopts a “growth-first” approach to urban development (He and Wu, 2009, p.282). The CSF project supports the viewpoint that there is an informal pro-growth coalition of stakeholders which are chiefly aimed at raising land values in urban redevelopment in Chinese-mega cities (He and Wu, 2005; Lin and Yi, 2011; Qian, 2011; Xu et al., 2009; Xu and Yeh, 2005; Zhang, 2000; Zhu, 1999, 2002, 2004a, 2004b). But the public-public-participation model operating in the 194

CSF case is apparently different from the domain of the market and the public-private- participation explained by Harvey (2007a, 2007b). Rather, its main influence rests on the regulations that the CMG sets and its government-owned corporation Yufu. Figure 7.1 demonstrates the procedure for redeveloping the state-owned industrial land by the coalition consisting of local government, the land banking agency, the SOE and the property developer in the CSF project. This procedure generated considerable financial return to these four main parties and contributed greatly to local revenues, as elaborated below.

Figure 7.1: The procedure for developing state-owned industrial land in the CSF project

Source: Modified from Xu et al., (2009)

First, the CMG can charge three types of revenue from industrial land redevelopment: land tax charged from the land banking agency, property developers and individuals users; land leasing fees, namely, the charges on leasing land use rights; and land use fees (Zhang, 2000). Besides, as Han and Wang (2003) point out, the Chongqing government can gain 84 different types of development fees in the property development process. More importantly, as the government finance enterprise, Yufu actually worked for the CMG. The CMG allowed Yufu to purchase state-owned

195 industrial land and raise capital with the land as security to obtain the bank loans; then, with the appreciated land values to pay back the loans; and, with further development to finance other urban infrastructure projects in Chongqing (Huang, 2011). Such a snowballing process did not only address the CMG’s concern for helping SOEs to survive, but also solved the financial shortage in Chongqing’s urban development and urban infrastructure projects.

Second, the lack of economic prospects and the placement of the laid-off workers at the CSF could be relieved by the financial return from transferring industrial land use rights to the land banking agency. In order to maximise financial return before transferring land use rights, the CSC sold the industrial facilities, or demolished them and recycled the old steel from the factory buildings into new uses.

Third, Yufu benefited greatly from the land banking system. In the CSF case, Yufu initially financed 7.5 billion RMB for the CSC’s 7500 mu of land (1 million yuan per mu), but the land’s market value escalated to 42 billion yuan (6-7 million yuan at its height) (Huang, 2011). Then, with this original profit, Yufu made further investments in banks, the stock market and the property market. The main beneficiaries from the increase in land value was Yufu itself, with its total assets increasing from its original 5.9 billion RMB to 198.1 billion RMB in the period 2004 to 2015. Nevertheless, the profits also contributed greatly to Chongqing’s local revenue, generating tax income of 7.3 billion RMB to the CMG since 200428.

Fourth, the land banking system opened the possibility of transferring land use rights through the land market, thereby stimulated the drastic increase in real estate development companies, and expanded their assets. The number of real estate development companies in Chongqing increased from 1,339 in 2000 to 2,585 in 2015, and their total capital increased from 6.8 million RMB to 21.6 billion RMB during the same period (Chongqing Municipal Statistics Bureau, 2001, 2016). The pursuit of financial return by the above stakeholders in the CSF project was the justification for eroding the heritage value in Chongqing, hence the rush toward achieving successful property development consumed much of the city’s remarkable and irreplaceable industrial heritage.

28 The statistics of Yufu was checked from its website, available at http://www.cqyfgs.com/about/yejigailan/ 196

7.5 Accumulation by Dispossession and the Right to the City

The CSF project is an example of demonstrating negative impacts caused by profit- driven brownfield restructuring. These negative impacts lend support to Harvey’s (2003, 2007a, 2007b) discourse on accumulation by dispossession, that is to explain social and spatial injustice caused by the ascent of neoliberal policy. In addition, by introducing the right to the city, Lefebvre (1996) and Harvey (2003, 2008, 2012) argue that in order to break social injustice, there exists a bottom-up claim for egalitarianism by underprivileged social groups. Struggles against dispossession are formulated by encouraging urban policies that promote justice, sustainability, and inclusion in cities (Harvey, 2007a, 2007b; Purcell, 2014). However, the CSF case suggests an obvious distinction: given a lack of strong local sociocultural forces, efforts by social classes in demanding ‘the right to the city’, such as retaining historic industrial buildings and keeping industrial architectural characteristics of the city, have not emerged in Chongqing.

7.5.1 Accumulation by Dispossession in Industrial Sites in Urban Chongqing

The CSF case reflects on the notion of accumulation by dispossession through revealing the negative impacts of profit-driven brownfield regeneration on the physical environment as well as local communities in Chongqing. To begin with, brownfield regeneration is motivated by the pursuit of economic growth at the expense of the industrial heritage. At present, for the cities in West China, local economic growth dominates the agenda of government policy. Accordingly, most investment is directed into more productive areas that serve to promote local GDP. To generate a profit, programs of industrial land redevelopment were geared towards high-value property development rather less profitable industrial heritage conservation. Similar to the CSF project, a loss of industrial architecture has therefore occurred in some of the most historically significant places in Chongqing. Since 2007, over one hundred industrial sites were established in Chongqing by the third Chinese cultural relics survey. However, according to He (2013) and Xu (2014), a large proportion of these factories have been demolished29.

29 Some factories demolished in Chongqing include Chongqing Cotton No. 1 Factory, Chongqing Cotton No.3 Factory, Tianyuan Chemical Plant, Chongqing Paper Mill, Chongqing Jianshe Machine Tool Plant, Chongqing 197

Furthermore, Harvey highlights the loss of rights in the process of dispossession with his statement that “[a]ccumulation by dispossession is about plundering, robbing other people of their rights”30, and “[d]ispossession entails the loss of rights” (Harvey, 2007a, p. 178). In other words, apart from the physical assets themselves, what is being subject to dispossession also includes people’s rights to dispose of the assets and the other resources they wish (Shin, 2016). The experience of industrial land redevelopment in urban Chongqing also entails the loss of the rights of the former workers. The former workers had rights of living in the urban areas formerly occupied by the State-owned factories, but their rights had been lost. Similar to the CSF project, most former industrial sites in urban Chongqing were redeveloped into residential apartments and commercial complexes. The former Chongqing Special Steel Factory site now is a highly-gentrified place called ‘Rongchuang Waterfront No.1’ for the nouveau riche in Chongqing31 (Zhang, 2016). The price of apartments there is 17,000 RMB per square meter and the main type is 183 square meters, up to three million RMB32, which is beyond the financial capacity of the former workers to live in. Such cases confirm the argument that the process of urban redevelopment in China often leads to gentrification (Ley and Teo, 2014) and supports the viewpoint that “campaigns of urban redevelopment, which deprive established residents of their claims to place and neighbourhood, have led to massive displacement and dispossession” (He and Qian, 2017, p.838).

7.5.2 The Demand for the Right to the City in Chongqing

The weakness of civil society (Chen, 2002) and the lack of private property rights as protected through a robust legal framework (Harvey, 2008) account for some of the failure of efforts to break social inequality caused by dispossession in post-reform China. He and Qian (2017) point out that social organisations for defending rights have played a very limited role in China to date, due to an unequal power relation between the state-capital coalition and grass-roots groups (p.838). However, worse than the

Special Steel Factory, Chongqing Chaoyang Motor Factory, Chongqing Spring Factory, Chongqing Weighing Equipment Factory, Zhongnan Rubber Plant (He, 2013; Xu, 2014). 30 A conversation with David Harvey, Logos 5(1), accessed on 28 May 2017 http://www.logosjournal.com/issue_5.1/harvey.htm 31 The transformation of the Chongqing Special Steel Factory, accessed on 28 May 2017 http://cq.people.com.cn/GB/365415/news/2016422/2016422115132242796.htm. 32 The price of apartments in the former Chongqing Special Steel Factory site was checked from the website of Rongchuang Waterfront No.1, accessed on 28 May 2017 http://cq.fang.anjuke.com/loupan/414040.html?from=loupan_tab 198 limited role of sociocultural grass-roots groups in the leading eastern cities, the role of grass-roots organisations in demanding the ‘right’ in Chongqing was negligible, as demonstrated by a faint public voice in the decision-making process of the CSF project.

Weak local support for industrial heritage and the arts in Chongqing is summarised in three ways. First, the CSF case reveals the importance of the participation of the local artist community, which largely agreed with the studies that had been carried out, that the occupation of abandoned industrial sites by local artists is advantageous to industrial heritage conservation (Evans, 2009a, 2009b; Hee et al., 2008; Currier, 2008; Wang, 2009). Second, the CSF case reveals that Chongqing’s creative class, including highly educated workers and knowledge-based professionals, lacks critical mass. According to the official figures from the National Bureau of Statistics of China (2014, 2015a, 2015b), the number of employed persons in the enterprises of culture, sports and entertainment is much less than in Beijing and Shanghai in 2013 - 26,000 in Chongqing, compared to 181,000 in Beijing and 59,000 in Shanghai. Third, Chongqing lacks incentives to catalyse the development of local cultural industry. One unavoidable result of Chongqing’s development being reliant on traditional manufacturing industry is that the city government has been less active in the promotion of local cultural development, including heritage conservation. Preferential policy for industrial heritage reuse, creative industry clusters or state-sponsored mega-events like cultural flagships has not generally been promoted in Chongqing.

7.6 The Urban Policy Mobility Perspective and Generalisation from the Chongqing Case

The investigation in the CSF case found that the industrial heritage reuse idea had travelled as a global concept along with its Chinese precedents to Chongqing, and was continually modified and diluted in the Chongqing context. This suggests that the urban policy mobility approach can be applied as a general guide to investigate the process of how an imported idea travels to certain regions, as well as its outcome. The urban policy mobility approach stresses (1) the importance of applying concepts of ‘learning’ and ‘mutation’ to understand the process of importing an idea into a local situation; and (2) the need to consider local contextual constraints as local intervening factors that contribute to the change of an imported idea (Lee and Hwang, 2012; McCann, 2011; McCann and Ward, 2012; Peck and Theodore, 2001, 2010). From the urban policy

199 mobility perspective, Chongqing was a “policy borrower” (Lee and Hwang, 2012, p.2831). The idea of ‘adaptive reuse of industrial heritage for cultural purposes’ can be regarded as a ‘mobilised policy’, and the process of policy mobilisation in Chongqing can be divided into ‘learning’ and ‘mutation’ stages. The evident gap between the ideals and the reality of industrial heritage reuse in Chongqing reflects the influence of local economic, cultural and political conditions. The heritage value was dramatically sacrificed to short-term profitability in property development, when relatively weak economic conditions, entrepreneurial governance with a focus on investment return, a lack of strong heritage legislation and regulation, and limited local cultural support work together.

Unravelling Chongqing’s contextual constraints helps explain why the planning goals of industrial heritage conservation failed in some of the most historically significant places in the western regions of China. As shown in Chapter 2, regeneration work in the leading eastern cities, such as Beijing, Shanghai and Guangzhou, has influenced the practice in inland regions. Learning from the prior experience of successful precedents, therefore, has become a natural path for the officials in the inland cities to take in their search for solutions to brownfield regeneration. These inland cities, such as Wuhan, Chongqing and Chengdu, have been increasingly reformulating urban regeneration policy by infusing cultural elements and retaining industrial heritage. A common goal of converting industrial legacy into a cultural complex is shown in some design proposals of Chongqing33, Wuhan34 and Chengdu 35. However, it is noteworthy that a gap is evident between ideals and reality in terms of urban planning and development goals. In the heritage projects of the western Chinese cities, industrial heritage reuse tends to be elevated to an ideal, yet regularly becomes degraded in practice, as observed from the implementation of most regeneration programs (Xu, 2014). The Chongqing case identifies the driving forces behind the dilution of ideals for provision of industrial heritage cultural space in post-reform Western China.

33 Chongqing’s proposals of industrial heritage reuse include the Chongqing Steel Factory, the Chongqing Special Steel Factory, the Chongqing Power Plant, the Chongqing Copper Bureau, the Chongqing Maoershi Creative Industry Zone, the Chongqing Dashiba Creative Industry Zone, the Chongqing S1938 Creative Industry Zone. 34 Wuhan’s proposals of industrial heritage reuse include the Hanyang (Wuhan) Arsenal, the Hanyang (Wuhan) Steel Factory, the Wuhan Copper Factory, the Wuhan Meat Processing Factory, the Wuhan Boiler Factory. 35 Chengdu’s proposal of industrial heritage reuse includes the Chengdu No. 420 Factory. 200

7.7 Summary: A Critique of the Theoretical Framework

A theoretical framework is built arising from theories on the production of space and the urban policy mobility perspective. The Chongqing case has shown these theories have their strengths and limits. The mobility perspective contributes essential concepts of ‘idea learning’ and ‘idea mutation’ for understanding the process of importing an idea into a local situation. This is strongly supported by the experience of the dilution of the industrial heritage reuse idea in Chongqing. The mobility perspective also stresses the need to consider local contextual constraints as the intervening factors that contribute to the change of an imported idea. However, existing literature on the urban policy mobility perspective has not clearly articulated what the local contextual constraints are and how the intervening factors influence the built environment. A combination of theories on the production of space can contribute to the understanding of changes in a dynamic built environment.

The empirical findings in Chongqing respond to the debate on the forces driving brownfield restructuring in urban China by identifying a set of factors accounting for the economic, political and cultural constraints experienced in seeking industrial heritage conservation, as reviewed earlier in Chapter 3. These findings reflect on Harvey’s theory on the role of capital accumulation on urban space, urban governance under neoliberalism, related urban studies on power relations and urban space, and his concepts of accumulation by dispossession as well as Harvey’s and Lefebvre’s discourse on the right to the city.

Harvey’s work serves as a general guiding framework for this thesis. Harvey has been successful in contributing essential concepts of capital accumulation, social justice, and neoliberalism for the understanding of cities and the built environment. First, the most essential contribution of the Harvey’s approach lies in relating the Marxian concepts of capital accumulation to the built environment. This was strongly supported by the Chongqing case. The change in the modes of capital accumulation, such as the weakening of the state-led industry system and the switch from manufacturing industry to real estate industry, caused spatial changes in the industrial landscape in urban Chongqing. Second, the Chongqing experience also lends support to Harvey’s discourse on accumulation by dispossession and social injustice caused by the neoliberal turn.

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However, Harvey’s approach also has its own limits, placing too much emphasis on labour and capital, and considering space as a derivative of the mode of production (Soja, 1989, 2003; Obeng-Odoom, 2016). The contextual constraints shaping the outcome of industrial heritage conservation practice in Chongqing, nevertheless, reveal that urban space is not just a derivative or simply a product driven by surplus extraction and accumulation, but as part of wider socio-cultural process, and also an outcome of changes in the institutional structure in the Chinese context. As the CSF case has shown, capital accumulation, power relations and social justice affect each other, and are closely intertwined, interdependent and interrelated in shaping urban space.

First, the formation of entrepreneurial governance is a consequence of the logic of capital accumulation. The Chongqing authorities capitalised on the inner city industrial land through converting them into real estate projects. For a better financial return, dominant stakeholders have adopted entrepreneurial approaches and formed a pro- growth coalition. Conversely, entrepreneurial governance can also guide the accumulation direction of capital. Entrepreneurial governance indicates ‘who governs’ and ‘who benefits’ and ‘how to make more profits’, and its core is to build conditions favourable to further capital accumulation.

Second, the entrepreneurial sense of power relations and social inequality play out together in shaping urban space. The Chongqing case shows that social injustice is caused by unequal power relations between a dominant pro-growth coalition and a weak socio-cultural community. On the other hand, the missing ingredient of the public voice and a negligible role of grass-roots groups in demanding social justice, to retain the historic industrial buildings in this case, also accounted for the failure of efforts to break the entrepreneurial sense of power relations in Chongqing.

Third, social injustice and accumulation by dispossession are two interrelated processes. For one thing, social injustice is a product that capital accumulation by dispossession produces. The CSF shows that the wholesale demolition of industrial heritage and the loss of the rights of the former workers to live in the original urban area resulted from profit-driven brownfield regeneration. On the other hand, spatial and social justice requires struggles against dispossession formulated by disadvantaged groups or through neutral social organisations, which, however, were absent in the CSF case.

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In addition, this thesis shows that the Western theories on the production of space are not wholly applicable to the Chinese cities. Firstly, Harvey’s theory explains the contribution of capital accumulation to the production of urban space. But the CSF case shows the ideological representation of urban development results from modes of capital accumulation, manipulation of power and social relations. Secondly, the public- public-participation model operating in the CSF case is apparently different from the domain of the market and the public-private-participation explained by Harvey (2007a, 2007b). In the CSF case, the local government established the government-owned corporation Yufu and allowed Yufu to redevelop state-owned industrial land. The local government did not directly participate in this regeneration project. Rather, the local government has set up government regulations and influenced its collaborator Yufu. By adopting the pubic-public-participation model in the CSF project, the local government has retained control over future development and exerted regulatory power on how the land was to be developed. Thirdly, social groups, such as cultural community, are hypothesised as important actors based on theories by Harvey’s (2003, 2008, 2012) and Zukin (1996) derived from the Western context. However, this community is absent from urban development in Chongqing. The developmental logic in the CSF case was that the more reduced the proportion of industrial heritage, the more profitable the development project would be. In this sense, culture is merely an add-on component, which contributed little to structuring the built form of urban space in the CSF case. It is thus doubtful that Zukin’s (1996) concept of ‘symbolic economy’ can be directly used in this case.

The Chongqing experience has demonstrated that the Harvey’s work in analysing the built environment has its strengths and weakness. Capital accumulation, power relations and social justice are densely intertwined processes, and consequently, required to be included together in analysing the production of urban space. A combination of Harvey’s approach and related urban analysis on the production of space has offered a useful approach to understand how capital, power, and efforts for spatial justice work through urban spaces.

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Chapter 8 Conclusion

The final chapter concludes with an outline of the originality, contribution to knowledge and significance of the thesis, its limitations as well as implications and recommendations for future research, practice and policy in the field of industrial heritage conservation.

8.1 Overview

This study conducted an empirical investigation of Chongqing, a city with a rich industrial heritage that had praiseworthy intentions for heritage conservation, yet had experienced poor outcomes in practice. By selecting the Chongqing Steel Factory (CSF) Regeneration project as the single case study, this thesis:

(1) traced the idea of industrial heritage reuse that has travelled as a global concept with its Chinese precedents to Chongqing;

(2) explored the interaction of imported ideas with local circumstances through the recording of the whole planning and design process; and

(3) revealed Chongqing’s contextual constraints that shape the change from conception to implementation of adaptive reuse of industrial heritage for cultural purposes.

8.2 The Originality, Contribution and Significance of the Research

This thesis addressed two key gaps on industrial heritage research. First, little research has been devoted to the driving forces behind the dilution of ideals for provision of industrial heritage space in post-reform China. This study analysed the formation of industrial heritage cultural space in Chongqing and revealed the reasons for the loss of industrial heritage in the process of brownfield restructuring. By combining insights from various disciplines, such as urban geography, political economy, urban design and urban sociology, especially Harvey’s work and related urban studies on the production of space, this thesis contributes a useful approach to 204 understanding the relationship between the process of the production and outcome of urban space. The identified influencing factors are not limited to actors, but also social and political conditions, including capital accumulation, power relations towards entrepreneurialism, and social movements.

Second, as discussed in Chapter 1, adaptive reuse of industrial heritage is placed in a wide range of literature, incorporating heritage studies, brownfield transformation research, and urban China studies. However, previous research has primarily been geared towards case studies and has not considered the heritage reuse phenomenon at both national and regional scale. This thesis related the study of industrial heritage to the urban policy mobility approach at multiple scales. It examined how the idea of industrial heritage reuse has travelled from global origins for adaption to the Chinese context. As a global concept, the idea has had dramatically different interpretation throughout China and has had difficulty taking root in the context of Chongqing’s urban landscape, as demonstrated by the CSF case.

This thesis contributes knowledge to three distinct arears: (1) to industrial heritage studies; (2) to research on brownfield transformation; and (3) to Chinese urban studies. Firstly, Chapter 1 shows that discussion of heritage research has been linked to the study of a host of related issues. They are: heritage history, heritage management and principle, human rights, geography, urban regeneration, sustainability, creative class and city, cultural economy and creative industries, as well as gentrification and entrepreneurial governance. However, research on industrial heritage in the Chinese context has not been well addressed. The empirical findings in Chongqing respond to the literature debate on the forces driving brownfield restructuring in urban China by identifying a set of factors accounting for the economic, political and cultural constraints experienced in seeking industrial heritage conservation.

Secondly, past literature has examined the policy context, governance models and social forces in post-reform China. The literature provides a broad background related to industrial land transformation, namely, the switch from manufacturing industry to the real estate industry, the change of urban governance from managerialism to entrepreneurialism, and the shift in the sociocultural environment. However, the literature has not addressed specific reasons for the demolition of historical industrial buildings in the process of brownfield restructuring in post-reform China. These reasons

205 can be more fully understood by recognising the three main sets of intervening factors in the CSF project. The story of the CSF regeneration project reflects a modern conservation paradox in Chongqing. The heritage value is dramatically sacrificed to short-term profitability in property development, when relatively weak economic conditions, entrepreneurial governance with a focus on investment return, a lack of strong heritage legislation and regulation, as well as limited local cultural support work together.

Thirdly, current research attention has been almost entirely devoted to the eastern leading cities of China that have relatively developed economic and cultural conditions than West China. The first tier of metropolitan cities of China, such as Beijing, Shanghai and Guangzhou, are the main focus of exploration. This thesis shifts to the inland Western area of China, specifically the city of Chongqing, a case of which have the potential to challenge the existing theoretical accounts of the phenomenon of industrial heritage reuse. Besides, unravelling Chongqing’s contextual constraints help explain why the planning goals of industrial heritage conservation failed in some of the most historically significant places in the western regions of China. It also provides reasons for the uneven landscape of industrial heritage conservation in urban China presented in Chapter 2.

8.3 Research Limitations

The limitations of this research are about methodological constraints, in terms of the single case study approach and the method of interview. This thesis chose Chongqing as one Chinese-mega city for demonstrating the negative reality of industrial heritage conservation. Section 7.6 has discussed the generalisation of the Chongqing case. The Chongqing case helps reveal the reasons for the dilution of ideals for provision of industrial heritage space in post-reform China. The single case study may be seen as having limited generalisability. Despite this, it is argued that many of the lessons learned from the Chongqing case can be applied to other peer industrial cities especially with similar characteristics in China.

Some data collection challenges experienced were associated with the interviews. This study interviewed senior government officials from the Chongqing government and two government departments of urban planning and cultural relics, but was not able

206 to reach the Chongqing mayor. However, secondary data such as government meeting minutes and newspaper reports where mayoral participation had taken place and the events recorded were used to fill this gap.

In addition, another challenge was the access to the international design consultancies that participated in the CSF project. Since these international design consultancies were located in Canada, the UK and Japan respectively, the researcher was unbale to reach these designers for interviews due to a limited travelling budget. Local design consultancies who had collaborated with the international consultancies in the CSF project were responsible for writing the project reports to the client and government officials. It meant that local designers were actually more familiar with the story behind the CSF project than the overseas company. As such, local urban planners, urban designers and architects were selected as the main interviewees representing the design consultancies.

8.4 Research Recommendation and Implications

The research findings provide a number of new insights for researchers, practitioners and policy makers. First, given a single case study in Chongqing, this research may be a starting point for the investigation of industrial heritage conservation in Chinese-mega cities. Further investigation into generalisability of empirical findings could be achieved by conducting multi-case study in inland China and comparative case studies between East China and West China. But this is outside the scope of this research. In addition, conducting more interviews with key politicians, such as mayors and other senior government officials in the municipal and district governments, could contribute to a more comprehensive and reliable interview data, as well as a more thorough understanding of industrial land regeneration projects.

Second, in drawing from Chongqing’s experience, this study explores the relationship between the design process and its final design outcome in industrial heritage projects. It reveals that a project outcome is not just shaped by the original concept of an influential individuals and organisations, but instead is largely influenced by local contextual constraints. The architects/urban designers/urban planners thus need to conduct contextual analysis and consider local complex economic, political and cultural constraints. Multi-discipline specialists, such as a heritage assessment body, need to be

207 included with design consultants in industrial heritage projects. In addition, the evident gap between the concept and the reality in the CSF project reflects on the limited role of urban design, which also suggests developing an urban design agenda in future.

Third, for policy makers, what matters is an aspirational approach that could inspire new thoughts in future regeneration programs. This thesis adopted an approach that explores in considerable depth how final outcomes of industrial heritage projects are produced by the inland Chinese-mega cities. This includes consideration of the power relationships along with the tensions between the government, developers, design consultants, as well as local grassroot artist communities. This analysis of the key stakeholders helps understanding of the keys to the success or the failure of the heritage conservation projects. A better decision-making process in future heritage reuse policy and programmes could be developed through the disclosure of such a dominant power structure.

8.5 Thoughts on the Future

I end this thesis with thoughts on the potential future for Chinese industrial cities. Industrial heritage is a symbol of the past of an industrial city, therefore adaptively reusing historic industrial buildings as cultural precincts is extremely significant in retaining the “aesthetic, historic, scientific, social or spiritual value for past, present or future generations” (The Burra Charter, p.2) in industrial cities. To achieve better industrial heritage conservation results will require the application of best practice industrial heritage conservation approaches, including a better balance between economic growth and cultural development, effective governance, strong heritage legislation and regulation, and better multi-disciplinary cooperation between government officials, property developers, design consultants and ordinary urban residents. By investigating the case of the Chongqing Steel Factory, this thesis has established a knowledge base to inform government, policy elites, developers, practitioners, academic researchers, urban residents and artist communities who have the capacity to rewrite the future of China’s industrial cities. In this sense, “what’s past is prologue” (Shakespeare, The Tempest) for other second-tier cities in North and West China 36 , which still contain numerous industrial sites with great potential to be

36 Some industrial cities in North China and West China: Shenyang, Ha’erbin, Qiqihar, Fushun, Liaoyang, Anshan, Benxi, Dalian, Liuzhou, Changchun, Tangshan, and Wuhan. 208 reclaimed. This study seeks to inspire researchers, practitioners and policy makers in the positive transformation of China’s industrial cities for the benefit of present and future generations.

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Appendix I: Industrial-heritage Cultural Precincts in Beijing and Shanghai Selected examples of industrial-heritage cultural precincts in Beijing Name Time Original factory Approach Precinct Tenants Policy Process 798 Art Zone 1990s Electronics factory Creative Creative class cluster Independent artists and stores CIC Bottom-up1 Songzhuang Art Zone 1990s Village & warehouse Creative Creative class cluster Independent artists CIC Bottom-up Feijia Art Village 1990s Village & pickles Plant Creative Creative class cluster Independent artists Bottom-up Caochangdi Art Zone 2002 Village & warehouse Creative Creative class cluster Independent artists Bottom-up No. 46 Fangjia Hutong 2008 Machine tool plant Creative Creative class cluster Design companies Bottom-up Huitong Times Square 2003 Electronics factory Creative Creative class cluster Design companies CIC Private development2 Brewery International 2005 Brewery Creative Creative class cluster Independent artist, art institute, Private development gallery Huantie Times Art 2006 Warehouse Creative Creative class cluster Independent artists, art Private development institutes, galleries No. One Art Institute 2007 Aluminium factory Creative Creative class cluster Independent artists, art CIC PPP3 institutes, galleries The Image Base 2007 Cotton factory Creative Creative class cluster Design companies CIC Private development Dagao Arts Zone 2009 Windows and doors Creative Creative class cluster Independent artists, art Private development plant institutes, galleries 751 D-Park 2010 Gas plant Entrepreneurial Service-oriented precinct Design companies, fashion PPP show, office building Laijin Creative Zone 2011 Textile factory Creative Creative class cluster Design companies CIC PPP Capital Steel Industrial Park 2010 Steel factory Progressive Public cultural precinct Public park Top-down4 Tap-water Museum 2000 Water factory Progressive Public cultural precinct Government-funded cultural project Top-down Chaoyang 1919 Theatre 2010 Factory fall Progressive Public cultural precinct Government-funded cultural project Top-down Source: based on the information from the author’s field reconnaissance in 2014 and internet searches

1 Bottom-Up: where industrial areas are spontaneously occupied by the artists and then promoted by local government through official grant policy.

2 PPP: where the local state and private sector usually jointly establish a public-private company to coordinate the interests between them.

3 Private Development: local government only acts as a project supervisor or supporter, while the private developer finances the full or major cost of construction, and in return the value added by development belongs to the private sector.

4 Top-Down: where the local state plays multiple roles as the transformer of land use rights, the investor, and the mediator between the SOEs and the private developers.

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Selected examples of industrial-heritage cultrual precincts in Shanghai Precinct name Time Original factory Approach Precinct Tenant Policy Process M50 1990s Textile factory Creative Creative class cluster Independent artists and design companies CIC Bottom-up Tianzifang 1990s Li-long factory Creative Creative class cluster Independent artists and artwork stores CIC Bottom-up South Creek 1999 Warehouse Creative Creative class cluster Independent artists CIC Bottom-up Sihang Creation Warehouse 1999 Warehouse Creative Creative class cluster Independent artists and design companies CIC Bottom-up Creekart 2005 Flour factory Creative Creative class cluster Art exhibition and restaurants CIC Bottom-up No.8 Bridge 2003 Motor parts factory Creative Creative class cluster Design companies, art exhibition and CIC Private development restaurants Jingan Industrial Park 2004 Radio factory Creative Creative class cluster Design companies CIC Private development X2 Creative Space 2005 Printing plant Creative Creative class cluster Design companies CIC Private development Zhongke Creative 2005 Cotton warehouse Creative Creative class cluster Design companies CIC PPP Warehouse Tonglefang 2005 Li-long factory Entrepreneurial Service-oriented precinct Galleries, restaurants and stores CIC Private development Warehouse E 2006 Motor parts warehouse Creative Creative class cluster Design companies, art exhibition and CIC Private development restaurants 1933 Old Millfun 1933 Slaughterhouse Entrepreneurial Service-oriented precinct Stores, art exhibition and restaurants CIC Private development Husizhan 2006 Cotton factory Creative Creative class cluster Design companies CIC Private development Shangjie Loft 2007 Cotton factory Entrepreneurial Service-oriented precinct Design companies and stores CIC Private development Chuangyi Jinshagu 2007 Clutch factory Creative Creative class cluster Design companies and stores CIC Private development Yuejie Creative Zone 2007 Television factory Creative Creative class cluster Design companies and stores CIC Private development Allory Factory 2007 Allory factory Creative Creative class cluster Media companies CIC Private development Wending Living Style Plaza 2008 Cold drawn steel plant Entrepreneurial Service-oriented precinct Media companies, stores, and restaurants CIC Private development JC Film Gallery 2014 Machinery plant Progressive Public cultural precinct Museum Private development Sculpture Space 2004 Steel plant Progressive Public cultural precinct Public park, museum and design companies CIC Top-down 2010 Expo 2010 Factories cluster Progressive Public cultural precinct Government-funded cultural project Top-down Source: Based on the information from the author’s field reconnaissance in 2014 and internet searches

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Appendix II: Interview Questions

Interview Questions in English Project Title: The Adaptive Reuse of Waterfront Industrial Heritage for Cultural Purposes in China: Chongqing as a Specific Case

Objectives of the interview:

1) To gather information from the stakeholders of the ‘Chongqing Steel Factory Regeneration’ project, including the origin of the idea ‘adaptive reuse of industrial heritage for cultural purpose’, the evolution of the idea in the project and the intervening factors that have shaped the outcomes of the project. 2) To gather information from the expert group in Chongqing, including their opinions of the outcomes of the ‘Chongqing Steel Factory Regeneration’ project. 3) To gather information from the artist community in Chongqing, including their experience in cultural industry, and opinions of Chongqing’s cultural development.

Interview Questions for the Stakeholders in the ‘Chongqing Steel Factory Regeneration’ Project

Theme Secondary Theme Question

A Regarding the Background and The origins of the ‘Chongqing Steel Factory Project Goal Regeneration’ Project? - Why is the intension to regenerate the project? - Who initiate the project? - What was the goal of the ‘Chongqing Steel Factory Regeneration’ project? Process and Actors Please explain the development process? - Can you please explain the development stages of the project? - How many organizations were involved in the project? - What organizations take the most important responsibility? The Role of Your Please explain your or your organization role Organizations in the project? - What did you contribute in the project? - Who is the key people driving the project? - How long of your organization evolved in the project?

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B Where is the idea Idea: adaptive Did you intend to adaptive reuse the industrial from? reuse industrial heritage in the project? heritage for - Where did the idea come from? cultural purpose - Why reused the industrial heritage? - How did you plan to reuse the industrial heritage? Any documents? Please explain your understanding of ‘industrial culture’ in Chongqing? - How do you define ‘industrial culture’ of Chongqing? - Does it include war-time with Japanese or the third tie time? - What industry is included for ‘industrial culture’? - Was it important of ‘Chongqing Steel Factory’ in this defining ‘industrial culture’? Precedent Case Was the idea of ‘adaptive reuse the industrial heritage for cultural purposes’ drawn from any precedents cases? - Which cases? - How was this case studied or analysed? - What was adopted from the precedent cases? Cultural Purpose - What kinds of cultural purpose were analysed to be part of the project? - What cultural organization consultants were used?

C How did the idea The (Your) Please explain the (your) proposal? change Proposal - Why did you include residential and commercial development? - What did you intend to do with the industrial heritage? The Proposal at Please explain your proposal? last stage - Do you think the (your) original proposal was different to the proposal at the last stage? - If yes which part and why? If no please explain how and why the proposal survived to the last stage?

D Why did the idea Influencing Factor Are you satisfied with the outcomes? change? - Do you think the original goal was realized? - If not why not? - What is the main factors driving the changes? Giving your experience in the project, how 245

easy or difficult is the task of industrial heritage conservation in Chongqing? - How feasible was it to reuse the industrial heritage buildings? - What were the barriers to the re-use of industrial heritage? - Is cultural facility the best way to reuse the industrial heritage? - What compromise/ trade-off were made along the way? - What would have been done differently to achieve a better outcome?

E Conclusion How do you think the implementation outcomes of Chongqing’s industrial heritage conservations compare to other projects in mega-Chinese cities (such as Beijing and Shanghai)?

Interview Questions for the Experts in the Field of ‘Adaptive Reuse of Chongqing Industrial Heritage’

Theme Secondary Theme Question

F Regarding the Influencing Factor What do you think about the outcomes of outcomes of the in the ‘Chongqing Chongqing Steel Factory regeneration? ‘Chongqing Steel Steel Factory’ - Are you satisfied with the outcomes? Factory Project - Why? If not why not? Regeneration’ Your role in the outcomes of Chongqing Steel project Factory regeneration? - Can experts influence the outcomes of this project? - If yes how influence? If no why not? What is your opinion about the intervening factors that have influenced the outcomes of the Chongqing Steel Factory regeneration?

G Conclusion How do you think the implementation outcomes of Chongqing’s industrial heritage conservations compare to other projects in mega-Chinese cities (such as Beijing and Shanghai)?

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Interview Questions for the Artist Community in Chongqing

Theme Secondary Theme Question

H Regarding your Introduction of your experience? occupation and - Your occupation and background? background - What are your reasons moving here (Huangjiaoping art district), e.g. clients, atmosphere, transport, rent, local policy support, other? - Hong long have you been here? - What are the problems / challenges of the area? What improvement would you like to see?

I Regarding your What do you think about the outcomes of opinion about the Chongqing Steel Factory regeneration? outcomes of - Are you satisfied with the outcomes? Chongqing Steel - Why? If not why not? Factory Your role in the outcomes of Chongqing Steel Factory regeneration? - Can artist community influence the outcomes of this project? - If yes how influence? If no why not? - Did you consider moving to Chongqing Steel Factory for continuing your career? - Why? E.g. clients, atmosphere, heavy industry, transport, rent, local policy support What is your opinion about the intervening factors that have influenced the outcomes of the Chongqing Steel Factory regeneration?

J Conclusion Regarding How do you think Chongqing’s cultural Chongqing’s development compare to other projects in cultural mega-Chinese cities (such as Beijing and development Shanghai)? What are the problems / challenges of Chongqing in terms of cultural development? What improvement would you like to see? Regarding How do you think the implementation Chongqing’s outcomes of Chongqing’s industrial heritage industrial heritage conservations compare to other projects in reuse outcome mega-Chinese cities (such as Beijing and Shanghai)?

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Interview Questions in Chinese

访谈问题

论文题目：以文化为目的的中国滨水工业遗址保护再利用：以重庆为例

访谈目的：

1) 收集重钢片区更新项目主要参与者对于该项目的看法与意见，包括“以文化为目的的工业遗产保护再利用”相关概念的来源；其在重钢片区项目中的演变；以及导致项目实施结果演变的重庆本土影响因素。 2) 收集专家学者对于重庆工业遗产保护再利用和重钢片区现更新结果的看法与意见。 3) 收集重庆艺术家的现状和他们对于重庆创意产业和文化发展的看法。

重钢片区更新项目主要参与者的访谈问题

主题分类问题 A 关于此项目背景与目标 “重钢片区更新”项目的起因： - 为什么试图更新重钢片区？ - 这个项目是由谁（或者哪个机构）发起的？ - 该项目希望达到的目标是什么？过程与参与者该项目的开发过程： - 您能简单介绍下该项目的主要开发阶段吗？ - 有多少部门或机构参与了这个项目的开发过程？ - 这些部门或机构承担的责任是怎样的？您所在机构的您或您的机构在这个项目中发挥的作用：作用 - 您或您的机构在这个项目中所负责的主要工作？ - 这个项目主要参与主导的人有哪些？ - 您或您的机构参与这个项目多长时间？ B 此“以文化为目 “以文化为目您是否打算在重钢项目中保护再利用工业遗的的工业遗产的的工业遗产产？保护再利用”概保护再利用” - 这个概念从何而来？念从何而来？的概念 - 为什么要保护再利用工业遗产？ - 您计划如何保护再利用工业遗产？是否有任何相关文件？请解释您如何理解“工业文化”？ - 您如何定义重庆的“工业文化”？ - 重庆的 “工业文化”是否包括抗日时期或者三线时期？ - 重庆的“工业文化”主要包括哪些产业？ - “重钢”对于重庆的工业文化而言，重要性体现在哪些方面？先例此“工业遗址与文化结合”概念是否有参考其他先

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例？ - 哪些先例？ - 先例中的哪些经验被采用到重钢项目中？ - 先例的经验如何体现在重钢项目的规划设计过程中？文化为目的 - 该项目“文化为目的”具体指的是哪些？ - 该项目的规划过程中向哪些文化机构进行过咨询？

C 此“以文化为目该（或您的）请解释下您的方案的的工业遗产方案 - 为什么您方案中包括了住宅和商业新的保护再利用”概建筑？念如何演变？ - 您打算在您方案中如何利用工业遗产？上级规划方案请解释您的方案与上级规划方案的关系？ - 您认为您的方案与上一级规划方案有不一致之处吗？ - 如果有的话请解释哪些部分和为什么产生不一致？如果没有的话请解释您的方案如何延续上级规划？

D 此“以文化为目影响因素您满意重钢项目的最终设计结果吗？的的工业遗产 - 您认为您最初的目标在最终设计结果中保护再利用”概实现了吗？念为何会变 - 解释您的理由？化？ - 哪些要素导致了概念在规划过程中的变化？在您看来，您认为在重庆保护再利用工业遗产容易或者困难吗？ - 您认为在重庆保护再利用工业遗产是否可行？ - 您认为哪些因素阻碍了重庆工业遗产的保护再利用？ - 您认为打造成文化设施是否是重庆工业遗产保护再利用的最佳途径？ - 回顾重钢工业遗产保护再利用的规划，您觉得如何做才能达到更好的结果？ - 对于重钢工业遗产保护再利用的目标，您或者您的单位参与此规划过程中做了哪些折中和让步？

E 结论与中国其他城市（比如北京和上海）的类似项目相比，您如何看待重庆的工业遗产保护再利用的实施结果？

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重庆工业遗产保护再利用专家的访谈问题

主题二次主问题题 F 关于重钢 “重钢片您对于重钢片区更新结果的看法？片区更新区更新” - 您满意更新结果吗？结果的看项目的 - 请解释您的理由？法影响因关于专家在重钢片区更新结果的影响？素 - 专家意见是否对该项目最终结果产生影响? - 如果是，如何影响？如何不是，为什么不能影响？您认为哪些因素导致了重钢片区更新项目的实施的最终结果？

G 结论与中国其他城市（比如北京和上海）的类似项目相比，您如何看待重庆的工业遗产保护再利用的实施结果？

重庆艺术家的访谈问题

主题二次主题问题 H 关于您的您职业概况？职业和背 - 您的职业和背景？景 - 您为什么搬到这里（黄角坪艺术基地）？客户、氛围、交通、租金、政策扶持还是其他？ - 您搬到这多久了？ - 您认为这里有什么问题吗？您希望能看到哪些改善？

I 关于重钢您对于重钢片区更新结果的看法？片区更新 - 您满意更新结果吗？结果的看 - 请解释您的理由？法关于艺术家在重钢片区更新结果的影响？ - 艺术家意见是否对该项目最终结果产生影响? - 如果是，如何影响？如何不是，为什么不能影响？ - 您会考虑搬到重钢文化博览园吗？ - 请解释您的理由？客户、氛围、交通、租金、政策扶持还是其他？您认为哪些因素导致了重钢片区更新项目的实施的最终结果？

J 结论关于重庆与中国其他城市（比如北京和上海）相比，您如何看待重文化发展庆的文化发展？您认为重庆文化发展存在哪些不足？您希望能看到哪些改善？关于重庆与中国其他城市（比如北京和上海）的类似项目相比，您工业遗产如何看待重庆的工业遗产保护再利用的实施结果？再利用

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Appendix III: Ethics Application Documents

Project Information Statement

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Project Information Statement

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Project Information Statement in Chinese

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Project Consent Form

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Project Consent Form in Chinese

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Appendix IV: Coding Framework of SRQ1, 2 and 3, and Summary of Data Analysis

Coding Framework of SRQ1, 2 and 3

SRQ1: where is the idea from

1.1 Individual and organisational representations 1.1.1 Project champion: the Yufu Chairman 1.1.2 Government department 1.1.3 Academic experts 1.1.4 Chongqing municipal government 1.2 Precedent case 1.2.1 The Chinese precedents 1.2.2 The International precedents 1.3 City branding 1.3.1 Chongqing’s contribution to China’s industrialisation 1.3.2 The benefits of reusing industrial heritage 1.4 The significance of the CSF 1.4.1 Historical value 1.4.2 Urban waterfront location 1.4.3 Substantial land value

SRQ2: how did the idea change

2.1 The actors

2.2.1 Local government: Chongqing Municipal Government

2.2.2 Government department: Chongqing Urban Planning Bureau

2.2.3 The land banking agency: Chongqing Yufu Assets Management Corporation

2.2.4 The property developer: Chongqing Industrial Museum Co., Ltd 256

2.2.5 The SOE: Chongqing Steel Corporation

2.2.6 Design consultants

2.2 The process

2.1.1 The CSF urban design proposal

2.1.2 The CSF land use proposal

2.1.3 The CSF land use revision proposal

2.1.4 The CSF architecture design proposal

SRQ3: why did the idea change

3.1 Economic factors

3.1.1 Economic debt arising from the CSF relocation

3.1.2 Economic pursuit of value added by property development

3.1.3 The influence of industrial heritage reuse over property development

3.2 Entrepreneurial factors

3.2.1 The main stakeholders’ pursuit of fast economic return

3.2.2 The absence of third parties

3.2.3 Lack of legislation and regulation of industrial heritage

3.3 Cultural factors

3.3.1 Recognition of the value of industrial heritage

3.3.2 Lack of local precedents and creative class

3.3.3 Chongqing’s cultural development

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Summary of data analysis for SRQ1: Where did the original idea come from: to what extent did it draw from international and/or Chinese precedents?

Step 1: Coding the material using Nvivo

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Step 2: Identifying initial interview themes for SRQ1 using MindManager

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Step 3: Constructing the network for SRQ1 using NodeXL

(a) Arranging interview themes for SRQ1 using NodeXL (b) Identifying different levels of interview themes for SRQ1 using NodeXL

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Step 3: Constructing the network for SRQ1 using NodeXL

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Summary of data analysis for SRQ2: How did the idea change: what is the process that has driven the change in the proposal for the industrial waterfront regeneration project in Chongqing?

Step 1: Coding the material using Nvivo

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Step 2: Identifying initial interview themes about the actors in the CSF project using MindManager

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Step 3: Constructing the network for the actors in the CSF project using NodeXL

(a) Arranging interview themes for the actors using NodeXL (b) Identifying different levels of interview themes for the actors using NodeXL

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Summary of data analysis for SRQ3: Why did the idea change: what are the local intervening factors that have shaped the outcomes of the project in Chongqing?

Step 1: Coding the material using Nvivo

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Step 2: Identifying initial interview themes for SRQ3 using MindManager

Initial interview themes: government officials, land banking agency and property developer, artist community and previous factory owner

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Step 2: Identifying initial interview themes for SRQ3 using MindManager

Initial interview themes: expert group and design consultant

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Step 3: Constructing the network for SRQ3 using NodeXL

(a) Arranging interview themes for SRQ3 using NodeXL

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Step 3: Constructing the network for SRQ3 using NodeXL

(b) Identifying different levels of interview themes for SRQ3 using NodeXL

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Step 3: Constructing the network for SRQ3 using NodeXL

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