An Integrated Participatory Approach in Managing Built Heritage Case Study Al Salt, Jordan A dissertation submitted By: Montaser A. Hiyari June 2012 to the Faculty of Spatial Planning of Technical University of Dortmund in fulfilment of the requirements for the degree of Doctor of Engineering (Dr.-Ing) An Integrated Participatory Approach in Managing Built Heritage Case Study Al Salt, Jordan By: Montaser A. Hiyari June 2012 Dissertation submitted to the Faculty of Spatial Planning of Technical University of Dortmund in fulfillment of the requirements for the degree of Doctor of Engineering (Dr.-Ing) Dissertation committee Chairman and Supervisor: Prof’in Dipl.-Ing. Christa Reicher, TU Dortmund Supervisor: Prof’in Dipl.-Ing. Inken Baller, BTU Cottbus Examiners: Prof. Dr. Ludger Basten, TU Dortmund Date of defense June 29, 2012 Declaration I hereby declare that all information in this document has been obtained and presented in accordance with academic rules and ethical conduct. I also declare that, as required by these rules and conduct, I have fully cited and referenced all material and results that are not original to this work. Montaser Hiyari Dortmund June 2012 Acknowledgement I hope in this page I can thank everybody supported and guided me in developing the dissertation and reaching this point in my professional and academic life. The deep gratitude is to my main supervisor (assessor and chair-examiner) Prof’in Dipl.-Ing. Christa Reicher for her recommendations, advices, and support especially in the hard times when the road becomes misleading. Warm thanks and appreciation is also to my second supervisor (assessor and examiner), Prof’in Dipl.-Ing. Inken Baller, who spent a lot of her time to follow up this work and guided me for the fruitful results of this dissertation. It is also of my honor to thank the examiners in the defense session for accepting being part of this work, Prof. Dr. Ludger Basten. His critique and recommendations in the session will definitely guide my future work. I am extremely grateful to my parents and the grand family for their endless support. Many firms and individuals made me a great favor in facilitating my life and my study in Germany: the Hanns Seidel Stiftung (HSS) in Munich, and the office of Hanns Seidel Stiftung (HSS) in Amman, staff of the TU Dortmund, especially Claudia Becker and Dana Jacob, my colleagues in Doctoral studies in the faculty of spatial planning, my friends in Jordan and in Germany, especially Yahya Hossen, Mathias Fehn, Mais Jaafari and Ahmad Al-Atrash, and the Amman Private University. The research stemmed from many experts, professionals, and officials. Their cooperation and valuable information is deeply appreciated. Special thanks are to H.E. Yousef Dalabeeh Head of the steering committee of Al Salt City Development Project, H.E. Maher Abu Essamen Minister of Municipal Affairs, Dr. Rami Daher, Mr. Samuel Sherer, Eng. Marah Khayyat (Consultant in the Ministry of Tourism and Antiquities), and the community of Al Salt in Jordan for their cooperation in all phases of the dissertation: co-owners of the Al Khateeb Heritage Building and the family of Al Khateeb, Team of Al Salt City Development Project, especially Eng. Lina Abu Saleem Head of the Project Management Unit, , and all participators in the planning workshop. i Dedication to my family … Sewar & Qamar for their supportive patience in the years of preparing this work yours forever, Montaser ii Abstract The research treats one of the obstacles related to the management of heritage buildings in the city of Al Salt, Jordan. Many buildings are vacant due to a situation involving co-ownership which prevents achieving a consensus on decisions related to the rehabilitation of the heritage context, and thus impedes the development operations in the city. In parallel, authorities in Al Salt are not used to effectively engaging stakeholders in problem-solving and planning for development initiatives, due to the lack of knowledge of authorities about community participation, and the awareness level of the local community. The approach of the research relies on community participation through engaging different categories, including authorities, buildings’ co-owners, non-governmental organizations, donors, and professionals. The theoretical background investigates literature related to the management of built heritage, community participation, and management of co-ownership, in addition to national and international practices that enrich the research’s approach. Techniques of a high level of participation were used to explore the attitudes of co- owners and authorities toward the obstacle of co-ownership, arrive at a consensus on a solution, and then develop a management plan for a pilot building. The management plan considers international guidelines issued by reputable organizations, and the research uses techniques of interviews, mini-focus groups, a consensus meeting, and a participatory planning workshop. Management of co-ownership has been inducted and found applicable through using cooperative associations and transferring shares of ownership into shares in the association’s capital. Multi-purpose cooperatives were proposed to co-owners of the pilot building, and then approved for their appropriateness in solving the co-ownership obstacle. For the purpose of supporting the proposed association, six representatives of more than one hundred co-owners of the pilot building participated in developing a management plan with other stakeholders. The plan included consensus on the problem’s definition, and proposed functions inside the building. It also proposed partners that might be interested in providing necessary fund. Accordingly, the research has evaluated the participation process and developed a community participation toolkit. The toolkit can be used by authorities and other parties interested in handling participation activities with the local community in general, and co-owners of heritage buildings in specific. Key words: heritage management, community participation, co-ownership, cooperative associations, toolkit of participation. iii Table of Contents Subject Page Acknowledgment i Dedication ii Abstract iii Table of contents iv List of Tables viii List of Figures ix List of Appendices xi List of Abbreviations xii Glossary xiii CHAPTER ONE: INTRODUCTION 1.1. The Emergence of community-Based Management for Built 2 Heritage 1.2. Degradation of the Built Heritage in Al Salt City, Jordan 3 1.3. Research Problem 5 1.3.1. Management of Co-Owned Built Heritage 5 1.3.2. Community participation in heritage regeneration 6 1.4. Research Goals 8 1.5. Current State of the Research 9 1.6. Scope of the Research 11 1.7. Research Approach and Framework 12 PART I: THEORITICAL BACKGROUND Introduction to Theoretical Background 16 CHAPTER TWO: MANAGEMENT OF BUILT HERITAGE 2.1. Definition of Built Heritage 18 2.2. Planning for the Management of Built heritage 20 A. Problem identification and analysis 21 B. Project Initiation. 21 C. Concept Development. 22 D. Project Preparation 24 E. Implementation 24 F. Occupation and Management 25 iv Subject Page CHAPTER THREE: COMMUNITY PARTICIPATION 3.1. Grassroots and History of Community Participation 27 3.2. Definition: Understanding Participation in the Planning Process 28 3.3. Objectives and Critique of Community participation 30 3.4. Levels of Community Participation in the Decision making Process 32 3.5. Tools and Techniques of Community Participation. 36 3.6. Selection of Stakeholders 39 3.7. Evaluation of Participation Activities 40 3.8. Framework of the Community Participation Toolkit 41 CHAPTER FOUR: MANAGEMENT OF CO-OWNED BUILDINGS 4.1. Forms of Ownership 46 4.2. Condominium and the Management of Divided Co-ownership 51 4.3. Management of Undivided Co-ownership 53 4.4. Associations in Jordan 55 4.5. Multi-purpose Co-operative Associations: A Potential 57 Representative Body for Co-owners of Heritage Buildings CHAPTER FIVE: INTERNATIONAL AND NATIONAL PRACTICES 5.1. A Practice for the Management of Heritage Buildings: The Revitalization of Al-Darb Al-Ahmar District in Cairo by Aga 60 Khan Trust for Culture 5.1.1. Background on Al-Darb Al-Ahmar Revitalisation Project 61 5.1.2. Lessons learned from Al-Darb Al-Ahmar Revitalisation 64 Project 5.2. A Practice for Resolving the Co-ownership Obstacle: Lebanese Company for the Development and Reconstruction of Beirut 66 Central District 5.2.1. Background on Beirut Central District Development 66 5.2.2. Lessons Learned from Beirut Central District Development 70 5.3. A Practice of Participatory Planning: Jordan Local Governance 71 Development Program 5.3.1. Background on Planning Workshops of Jordan Local 71 Governance Development Program 5.3.2. Lessons Learned from the Participatory Planning Workshops 74 of Local Governance Development Program v Subject Page CHAPTER SIX: RESEARCH CASE: AL SALT CITY, JORDAN 6.1. Background 76 6.2. Regeneration Efforts in Al Salt City 78 6.3. Management of Heritage Buildings in Al Salt City 80 6.4. Community Participation in Al Salt City 84 Conclusion of Part One: Theoretical Background 89 PART II: RESEARCH DESIGN Introduction to Research Design 90 CHAPTER SEVEN: PILOT CASE OF THE RESEARCH 7.1. Selection of Pilot Buildings 92 7.2. A Pilot Case Defined 99 7.3. The Al-Khateeb Heritage Building: The Research’s Pilot Case 102 7.3.1 Description of the Al-Khateeb Building 102 7.3.2 Ownership of the Al-Khateeb Building 104 CHAPTER EIGHT: RESEARCH METHODOLOGY 8.1. Stakeholders Definition and Analysis 106 8.2. Research Techniques of Participation 111 8.2.1. Interviews 112 8.2.2. First Mini Focus Group 114 8.2.3. Owners Consensus Meeting 115 8.2.4. Second Mini Focus Group 115 8.2.5. Participatory workshop 116 8.3. Planning For Participation 117 Conclusion of Part Two: Research Design 119 PART III: RESEARCH CONCEPT Introduction to Research Concept 120 CHAPTER NINE: RESULTS AND ANALYSIS OF COMMUNITY PARTICIPATION IN MANAGING BUILT HERITAGE 9.1. Participatory Management of the Pilot Co-owned Heritage Building 122 9.1.1.