Definition of Set of Instruments and Its Steering Competences and Addressees
To analyze the efficiency of soil sealing management strategies and sub-targets toward an ecological urban sustainable development (research question 1), sets of instruments considering a holistic soil sealing management approach were first defined. Sets of instruments were defined since German policy assumes that the 30-ha target can only be achieved by a mix of instruments (Deutscher Bundestag 2004). A holistic soil sealing management approach includes quantitative, qualitative, and compensatory management of urban gray and urban green as well as the protection of soils as the basis of urban gray and green. These steering dimensions are defined as sub-targets in this paper (Table 1) and were derived from a spatial analysis of soil sealing development (Artmann 2013a). For assessing how these sub-targets can be achieved, strategies were identified by reviewing planning documents and literature. For soil sealing, relevant strategies include legal-planning (including laws and informal planning), economic-fiscal (e.g., subsidies, taxes), co-operative (e.g., regional or sectoral co-operations), and informational strategies (e.g., spatial monitoring, awareness raising, improving know-how) (Artmann 2013a). Specific instruments (named as responses) of each strategy were selected and assigned to the sub-targets via criteria (see Fig. 1).
Table 1 Glossary of main terms and their relation to the research questions
The selection of responses was done by reviewing laws as well as local-planning documents (zoning, landscape, sectoral, and informal plans), scientific literature and projects (such as REFINA, Research for the Reduction of Land Consumption and Sustainable Land Management), local initiatives and by conducting expert interviews including experts from the departments of planning, environmental reporting, environmental protection, urban redevelopment, and construction as well as NGOs, real estate agents and research. The responses selected should have relevance for steering soil sealing, land take and land use, urban green areas, and soil as part of a holistic soil sealing management. The focus of this paper is on responses in use. However, in further studies, theoretically discussed responses will be included. In total, 93 responses in practice and 24 theoretically discussed responses were identified and assigned to the sub-targets, whereas a response can be assigned to more sub-targets but only to one strategy. The number of responses selected per strategy is shown in Fig. 1. To analyze the main management authorities and addressees (research question 2), the selected responses were assigned to the macro- (state government, federal states, region), meso- (city level), and microscale (civic society, practitioners) by identifying who has the power to develop a response (authority) and who is responsible for implementing it (addressees) (see Fig. 1) (Artmann 2013b).
Indicators to Assess Strategies Toward an Ecologically Sustainable Soil Sealing Management
The efficiency assessment of strategies and spatial sub-targets toward ecologically sustainable management was based on indicators. Indicators are useful as they support policy and decision makers by providing comprehensible and quick information on consequences of steering actions on the environment (Pulles and van Harmelen 2004). The indicators were derived by developing hypotheses of an ecologically sustainable development based on structured expert interviews in Leipzig and Munich, literature review and analyses of impacts by soil sealing on ecosystem services provisioning (Artmann 2013c). The indicators should reflect impacts of sealing on the urban ecosystem and ecosystem service provisioning as well as framework conditions for ecologically sustainable management.
Indicators on Impacts by Soil Sealing on Ecosystem Service Supply
Ecosystem service supply strongly depends on land use. Therefore, indicators that assess the supply of ecosystem services should be sensitive to land use change (Larondelle and Haase 2013). Following this, land use policy steering urban soil sealing in an ecological sustainable manner should be aware of impacts on ecosystem service provision by soil sealing. This target becomes even more crucial as cities face global climate hazards (Bulkeley 2013) which are intensified by soil sealing. Moreover, according to experts in Leipzig and Munich, the increasing importance of “soft” location factors, including sufficient supply of recreational areas, improve the consciousness of impacts by sealing (Artmann 2013c). Recreational areas should offer characteristics such as “wilderness” or a “rich variety of species” (Herzele and Wiedeman 2003) and can thus be managed like urban forests. In contrast, urban parks are more managed (Bolund and Hunhammar 1999) but also provide physical and psychological well-being for urban dwellers (Chiesura 2004). Besides public green spaces, private green areas such as gardens and allotments are crucial for supporting urban biodiversity and for experiencing urban wildlife (Goddard et al. 2010). Spatial analyses of impacts on soil sealing in Leipzig between 1997 and 2003 showed that, in particular, soils of high quality were used for transport and settlement areas as part of the suburbanization processes (Artmann 2013a). The loss of valuable soils by sealing is crucial as fertile soils affect vital processes and functions such as nutrient cycling processes, seed dispersal, or pollination, which yield ecosystem services (Boyd and Banzhaf 2007). According to an expert of the Saxon State Office for the Environment, Agriculture, and Geology and a scientific expert, improved protection of agricultural areas could be promoted by stressing the importance of agricultural land for nutrition. To secure ecosystem services, the obligatory integration of ecological aspects and reduction of further sealing into decision making is crucial (Artmann 2013c).
Indicators on Framework Conditions for a Sustainable Ecological Development
Spatial analyses in Munich on drivers of urban soil sealing between 1998 and 2011 showed that the main drivers of sealing were transport areas, which increased especially at the urban fringes (Artmann 2013a). In general, urban sprawl increases the distances between working and living and therefore the need for roads, which leads to an increase in the use of cars, energy consumption, and traffic emissions (de Ridder et al. 2008). Therefore, reducing private motorized traffic can support a reduction in sealing and at a larger scale also in energy consumption and air pollution (Artmann 2013a). Soil sealing management should therefore also include a spatial strategic overview and consider impacts by urban land use changes on distant rural places, also termed urban land teleconnections (Seto et al. 2012). Besides the spatial scale, a temporal hypermetropia is vital as the definition of sustainability in the Brundtland Report emphasizes achieving present development in a way which ensures that future generations can also meet their own needs.
The Assessment Process
The assessment of soil sealing management responses, strategies, and spatial targets toward an ecologically sustainable urban sealing management approach was based on a multi-attribute decision method (MADM) using an analytical hierarchy process (AHP). The MADM allows a comparison between several alternatives by using a set of indicators and therefore supports decision making (Zanakis et al. 1998). Within an AHP, one form of MADM, alternatives are compared in pairs including decision makers’ preferences (Saaty and Vargas 2012). The assessment process included three steps: (1) assessment of importance of indicators, (2) content analysis of responses, and (3) evaluation of analyses results. More information on the method developed for Response-Efficiency-Assessment (REA) can be found in Artmann (2013b).
The assessment of the importance of indicators (step 1) was done by involving decision makers of the mesoscale responsible for urban development and planning, brownfield management, urban green management and nature conservation, soil sealing monitoring, urban renewal, and urban policy. In an online survey, the decision makers were asked to evaluate the importance of the indicators on a Likert Scale between 1 and 9, where 1 stood for not important and 9 for very important (see e.g., Mendoza and Prabhu 2000). The weighting factor W
I represents the mean value of the assessment (Table 2). The evaluation of the responses was carried out via a deductive content analysis (step 2), whereas the indicators served as a categorization matrix and were use to prove hypotheses developed before the analysis (Elo and Kyngäs 2008). Laws, planning documents, statements of initiatives, and co-operations were read carefully and data corresponding to the indicators excerpted. The excerpted passages were coded according to the indicators’ assessment score (IS) for each sub-target (Table 2).
Table 2 Indicators, assessment scores, and importance of indicators for assessing the efficiency of strategies toward ecologically sustainable soil sealing management (ES, Ecosystem service)
Afterward, the response efficiency (RE) was calculated for each response R of a strategy S separately for each sub-target ST (step 3): all indicator scores IS derived by the responses R within the spatial sub-targets ST (0)–(VI) were summed up and divided by the number N of responses R per strategies S reviewed. The sub-targets stand for (see also Fig. 1) (0) protecting soil; (I) quantitative steering urban gray; (II) quantitative steering urban green; (III) qualitative steering urban gray; (IV) qualitative steering urban green; (V) compensation measures for urban gray; and (VI) compensation measures for urban green. The quotient was multiplied by the weighting factor W
I (see Table 2):
$$ {\text{RE}}_{{{\text{ST}} - {\text{S}}}} = \left( {\frac{{\sum_{I = 1}^{12} {\text{IS}}_{{{\text{R}} - {\text{ST}}}} }}{{N_{{{\text{R}} - {\text{S}}}} }} \times W_{\text{I}} } \right) $$
The results are provided in % of the maximal reachable weighted score W
I per strategy S. For analyzing the most efficient strategy and spatial sub-targets toward an ecological sustainable soil sealing management, the percentage scores reached per strategy and sub-target were summed up, and the mean value for the strategies (5 strategies) and spatial targets (7 targets) was calculated.