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Community or commodity?: a study of Lilong housing in Shanghai Morris, Louise D. 1994

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COMMUNITY OR COMMODITY?A STUDY OF LILONG HOUSING IN SHANGHAIByD. LOUISE MORRISB. Arts., The University of British Columbia, 1981B. Arch., The University of British Columbia, 1985A THESIS SUBMITTED IN PARTIAL FULFILLMENT OFTHE REQUIREMENTS FOR THE DEGREE OFMASTER OF ARTSinTHE FACULTY OF GRADUATE STUDIESSchool of Community and Regional PlanningWe accept this thesis as conformingto the required standardTHE UNWERS1TY OF BRiTISH COLUMBIAApril 1994© D. Louise Morris, 1994in presenting this thesis in partial fulfilment of the requirements for an advanceddegree at the University of British Columbia, I agree that the Library shall make itfreely available for reference and study. I further agree that permission for extensivecopying of this thesis for scholarly purposes may be granted by the head of mydepartment or by his or her representatives. It is understood that copying orpublication of this thesis for financial gain shall not be allowed without my writtenpermission.(Signature)Department of ?L-At’J I)The University of British ColumbiaVancouver, CanadaDate 21 A-’RIt cMDE-6 (2/88)UABSTRACTShanghai is currently undergoing a massive phase of redevelopment to its inner city. The major factorsbehind the spread and degree of this urban redevelopment is the concept of commodity value of land under theeconomic reform program, the commercialization of housing under the housing reform policy, and the physicalcondition of much of the inner city housing after decades of neglect. The result of such renewal is the demolitionof vast amounts of lilong housing and the relocation of its dwellers to alternative housing in the periphery.However despite overcrowded conditions, and lack of services, the lilong neighbourhoods have maintained a highlevel of social stability, community cohesion, and economic viability for the dwellers.This research examines the factors which are affecting lilong dwellers in their access and quality ofhousing under the past delivery system based on public housing as a welfare privilege, and under the currentclimate of housing reform and ‘commercialization’. As the intention of the study is to determine those factorswhich both alleviate and contribute to housing problems, it is of primary concern to understand the relationshipbetween the dwellers, their housing, and the inherent factors specific to the old neighbourhoods.To describe these pressures a holistic approach is required. The thesis links field research with recentChinese and English publications on China. Basic data sources include in-depth interviews with a diverse groupof stake holders which includes lilong dwellers, housing administrators, planners, policy makers and communityworkers; participant observations in the thong communities; and, primary and secondary documents whichinclude policy statements, statistical publications, project proposals, and journal and newspaper articles.The study suggests that lhlong dwellers will experience increased hardship in their ability to remain in theold neighbourhoods. Furthermore, as a result of the shift from a centralized welfare housing delivery system to amarket-oriented system, dwellers may experience greater disparities in housing access and allocation due to theirspecific living circumstances. To address the local needs of dwellers, policies must be modified which considerboth the community and the commodity value of inner city housing and neighbourhoods.111TABLE OF CONTENTSABSTRACTTABLE OF CONTENTSLIST OF TABLES vLIST OF FIGURES viACKNOWLEDGMENTS vilCHAPTER 1 INTRODUCTION 11.1 Purpose of Research 21.2 Historical Background 21.3 Hypothesis 71.4 Thesis Objectives 71.5 Scope 81.6 Methodology 101.6.1 Conceptual Framework 101.6.2 Data Requirements 111.6.3 Methods for Gathering Data 111.6.4 Data Analysis 171.7 Significance of the Study 181.8 Thesis Organizali 19CHAPTER 2 CHARACTERISTICS OFLILONG HOUSING 202.1 History Pre 1949 202.2 History Post 1949 25CHAPTER 3 A NEIGHBOURHOOD STUDY OF LILONG: WAN ZHU JIE STREET 303.1 Inherent Values at a Household Level: Wan Zhu Jie Street 313.1.1 Tenure and Ownership 313.1.2 Finance and Affordability 353.1.3 Housing Design and Implications 383.2 Inherent Values at a Neighbourhood Level: Community Organizationson Wan Zhu Jie Street 473.2.1 Community Development 483.2.2 Formal Organizations: Neighbourhood and Residents’ Committees 483.2.3 Informal Organizations: Family Structures, Neighbourhood Cooperation,Mutual Aid, and Community Awareness 513.3 Inherent Values at a City Level: The Relationship Between Lilong Dwellers and the City. 543.3.1 Home and Job Linkages 543.3.2 Home and Service Linkages 573.3.3 Home and Commercial Linkages 58CHAPTER 4 FACTORS AFFEC’llNG LILONG DWELLERS UNDERA CENTRALIZED PLANNED HOUSING POLICY 614.1 Housing Allocation 624.1.1 Criteria For Allocating Government Owned Housing 634.1.2 Criteria For Allocating Work Unit Administered Housing 664.2 Housing Rent and Lilong Dwellers: Effects and Impacts 69ivCHAPTER 5 THE INTRODUCTION OF HOUSING REFORMS ANDTHEIR EFFECTS ON LILONG DWELLERS 725.1 Commodity Housing at the Household Level: The Impacts of Five Part Housing Refonns .755.1.1 Rent Reforms 765.1.2 The Central Provident Fund 785.1.3 Favorable Treatment, Housing Bonds, and the Housing Authority 805.2 Commodity Housing at the Neighbourhood Level: The Impacts of Land Lease andLocal Development on Lilong Dwellers 825.3 Commodity Housing at the City Level: The Impacts of Real Estate,Urban Redevelopment, and the Pudong Project, on Lilong Dwellers 86CHAPTER 6 CURRENT HOUSING ALTERNATIVES FOR LILONG DWELLERS .896.1 Experimental Projects: Municipal and Internationally Initiated 896.1.1 Lane 252, Penglai Road: Nanshi District 906.1.2 Futian Terrace Project, Zhang Jia Thai: Jing An District 986.2 Local Developers 1006.3 Self Help and Dweller Initiated Upgrading 101CHAPTER 7 CONCLUSIONS AND RECOMMENDATIONS 1037.1 Review of Hypotheses and Conclusions 1037.2 Issues and Recommendations 106BIBLIOGRAPHY 109APPENDIXES 114VLIST OF TABLESTABLES1. Comparison of Various Indicators of Penglai 252 Project Phase One 922. Zhang Jia Zhai Project Summery 983. Futian Terrace Project Summery-Phase One, Zhang Jia Zhai Project 99viLIST OF FIGURESFIGURES1. Map of Greater Shanghai and Pudong New Area 132. Map of the Xiao Beimen Area, Nanshi District, Shanghai 143. Site Plan of Wan Zhu Jie Street and Surrounding Area 154. Lilong One, Wan Thu Jie Street, Nanshi District, Shanghai 165. Lilong Two, Wan Thu Jie Street, Nanshi District, Shanghai 166. Spine and Rib Pattern of Lilong Housing 227. Floor Plans of Lilong One. Wan Zhu Jie Street, Nanshi District, Shanghai 288. Management and Administrative Levels of Lilong Housing 339. Lilong One, Detail Plans. Wan Thu Jie Street, Nanshi District, Shanghai 3910. View of Lilong Two Exterior Courtyard 4011. View of Lilong Two Exterior Courtyard 4012. View of Wan Thu Jie Street, Semi-public Main Lane. Nanshi District, Shanghai 4213. Semi-Private Side Lane. Off Wan Zhu Jie Street, Nanshi District, Shanghai 4314. Aerial View of Semi-Private Side Lanes. Off Wan Zhu Jie Street, Nanshi District, Shanghai 4415. View of Penglai 252 Rehabilitation Project. Phase 1-Completed 9116. View of Penglai 252 Rehabilitation Project. Phase 2-Nearing Completion 9117. View of Penglai 252 Rehabilitation Project. Phase 3-Under Construction 92VuACKNOWLEDGMENTSThe author would like to acknowledge the assistance from the Centre for Human Settlements and theCanadian International Development Agency (CIDA) for fmancial support of this study. The author would alsolike to acknowledge the continuous support and direction of Dr. Aprodicio Laquian, Director of the Centre forHuman Settlements and Professor Michael Leaf; and the cooperation of Professor Zheng Shiling of the College ofArchitecture and Urban Planning, Tongji University, Shanghai, Peoples Republic of China and Professor DinoRapanos of the School of Architecture, University of British Columbia. Appreciation must also be expressed tocolleagues in both China and Canada who have contributed to this study. Special thanks must also be given to thetranslation expertise of Miss Mo Minru.1CHAPTER 1INTRODUCTIONThere is a Chinese saying that “A house of gold or silver is not as good as a house of straw”.1 Thissimple statement expressed by a lilong dweller in one of the old neighbourhoods of Shanghai begins to explain theinherent value placed on traditional housing by occupants.2 To many lilong dwellers, this traditional inner citytwo to three storey row housing or lane housing possesses inherent qualities of convenience, social strength andstability, architectural practicality, family tradition, local attachment, and community cohesion.Currently, these well established communities of the old inner city are experiencing rapid and increasingpressures of demolition, redevelopment and dweller relocation. Such dramatic changes in the inner city aredirectly related to the remarkable change in attitudes and policies under the general term of “reform policies,” andmore particularly “housing reforms,” which were introduced more than a decade ago and mark the transitiontowards a socialist market economy. The major factors behind the spread and degree of this urban redevelopmentare the housing reform policies which promote the commodification of market housing, economic reforms whichencourage investment for widespread urban renewal, and the physical conditions of lilong housing which haveendured decades of neglect. It is the position of this paper that under past housing delivery systems lilong dwellerswere affected in their access to improved housing; however under the shift towards a market oriented economy,lilong dwellers may experience even greater disparities in housing access, including spatial and social segregation.Interview 1, Wan Zhu Jie Street, Shanghai. 30 April, 1993. For this study 48 interviews were conducted (seeappendix 1). To protect the confidentiality of information, names of interviewees are not provided. Interviews arecategorized according to whether they are dwellers, professionals, community workers, or administrators.2 Lilong housing or lane housing represents the dominant residential form which was built in Shanghai duringthe latter part of the 19th. and early 20th. century, before the establishment of the Peoples’ Republic of China. Itscharacteristic form merges traditional European row housing and Chinese courtyard style housing. Literallytranslated, Li means neighbourhood and long means lane, hence the name lilong.21.1 Purpose of ResearchThe purpose of this research is to examine the factors which have affected and are affecting lilongdwellers in their access and quality of housing under; (a) the past delivery system based on public housing as awelfare privilege, and (b) under the current climate of housing reform, and “commercialization” of housing andurban redevelopment of the old neighbourhoods under the economic perspective of housing as a commodity.As the intention of this study is to determine those factors which both alleviate and contribute to housingproblems for lilong dwellers, it is of primary concern to understand the relationship between the dwellers, theirhousing, and those inherent factors specific to lilong housing and the community which are valued by its dwellers.It is further necessary to understand those local conditions which are characteristic of Shanghai, and may inhibit orexacerbate housing problems for lilong dwellers.To carry out this study four months of field research was conducted in Shanghai through the fmancial aidof CIDA (The Canadian International Development Agency) and the Centre for Human Settlements, Vancouver.During the investigation several lilong neighbourhoods were examined in light of the current development trendsin Shanghai. Research methods included participant observations and in-depth interviews with lilong dwellers,housing professionals, planners, architects, academics, administrators, policy makers, and community workers (seeappendix 1).1.2 Historical BackgroundUnder the planned socialist economy, housing was considered as part of the social welfare system whichwas provided by the government to all citizens, irrespective of their position or financial capabilities. The majorityof urban housing was state owned, and therefore fell under government control and care. In the case of lilongownership, the majority was state owned and operated through the Shanghai Housing Bureau. The government3therefore assumed full responsibility for maintenance, finance, allocation, management, repair, and rehabilitation.Under the past government controlled welfare system, lilong housing in Shanghai underwent little redevelopmentand reconstruction. Intervention consisted predominantly of maintenance, rehabilitation, and for the most part,demolition of dangerous housing.This approach to housing delivery has resulted in particular policies and regulations towards lilonghousing which have in turn affected both the thong dwellers and their living environment. Positive factors such asaffordability, community based organizations, and housing exchange programs exist; whereas, negative factorssuch as overcrowding, lack of maintenance, restricted infrastructure, allocation and building classification systems,have constantly challenged dwellers. Furthermore, low rent structures which require only minimal financialcontribution by the dweller have not provided adequate funds for yearly maintenance.Such negative factors have put inordinate pressures on this already run down housing. As a result, anever increasing number of dwellings are not of acceptable living standards and either require extensive repairs ormust be demolished. In the case of hilong housing located in the older neighbourhoods of Shanghai, according tosample surveys, 56.2% of dwellers had no private kitchen, 72.5% utilized coal burning briquette stoves, which emita harmful sulfur laden smoke, and over 99% of all dwellers did not have sanitary conveniences or toilets and usedthe traditional night stools.3 Furthennore 1982 data states that 22.7% of Shanghai urban households do not havein-house tap water.4 Domestic violence, divorce, family and neighbourhood disputes are also among the problemsthat are on the increase in lilong communities, as 70% of disputes among neighbours and 65% of family disputesare caused by poor housing or are related to housing issues.5 Such statistics place the housing problems in the olddistricts of Shanghai among the worst in urban China.3. Jianmin Zhang, “An Anatomy of the Spatial Environment of Shikumen Housings in Shanghai,” in ThResearch on Human Settlements in Shanghai, ed. Zheng Shiling (Shanghai: Tongji University Press, 1993),p.104.4. Tingwei Zhang, “Housing Policy Under A Planned Economy: Towards an Alternative Housing Policy inChina” (Ph.D. Dissertation, University of Chicago, 1992), p. 28.. Tingwei Zhang, “Housing Policy Under A Planned Economy: Towards An Alternative Housing Policy inChina” Ph.D. Dissertation, University of Chicago, 1992), p. 39.4Furthennore, policy initiatives which attempt to double the living space from 4 square meters to 8 squaremeters/person by the year 2000 have had limited success. Many lilong dwellers still live well below statestandards. Currently, 450,000 households occupy space below 4 square meters, and are classified as inconvenientand crowded housing.6 Multi-generations often share one room creating densities in some old districts ofapproximately 30,000 persons! sq. km. In the city centre, 25 neighborhoods have reached densities of over200,000 persons/square km. and 5129 persons/hectare.7Nearly all lilong residents are unsatisfied with their current housing conditions and realize the need forextensive upgrading and housing reforms. However, only a small number of dwellers in the old neighbourhoodsexpress a desire to be relocated to new housing in the periphery of Shanghai. A 1987 survey in Shanghai foundthat 68.3% of city residents’ rejected moving to new housing in the suburbs and would rather tolerate substandardliving conditions of 4 square meters in the downtown area.8 Notwithstanding these poor living conditions andexisting restrictive maintenance policies, many lilong dwellers have contributed time and finance to consolidatingand upgrading their units.In light of the housing problems in Shanghai, and the resulting untenable fmancial commitment requiredby the government at both the state and municipal level to bring housing to the official standards outlined by thegovernment9, Shanghai has rapidly responded to the housing reform policies which were first introduced in China6 Xijin Zhu, “Opportunity of Renewal of Old City-The Authorized Land Lease in Shanghai and Its Coincidencewith the Target of Renewal of the Old Residential District,” in The Research on Human Settlements in Shanghai,ed., Zheng Shiling (Shanghai: Tongji University Press, 1993), p. 225..7. Xijin Zhu, “Opportunity of Renewal of Old City-The Authorized Land Lease in Shanghai and Its Coincidencewith the Target of Renewal of the Old Residential District,” in The Research on Human Settlements in Shanghai,ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p.224-5.8 Tingwei Zhang, “Housing Policy Under A Planned Economy: Towards an Alternative Housing Policy inChina”. (Ph.D. Dissertation, University of Chicago, 1992), p. 83.9.“According to estimations by the year 2000 the population of the city of Shanghai will reach 7.74 millions.The average living floor area per capita is intended to be 8.0 square meters, and self-contained flats will make up70-75% of total dwelling units. Forty million square meters of apartment houses are to be built in the district,which means 4 million square meters each year. Tn 10 years, the quantity of old houses to be demolished in thecity district will be 5 million square meters (500,000 square meters each year). One million square meters of oldhouses will need renovated to be apartments (83,000 square meters each year). Twenty billion yuan will be neededfor the urban residential construction (including newly-built and re-construction), which means 2 billion yuan each5in 1979. At the most basic level, these policies aim to transfer housing responsibility from the public to the privatesector in order to convert the heavily subsidized housing system to that of a self financing business. Individuals arenow required to increase their financial contribution proportionate to the conunodity value of the dwelling throughthe increase of rents, privatization of public housing, and commodification of market housing through homeownership, in order to more equitably reflect the state’s investment in housing construction and maintenance.Housing which once had been considered a welfare privilege, is currently viewed as a commodity which is able togenerate financial profit and revenues. As a reflection of this new direction Shanghai has currently over 1,600 realestate companies,10 which market new housing to enterprises, foreign buyers, and local wealthy businessmen.In regard to old lilong housing, the effects of housing reforms are often overlooked. In fact when askedabout the impacts of housing reforms on lilong dwellers, Shanghai housing officials often remark “housing refonnsdo not concern lilong dwellers: as the government is not considering the privatization of its lilong housing stockand the majority of lilong occupants do not have the financial capabilities to purchase market housing”. But it isthe opinion of this researcher that the shift to a market oriented economy from a centralized welfare system ishaving major effects on lilong dwellers and their neighbourhoods in both direct and indirect ways. Directly,dwellers are affected through rehabilitation and renewal projects for old neighbourhoods, and the subsequentrelocation of dwellers to the periphery of Shanghai. Indirectly dwellers are affected by policy implications ofaffordability, allocation, land development and land lease, maintenance and upgrading, work unit affiliation etc.Such pressures are intensffied due to existing local conditions in Shanghai. Under the “open door” policyand economic reforms, Shanghai is experiencing an accelerated economic boom in investment and development.The urban core of Shanghai, where the majority of lilong neighbourhoods are located, is faced with increasedredevelopment pressures with the construction of hotels, offices and commercial buildings. According to 1992year, i.e. the average expenditure of each Shanghai citizen will be nearly 2,500 yuan. (Wenjun Zhi, “Housing andits Development in Shanghai,” in The Research on Human Settlements in Shanghai. ed. Zheng Shiling (Shanghai:Tongji University Press, 1993), p.84.o. Liao Ye, “Shanghai Real Estate Industry Flourishes,” Beijing Review 36 (No. 35, Aug. 30-Sept. 5, 1993):17.6statistics, foreign investors have leased and redeveloped 78 pieces of land in the old districts of Shanghai whichtotaled 63.3 hectares.11 Of the 78 pieces of land leased; 0.76 million square meters of housing was demolished,and 28,000 households were moved.12 Other data indicates that the Shanghai government in 1992 endeavored topromote old neighbourhoods for reconstruction through concrete policies in land lending and developmentprojects. From January to September, 135 pieces of land were approved for lease to foreign investors, the majorityof which were located in the in-danger housing areas and older lilong neighbourhoods.13 This rapid development,coupled with a lack of land use controls has the potential to destroy much of the existing lilong housing in theinner city.It is evident that lilong dwellers and their housing continue to be affected by national housing policies.First, under the system of centralized welfare housing residents experienced challenges based on physicallimitations such as overcrowding, lack of maintenance, a shortage of services, and procedural limitations due toallocation policies. Such pressures were of a substantive nature and did not result in the dramatic alteration of thetraditional urban fabric of lilong neighbourhoods. However under current reform policies, new challenges areemerging for both lilong dwellers and their neighbourhoods. Trends may already be occurring which indicate theeffects of the market housing system on lilong residents.11• Xijin Zhu, “The Authorized Land Lease in Shanghai and Its Coincidence With the Target of Renewal of theOld Residential District,” in The Research on Human Settlements in Shanghai. ed. Zheng Shiling (Shanghai:Tongji University Press, 1993), p. 227.12• Shiling Zheng, “The housing Problems in Shanghai and Their Prospects,” in The Research on HumanSettlements in Shanghai. ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p. 15.13• Gu Yun Chang, “The Redevelopment of Old Neighbourhoods and the Management of Real Estate,”Unpublished Paper. Shanghai, 1992. (In Chinese).71.3 HypothesisThe main hypothesis of this thesis is that inherent social values exist within the physical planning andconununity framework of lilong housing and that under current housing reform policies lilong residents and theirinner city neighbourhoods will be challenged in new ways.Furthermore, even though past policy directives have inhibited the improvement of thong housing andhave affected dweller access to improved housing, current housing reform policies may increasingly contribute todisparities in housing access, spatial and social segregation and house upgrading. What is thus required aremodifications to the existing policy framework to address the specific needs and capabilities of hilong dwellers andprovide a climate which will encourage the preservation of the inner city housing stock.1.4 Thesis ObjectivesThe objectives of this study are:1. To gain a better understanding and add to the body of knowledge concerning hilong housing inold neighbourhoods of Shanghai.2. To identify the inherent social values experienced by thong dwellers in relation to their housingand their community.3. To understand the limitations incurred by lilong dwellers in relation to housing under past policydirectives and current housing reform policies.4. To suggest future policy directives which will more directly address the specific needs of thedwellers and lilong communities.81.5 ScopeThe term lilong refers to a generic classification of row housing which is characteristic of Shanghai. Aslilong housing was built over a span of 90 years, which began in the middle 1850’s and ended in the 1940’s, theyhave undergone substantial alterations in form, size, and slructure to suit the changing needs of the dwellers, thesociety and the economy.Lilong housing is currently classified into five groups: early Shilcumen,’4 Shikumen or old lilong, newlilong, garden lilong, and apartment lilong. These groupings are categorized by such factors as date ofconstruction, type of structure, dwelling size, decoration, services provided, construction material, orientation andclass of inhabitants. For the purpose of this thesis only those who reside in the older lilong or shikumen stylehousing will be examined, for it is these occupants who live in very difficult conditions and are often unable toprovide adequate financing to purchase new market housing. Furthermore these old lilong:1. comprise over 32.7% of the total lilong housing stock of 42.9% 15 , and equal 20,000,000 sq.meters of housing over 60 years of age. 162. are located in the urban core of Shanghai which is currently under the greatest pressure forredevelopment.3. possess densities which are among the highest in Shanghai.4. often lack basic services including sanitary conveniences and private kitchens.5. possess architectural significance and are an important asset to the uniqueness of Shanghai.14 The word shikuinen derived from Mandarin is literally translated as “stone gate,” an identifying feature whichis characteristic of, and marks the entrance to early lilong housing.15 Shanghai Tongji [Shanghai Statistical Bureau], Shanghai Tonuji Nianjian 1992 [Statistical Yearbook ofShanghai] (Shanghai: Shanghai Tongji Chubanshe [Shanghai Statistical Publishing Co.], 1992), p. 440.16• Wu Pao Zhang. “Multiple Approaches In The Reconstruction of the Old Neighbourhoods,” Shanghai RealEstate Association 1 (Vol. 78, Feb. 25, 1993) (In Chinese): 32.9The lilong classification can be further divided into two sub groupings. Class I represents those old lilongdiscussed above which possess limited facilities, low spatial allotment, and multi-generations sharing one unit.Class II represents old lilong which are also so severely damaged that they require major repairs or are considereddangerous. This class of lilong is often referred to as “in-danger-housing” and represents 530,000 square meters ofthe total 80,590,000 square meters of residential space in the 10 districts of Shanghai.’7 For the purpose of thisinvestigation thong housing, which is of a physical condition capable of withstanding some degree of renovationand rehabilitation, will primarily be considered.As current housing reform policies comprise a substantial and varied group of initiatives which aredirected at all dwellers and housing types, the focus of this research will primarily concern those specific factorswhich are currently affecting dwellers of old lilong housing owned by the State and managed by the StateMunicipal Housing Authority. This type of housing is often referred to as “state owned, non self contained olddwellings.”Certain limitations exist within the research proposal which affect both the project design and theaccuracy of the data. As the length of the field research was relatively short, (approximately four months), theresearcher examined current conditions in situ as opposed to long term causal effects in housing. The secondlimitation was that of language. As interviews were conducted through an interpreter proficient in the Mandarinlanguage, the clarity of data was affected. Interviews were therefore recorded on tape and retranslated foradditional clarity. Third, a very limited amount of material existed in English on thong housing issues specific tothe old neighbourhoods in Shanghai. Therefore, substantial translations were required for this study. Fourth, dueto official govermnent requirements some restrictions occurred in the choice of site and interviewees.17 Wu Pao Zhang, ed., “Multiple Approaches in the Reconstruction of the Old Neighbourhoods.” ShanghaiReal Estate Association 1 (Vol. 78, Feb. 25, 1993) (In Chinese): 32.101.6 Methodology1.6.1 Conceptual FrameworkAs this research focuses on the current situations and pressures affecting lilong dwellers and theirneighbourhoods, a case study approach comprised the main research strategy. Furthermore because this studyconcentrated on the participants’ perspectives and concerns for their housing, both direct observation andsystematic interviewing were conducted during the field research.To fully understand and describe the pressures which face lilong dwellers within the context of past policydirections and current reform policies, it is necessary to take a more broad based and holistic approach to analyzingthese questions. Within the conceptual framework of the study, housing is to be operationalized as the societalprocess by which people utilize shelter. Lilong housing is analyzed not only in its ekistics sense as a shell orstructure, but also in a social science definition in which housing is defmed as a process based on a theory of action(Turner, 1972: 151). This approach to housing analysis concentrates on the importance of the dwellers’experiences, capabilities and traditions in relation to the built environment, and the policies or invisible structures(Peathe, 1983: 230) both formal and infonnal which control and affect housing. This concept of the process ofhousing relates to Turner’s fundamental thesis that housing is not a noun but a verb18 which requires theresearcher to consider housing not as a product but as an activity. By this definition the official housing policywhich advocates the institutional production of so many standardized housing units to solve the housing shortagebecomes flawed; whereas the ability of dwellers to participate, shape, and maintain their housing and communityis crucial.Due to the many complex and convoluted aspects of Chinese housing policy, the characteristiccircumstances of Shanghai, and the historic factors of lilong housing, a holistic approach was required in this18 John F. C. Turner and Robert Fichter eds., The Freedom to Build, (New York: Coffier Macmillan, 1972),p.151.11thesis. In addition to these academic requirements, circumstances also were presented which offered anopportunity to study the lilong question in a varied manner. Due to the recent “open door” policy a distinctadvantage existed in data collection. As a foreign researcher in China, a more integrated approach was permittedduring the study where a wide range of ideas and experiences were gathered from many stake holders whichincluded dwellers, housing officials, developers, planners, architects, community workers and intellectuals.1.6.2 Data RequirementsThe specific data required for this investigation included both primary and secondary infonnation.Primary data was gathered in Shanghai during the field research component which focused on the dwellers’ needsand traditions in respect to the lilong environment as well as the limitations and benefits experienced under eachhousing policy. Both participant observations and in-depth interviews with selected informants provided the majorportion of data and included both qualitative and quantitative infonnation. The secondary research includedgathering of qualitative and quantitative data from current documentary material.1.6.3 Methods for Gathering DataThe first stage in data gathering included library research and the investigation of secondary materials onlilong housing, Chinese housing policies, and the current socio-economic changes which have occurred inShanghai. The second stage of data gathering occurred during the field research component. Both participantobservation and informal interviews, with two distinct sets of selected infonnants, was required.Site SelectionThe area selected for study is the Xiao Beimen neighbourhood, which is located in the Nanshi District inthe southeast centre of Shanghai. It is in this district that the “old city” was established and is characteristically12recognized by its circular roadway called Remin Lu, which now marks the place of the original city wallconstructed in 1554 (see fig. 1). In spite of its historic prestige the Nanshi District still remains one of the worstdistricts in Shanghai in regards to housing quality. For example, there are 8.43 million square meters ofresidential housing in the district of which 3.67 million square meters or 44% are of the old lilong or lane style.19The Xiao Beimen Neighbourhood (see fig. 2) is located in the Northwest part of Nanshi District, and asmall portion to the West of Remin Lu, is located on what was once the French Concession settlement. The districtis bounded by Huai Hai Street East to the North, Lu Xiang Yuan Street and Shong Xie Jie to the East, Xi ZhengNan Street to the West and Fu Xing Street to the South. Xiao Beiinen is literally translated as “Small North GateNeighbourhood” which alludes to its historical importance and location at the edge of the old city wall ofShanghai. The neighbourhood is 0.41 square kilometers in size and it is estimated that approximately 18,400families occupy the area.2° Within the area are 15 Residential Committees in addition to the Xiao BeimenNeighbourhood Street Office, three middle schools, six primary schools, four kindergartens, one library, onetheater/cinema, one district hospital, one neighbourhood hospital, one dental clinic, and two historical sites: TheDa Jing Guang Di Temple and SM Ming Gong Shou house.The specific street chosen for this study was Wan Zhu Jie (see fig. 3) because of its typical examples of olduntouched lilong housing and because of its intersection with the busy Remin Lu. This represents a commonrelationship between a high level conunercial, transportation and service area, and the more local, neighbourhoodactivities in the inner core of the old city. Wan Thu Jie is literally translated as the “street of the thousandbamboo’s” and was constructed in 1910. It is located between Remin and Lu Xiang Yuan Lu and its length is 236meters.19 Shiling Zheng, “The Housing Problems in Shanghai and their Prospects,” in The Research on HumanSettlements in Shanghai, ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p. 18.20 Interview with the Vice Director of Management, Nausbi District Xiao Beimen. 04 June 1993.Figure 1Map of Greater Shanghai and Pudong Area.•.L1 ;‘;LwSource: William S Ellis. “Shanghai: Where China’s Past and Future Meet,” National Geographic.Magazine 185, No. 3(March, 1994), p.11.13FER.-t0p__i. . ‘I14Figure 2Map of the Xiao Beimen Area, Nanshi District, Shanghai./JN j fl jJ 1:6000..Source: Based on Municipal Housing Management Bureau Publication. N.T.S.15Figure 3Site Plan of Wan Thu Jie Street.Key InformantsIn total 48 interviews were conducted by means of an “interview check list” which provided the basicguidelines for the topics discussed. Two distinct sets of informants were interviewed.The first group included key decision makers, local housing officials, and community leaders who affectchange on lilong dwellers and old lilon,g housing. During the field research nine interviews with planners andacademic specialists, eight interviews with leading housing officials, property administrators, and residentialconstruction unit heads, one interview with a day care coordinator, one interview with an architect, and threecommunity workers of local neighbourhood committees, were conducted.16The second group of informants included those individuals who live in liong housing. During theinvestigation 26 dweller interviews were conducted. Interviews occurred in the household with the aid of aninterpreter. Interviews were conducted at no specific hour, but rather occurred throughout the day and earlyevening in an attempt to “fit in with the personal schedules of the dwellers and to gather a range of experiencesfrom husbands, wives, young people and grandparents.In the attempt to gain a more detailed understanding of the dwellers’ circumstances, two lilong houseswere studied in depth. Both were located on Wan Zhu lie Street. Lilong one was occupied by seven families (seefig. 4) and lilong two housed 17 families (see fig. 5). Interviews were conducted with one representative of eachfamily; however, often more than one representative participated in the interviews. The unit of analysis was thehousehold, and the unit of response was a family representative which comprised approximately an even divisionbetween men and women, and wage earners and retired seniors.Figure 4Lilong One, Wan Zhu lie Street, Nanshi District.Figure 5Lilong Two, Wan Thu lie Street, Nanshi District.17Access to the neighbourhood and each individual lilong house was required by the Local ManagementOffice, Nanshi District Xiao Beimen Management Office, and the Da Jing and Huai Zhen NeighbourhoodConunittees. In the majority of cases the researcher was free to select informants. However nine interviews werepredetermined and were arranged by the Da Jing Neighbourhood Commission. These households had specialexperiences to share, and represented model families, single elderly residents, and families living in extremely poorconditions.In addition to informal interviews, simple or unstructured participant observations were conducted in thelilong neighbourhoods where operations, and daily activities were observed.1.6.4 Data AnalysisAs the major focus of this thesis centered on the process of housing and the factors which affected thedwellers of the lilong neighbourhood, primary data analysis extended to include a wide range of infonnantsexperiences. Stories of dwellers’ daily experiences were especially important as they began to explain thecomplicated administrative systems which occur in regards to housing. Understanding such experiences were animportant feature to identify the invisible structures and linkages which affect lilong residents. Based on theinterviews of lilong dwellers and community stake holders, salient themes, reoccurring ideas and pertinentstatements were classified into categories which indicated the concerns of the dwellers in the lilong environment.Such responses were measured by their frequency of occurrence.Secondary data in this study was used to document changes in government housing policies, newdevelopment strategies for lilong housing, and recent changes which have occurred in Shanghai that impact lilongdwellers.181.7 Significance of the StudyShanghai is currently experiencing rapid economic growth and urban development in the urban core,where the majority of lilong dwellers are located. Within the strategy for development is the plan to renew andmodernize the inner city. As a result dwellers are relocated to alternative housing in the peripheries. During the8th. Five Year Plan, (199 1-1995), the Nanshi District has relocated approximately 4,063 families, while Shanghaihas relocated approximately 40,127 families to the periphery. Information that documents the importance of theinner housing stock and the needs of these dwellers is required if an alternative strategy is to be suggested.Already large scale demolitions are occurring daily to make way for new office, commercial, and infrastructuredevelopments.Research indicates (Peattie, Turner et. al.) that the loss of inner city housing stock and the relocation ofthe urban dwellers to the periphery has implications for the dwellers, their communities and the city. Altering joband home linkages, breaking established community and familial ties, impacts to transportation, infrastructure,employment, and services are only a few of the documented effects which accompany inner city redevelopment anddweller relocation.In the short term relocation of inner city dwellers to the urban periphery may provide some immediatephysical benefits. However such short term gains may be overshadowed by the decline of the inner city as a vitalcomponent to the city and a marked reduction in the quality of living for those residents in the periphery.In the long term, through analyzing the current effects of housing policies on lilong dwellers and therelationship between their housing and social development, hopefully a more balanced approach may be suggestedin the future which borrows successful aspects of each policy direction.191.8 Thesis OrganizationThis thesis consists of seven chapters. Chapter one defmes the problem statement and discusses themethodological approach for problem resolution. Chapter two provides a descriptive analysis of the history,development, and form of lilong housing in so far as they affect the living circumstances of lilong dwellers.Chapter three provides a descriptive analysis of the lilong neighbourhood under investigation and the currenthousing conditions, as well as the inherent values, needs and problems experienced by the lilong dwellers of thisstreet. Chapter four investigates the effects of the housing delivery system under the program of centralized controland welfare housing on lilong dwellers. Chapter five discusses the current policies affecting lilong dwellers underthe housing reform policies and commodity housing. Chapter six examines the emerging options available tolilong dwellers under a system of commodity housing. Finally Chapter seven concludes the study and suggestsfuture policy directives to more directly address the needs of lilong dwellers and their housing.20CHAPTER 2CHARACTERISTICS OF LILONG HOUSINGThe current conditions in which lilong residents live are not solely the result of ideological changes whichbegan with the establishment of the Peoples’ Republic of China, or the national policy changes in housing andeconomic reforms initiated in the 1980’s. Rather, the present circumstances of the dwellers and the old lanes arealso due to the unique and complex history of Shanghai which began for the lilong dwellers in the late 19th.century with the city’s domination by foreign powers. Not only were the physical and architectural characteristicsof lilong housing and lane planning influenced by European design; social and economic patterns which continueto affect lilong dwellers today are also rooted in the colonial past.2.1 History Pre 1949From their early beginnings the development, design, and planning of lilong housing was fundamentallyinfluenced by the effects of European colonialism in Shanghai. As early as 1842 with the signing of the Treaty ofNanking, foreigners gained control in Shanghai along with four other ports to carry on trade and merchantactivities. This “opening up” of the city to foreign trade and the subsequent influx of foreign residents intoShanghai provided a unique set of circumstances for the future development of lilong housing. Coupled with thisrise in the European presence was the establishment of the restricted settlements in Shanghai, which included theFrench Concession in 1849, and the British and American Settlements (latter amalgamated into the InternationalSettlement in 1863). These areas were exclusively under the jurisdiction of foreign powers and thus settlementpatterns and housing styles took on a distinctly European quality to meet the demands of the residents.21Furthennore, the establishment of early land regulations beginning in 1854, based on European law, provided thefoundations for the future intensified land and building development of lilong housing in this area.The third factor which aided the intensity of development and rapid growth of lilong was the large influxof Chinese refugees into the foreign controlled settlement areas. As a result of the “Small Swords” and TaipingRebeffions, Shanghai came under attack in 1853 and 1860. The first wave of Chinese refugees moved into theforeign concession areas beginning in 1853. Data indicate that the population influx was substantial. Before theuprising in 1853 the population in the settlement areas approximated 300 foreign residents and their families, andapproximately 500 Chinese. During the first uprising the population increased to 20,000 persons.2’ During theTaiping Rebellion, 1860-1864, the Chinese population in the urban core of Shanghai rose to 300,000 persons.22This population influx resulted in a rapid and increased demand for housing. The lilong row houseprovided an appropriate model because of its ability for quick construction and its ease of replication. Its simplebox like form could easily be adapted to fit all site conditions. Many foreign realtors made substantial profits byconstructing and letting lilong housing to the Chinese population. This early demand for housing and the paralleldevelopment of a land market caused considerable price escalation. lnfonnation indicates that: “land purchasedoriginally between £46 to £74/acre was sold for £8,000 to £12,000/acre,”23 during this building boom. The resultof this intense development was a very dense residential pattern of housing, as well as the establishment of arecognizable prototypical housing form, which resulted from the direct adaptation of both European and Chinesehousing styles.The European characteristics of terrace housing or row housing of the mid 1800’s, which were noted fortheir repetitive self contained layouts, straight forward compact interior planning, and reduced garden size werewell suited for the dense urban living requirements of Shanghai. The simple form was also easily adapted to the21 F. L. Hawks Pott, A Short History of Shanghai (Hong Kong: Kelly and Walsh Limited, MCMXXVIII), p.37.22• F. L Hawks Pott, A Short History of Shanghai (Hong Kong: Kelly and Walsh Limited, MCMXXVIII), p.51.23• F. L. Hawks Pott, A Short History of Shanghai (Hong Kong: Kelly and Walsh Limited, MCMXXVIII), p.51.22traditional Chinese courtyard house style called Sanheyuan and Siheyuan. These residences resembled a type ofcompound where the majority of rooms faced an inner courtyard and family activities tended to focus inward,protected behind the high exterior walls. In particular, the Sanheyuan style was based on a three sided plan withan open courtyard; whereas the Siheyuan style had a four sided enclosed plan with an interior courtyard.The traditional Chinese and European housing types merged to create the Shikumen or old lilong housingform where the courtyard element was incorporated into the row house plan. Each individual housing unit wasarranged into a row or block called Li, while the connecting pathway or lane which provided access to eachhousing unit was called Long; hence the term lilong. The complexity of the blocks of houses and passagewaysdepended on the size and shape of the available lot. The width of each house also varied between 1,2 or 3 bayswhere each bay represented the Chinese measurement of 10 chi or approximately 3.3 meters. The neighbourhoodlayout varied from the simplest arrangement where one block of houses flanked a main lane, to a whole network ofhousing blocks arranged in a hierarchical spine and rib pattern (see fig. 6).Source: Based on Lilong Housing Publication (Shanghai: Tongji University Press, n.d.)Figure 6Spine and Rib Pattern of Lilong Housing23In the shikumen or old lilong style the entrance of each lane was marked by a post and lintel entrance gateusually carved from granite. Each house also had this typical shikumen entry marking the courtyard entrance butin a more modest size. At the entrance to each lane in addition to the stone markers were iron gates which couldbe closed at night to provide protection to the dweller.Shikumen housing can stylistically be divided into two categories, the early or old style and the new style.However for the purposes of this study a more generic analysis is required which describes the basic layout oflilong housing. The typical lilong was arranged on a longitudinal plan. A front courtyard separated the housefrom the lane and high courtyard walls provided a level of quietness, security, and privacy from the busy street.The size of the courtyard fluctuated between each block depending on the size of available land for development.The house frontage was then arranged around the courtyard. On the ground level tall doors with intricate woodcarving and paneled glazing, similar to the “French door” style open onto the courtyard. These doors wereoriginally constructed for easy removal, so that air circulation was provided in the hot and humid summer months.Furthermore the large proportion of glazing allowed light to penetrate the long interior spaces of the lilong. Due tothe row house typology full advantage had to be taken at the front and rear facades to allow for light and aircirculation. To provide additional light and air movement a central courtyard was provided, or in more modesthomes a central light well existed approximately at the mid point of the length of the lilong. The second storeyfollowed a similar plan with “French operable windows”.The floor plan was arranged as follows. On the ground floor was the main room or drawing room whichopened onto the courtyard. Adjacent to the main room was the living room which extended beyond and formedone side of the courtyard. Directly behind these rooms, was the staircase and light well. This circulation areahelped to divide the compact house into living and service functions as the kitchen was directly located behind thelight well and stairs. Bedrooms were located on the upper floor and opened onto the courtyard, while above thekitchen was an outdoor drying platform for laundry.24The majority of the lilong housing viewed in this study were of brick bearing, wall construction withtimber trusses and floor joists laid along the width of the structures, while concrete reinforced floors were builtunder the exterior laundry areas. Due to the high densities in the neighbouthoods additional fire precautions weretaken as party walls were extended beyond the tiled roof at specific intervals to inhibit the spread of fire. All ofthese factors contributed to the compact and practical solution to inner city housing.In Shanghai this housing form continued to remain the dominant housing typology despite numerousmodifications in design and ownership until the Revolution of 1949. For example in the 1920’s lilong housing wassubstantially altered in form as a result of increasing land costs and demands of the housing market. These morerecent constructed lilong retained much of their original layout, form and character even though additional floorswere added to gain more floor area due to rising land costs. Exterior gates and walls were also modified to formlow separations, and entries and detailed brick decorations were replaced by simple western ornaments.In addition to the physical alterations of lilong housing, ownership and occupancy patterns have alsochanged throughout the approximately 80 year span of construction. Initially, the ownership of lilong housing wascharacterized by a city dominated by foreign powers and planned by colonial rule. Occupancy patterns thusreflected the control by European and American nationals. Housing which was built in the concession areas ofShanghai had restricted land ownership, lease rights and rental regulations. The composition of the concessionareas in the early 20th. century reflected a diverse mix of colonialists, refugees such as the white Russians andJews escaping war and persecution, industrialists, and investors capitalizing on the Shanghai economy. Howeverthis early policy which maintained segregation, was constantly challenged by: (1) foreign developers, investorsand businessmen who profited from building housing and renting to Chinese nationals; and by, (2) historicevents and military actions which contributed to the major influx of Chinese refugees into Shanghai. As a result,the presence of Chinese dwellers in the settlement areas became established by usage rather than official decree.However social segregation still remained.25The residents who occupied many lilong neighbourhoods were divided economically and socially as bothwealthy Chinese families of a merchant and professional classes, as well as families who were housed in tenementsbuilt by foreign developers, lived in the settlement areas. These shifts in occupancy occurred in a gradual fashionuntil finally in the late 1940’s it was estimated that 80% of all Shanghais’ population lived in lilong housing.This shift in occupancy and ownership was characterized in four separate interviews by residents of WanZhu Jie Street, now in their late 60’s and 70’s, who had lived through the transition from colonialism to socialism.Each dweller remembered their parents purchasing the lilong from the original foreign owners. In one case, thelilong was originally built in 1914 for a Gennan banker and his family. The house was then sold to a localShanghainese factory owner. The house is still occupied by the son and several of the original factory workers.Another historic account revealed that the lilong was originally owned by an American investor who sold the housein the 1940’s to a Shanghainese businessman and factory owner. In this interview the dweller explained that: “inthe 1970’s two old women from America came to visit the house...they said they grew up here as children.”24What emerges from these historic accounts is that by 1949, several lilong along Wan Zhu Jei street were ownedand occupied by wealthy Chinese families.2.2 History Post 1949The changes which occurred to lilong residents and their housing after the establishment of the Peoples’Republic of China in 1949 were a result of policy driven initiatives, combined with localized conditions.Socialization of housing, the redistribution of housing assets, and control of dweller movement by the nationalgovernment contributed to the social and economic patterns which lilong dwellers now experience. In large citiessuch as Shanghai, privately owned houses over 150 square meters were immediately socialized25 and redistributed24• Interview 13, Wan Zhu Jie Street, Shanghai. 12 May, 1993.25 Tingwei Zhang, “Housing Policy Under a Planned Economy: Towards an Alternative Housing Policy”(Ph.D. Dissertation, University of Chicago, 1992), p. 56.26to the poor at no cost which resulted in a substantial reorienting of society within the lilong neighbourhoods.However it is important to note that not all lilong housing was reassigned to new residents. Many dwellers wereallowed to remain in the family home depending on their status as ordinary people and their commitment to theparty. For example of the residents interviewed in this study, seven Out of the 20 households had lived in the lilongtheir whole life, and still considered it their family home (see appendix 3). Even though they were permitted toremain in their original dwelling, the house was now subdivided into multiple living areas and provided shelter toadditional families. One dweller commented:My mother-in-law lived here for 60 years and she owned the whole house...my husband and Ihave stayed and now we have two rooms. This is our family home for the future and we wouldlike to stay here and renovate our rooms.26During the period of recovery, 1949-57, the public sector took responsibility for housing the total urbanpopulation. With each national policy campaign, new waves of relocations took place within the lilong areas. As aresult, thousands of households were relocated into the lilong neighbourhoods. For example among the residentsinterviewed during this study, 35% had lived in the lilong for their whole life, while 10% were relocated during theRecovery Period (1949-57), 0% were relocated during the Great Leap Forward (1958-65), 20% were relocated inthe Cultural Revolution (1966-77), and 35% were relocated since the Reform Period. Therefore significantpopulation movement occurred in the lilong areas while the economic and social level of the dwellers remainedunaltered.Physically, as a result of these politically motivated policies a complete change occurred at both the urbanand local household level. At the urban level the impact of socialist planning principles was significant in therestructuring of the lilong neighbourhoods. Socialist theories founded on egalitarianism, government control overall socio-econoinic activities, the development of production through communes, and priority of production overlivelihood, characterized a totally different urban pattern from the previous ideology based on market competitionand colonial domination. The pattern which emerged was based on principles such as: (1) urban uniformitywhere no distinction or segregation should exist in the city, in other words social composition should be uniform26 Interview 31, Wan Zhu Jie Street, Shanghai. 06 June, 1993.27throughout the city; (2) equal access (where all residents should be able to access public facilities); and (3) selfsufficiency and standardization (where all districts and neighbourhoods should reflect the notion of the urbancommune, and be self reliant).27Spatially, these principles were translated into an integrated pattern where commerce, housing, industry,and services all were uniformity dispersed throughout the city. For example, in Shanghai a mixed use plan hasresulted where shops, restaurants, light industry, repair stands, health clinics, offices, and residences all appearevenly interspersed throughout the city. In respect to lilong neighbourhoods and lanes, the planning initiativeshave left a legacy of (1) self contained neighbourhoods where multiple levels of services are available to thedweller; (2) seemingly haphazard land use pattern where uses are detennined by work units and governmentagencies; and (3) neglect of residential facilities in lieu of production related development.At the household level the spatial arrangement of living was substantially altered to comply with socialistpolicy initiatives of egalitarianism in residential living. Under this policy all workers were to have equal access tostandardized housing. In quantitative terms the Living Area Per Capita (LA.P.C.) in Shanghai changed from 3.9sq. meters in 1949, to 3.1 sq. meters in 1957, to 4.3 sq. meters in 1977, and to 6.3 sq. meters in 1988.28 Howeverit must be noted that these data included all housing types. Houses which were originally designed for andoccupied by one family were converted to accommodate as many families as the rooms would support. In somecircumstances dwellers occupied hallways, and lived under stairwells. Lilong dwellers interviewed who livedthrough these experiences stated that:originally our whole family lived in the house but during the Cultural Revolution many otherfamilies moved into our unit. We had to share the kitchen and wait hours to use the toilet...therewas no privacy, in some rooms only a curtain separated each family.2927 Development of urban planning in socialist China from Yichun Xie and Frank J. Costa, “Urban Planning inSocialist China Theory and Practice,” Cities (May, 1993), p.105.. Shanghai Tongjiju [Shanghai Statistical Bureau], Shanghai Tongji Nianjian 1992 [Statistical Yearbook ofShanghai 1992], (Shanghai: Shanghai Tongji Chubanshe [Statistical Publishing Co.], l992),p. 436.29• Interview 11, Mao Ming Bei Street, Shanghai. 05 May, 1993.28Figure 7Floor Plans of Lilong One (Ground Floor, Second Floor, Third Floor).Wan Thu Jie Street, Nanshi District, Shanghai.nLI wa74IIII__0____OPEN TO___Source: Adapted from drawings by Cheng, McClure, and Mede.The result of these changes in density was that the lilong interior spaces were significantly altered toaccommodate the increase of families (fig. 7 illustrates the living environment of lilong one on Wan Zhu Jei).Cloth curtains, framed walls, furniture and paper dividers separated the larger spaces into individual family units.Bedrooms were converted into multiple uses and now functioned as sitting, dining, sleeping and personal spacesfor the total family. Kitchens, which were designed for one family were converted into communal cookingfacilities for all residents, while courtyards were utilized when additional cooking areas were required. Eachfamily was assigned its own cooking space within the conununal area. These multiple cooking stations combinedwith the use of coal and poor ventilation have created a permanent condition of inferior air and a thick layer ofgrease and coal dust on the interior walls. Individual family sinks and cold water connections were generallylocated in courtyard spaces or adjacent to the lilong in the lane area.I I—jIflWO 6,j!F ‘s UNrrII I8CQOKN I’ I(OtHEN14 11r...-829The complications which arose due to these subdivisions of space included increased noise levels, lack ofsunlight and fresh air, lack of privacy and spatial competition over communal spaces. To combat the lack ofsunlight and air movement many interior walls were constructed below the ceiling level. This solution allowed aircirculation but unfortunately also contributed to problems of noise and lack of privacy. Perhaps the most obviouseffects of this spatial subdivision was the resulting complex circulation space. To accommodate both privacy andindividual apartment access circulation pathways have become circuitous and often maze-like.Notwithstanding these conditions it might be observed that the lilong dwellers have succeeded to leadnormal lives under abnormal conditions. In spite of the poor physical conditions of the housing and the manychanges and pressures which have altered usage and organization, there existed many inherent physical and socialcharacteristics of the old districts which have remained and continue to be valued by the lilong dwellers.30CHAPTER 3A NEIGHBOURHOOD STUDY OF LILONGS: WAN ZHU JIE STREETSince the establishment of the Peoples’ Republic of China the old neighbourhoods of Shanghai haveremained virtually untouched with the exception of localized maintenance, minor building repairs, and thereplacement of housing which was considered to be in-danger. Despite the poor living conditions andovercrowding which have resulted, lilong neighbourhoods have retained a high level of social stability, communitycohesion and economic viability for the dweller.Documentation indicates (Li, 1991; Bao, 1993; Yu, 1993; Zhang, 1993), that when given an option forbetter housing in the periphery, dwellers continue to choose to remain in their lilong communities andneighbourhoods because of these inherent qualities. Benefits from location, affordability, family ties, proximity towork, formal and informal service activities, community development, mutual cooperation activities, and linkagesto commercial and service areas are some of the inherent features which have developed in the old neighbourhoodsand are crucial to the maintenance of a stable community environment. However, with the introduction of housingrefonn policies this pattern may be significantly altered due to gentrification and urban renewal which are alreadytaking place.As the primary focus of this investigation is to better understand the factors which affect lilong dwellersand their communities it is important to identify the inherent characteristics, qualities and positive aspects whichare crucial to the continuation of these areas. The purpose of this chapter is two fold; to describe the currentsocial conditions, relationships, and linkages which have affected the study neighborhood of Wan Zhu Jie Street;and two, to identify the inherent qualities which these dwellers value in their old neighbourhoods.313.1 Inherent Values at a Household Level: Wan Zhu Jie StreetFrom the interviews conducted with the dwellers of Wan Thu lie street it became apparent that: tenureand ownership; finance and affordability; housing design and implications on lifestyle; and internal householdpolitics and dynamics were amongst the most important factors within the household which affected the dwellers.3.1.1 Tenure and OwnershipHousing tenure or the right of house title in China is rather complex due to the fact that ownership isdivided into three concepts: land rights or land tenure (ownership of the land), building tenure (ownership of thebuilding), and land use rights or living rights which entitles the holder to ownership and title of occupancy for thespace. For the most part as defmed by the Chinese socialist political policy all land rights are owned by the statewhile building rights and living rights may be held by the danwei,30 state, or now with the introduction of thereform policies, the individual. The majority of post 1949 housing is controlled and allocated by the work unitwhere the responsibility for housing is that of a workers’ danwei.The ownership pattern for liong housing is somewhat different as it does not follow the dominant policy.Housing rights and tenure for lilong dwellers is rather influenced by: (1) formal government controls andownership policies; (2) informal housing rights based on historic circumstances; and (3) work unit affiliation. Inregards to official government jurisdiction the majority of lilong housing is owned by the state and managed bydistrict housing bureaus. The uniqueness of this Shanghai situation is reflected by the extent to which the3O The danwei or work unit provides the administrative and organizational framework for labor, production, andthe distribution of resources in China. In exchange for labor the ‘unit’ provides subsidies, services, and socialresources to meet a workers’ basic needs. The extent of services provided, depends on the wealth and size of theunit. Large and wealthy units may. provide multiple services such as health care, education, culture, and foodallocation through subsidies or direct service provision. However, all danwei have the basic responsibility toprovide housing for their workers. As a result, the work unit has become a major investor, supplier, owner andmanager of housing in China. It should be noted that at present, because of rapid economic and social changes,many Chinese individuals are cutting their ties with the danwei.32government and not the enterprises manages lilong housing. In Shanghai 44% of all housing is owned andmanaged by the government housing bureaus while the National average is only 9%31 For lilong dwellers landand building rights are controlled by the govermuent while management and administration issues are controlledby each districts’ public housing bureau. Under this system each of the neighbourhoods within a given district hasa “Neighbouthood Housing Management Section Office.” These offices have a dual function of economicmanagement and administrative supervision of the thong housing. This office provides the link between thedweller and government authority. Each management and administration section office is supervised by itsappropriate district office. For example in the study area, the local section Housing Management Office for Stateowned thong was the Nanshi District Xiao Beimen Buildings Management Office (see fig. 8).Under this system the majority of lilong dwellers rent their unit, and their fonnal living rights extendonly as far as national housing policies which guarantee housing for every worker. At the household level theeffects of tenure and ownership rights are noted by their lack of accessibility to dwellers from an institutional level.Under the centralized socialist system lilong dwellers are unable to access land or building rights for their housing.Dwellers are permitted living rights which guarantee basic shelter provisions but not security of tenure. In otherwords a worker may be relocated or reassigned to other housing if the purpose satisfies official directives. Howeveramong this rather exclusionary set of housing rights is a very special program called “exchange rights” whichdirectly benefit lilong dwellers. Exchange rights permit dwellers from related or independent work units toexchange their homes to reduce commuting time between home and work. Such rights are accessible to lilongdwellers and provide a flexibility within the housing system that responds to inner city dwellers who haverestricted options for changing their housing location. Permission must be received from both danwei and thelocal District Housing Management Office for these exchanges.31• Tingwei Zhang, “Housing Policy under A Planned Economy: Towards an Alternative Housing Policy”(Ph.D. Dissertation, University of illinois at Chicago, 1992), p. 26.33Figure 8Management and Administrative Levels of Lilong HousingMunicipal Govermnent of Shanghai(Establishes City Policy)____________I____________City Management Bureaus(Executes City Policy)____ ___ ____ ____District Housing Management BureausNANSHI DISTRICTHOUSING BUREAUNeighbourhood Housing Neighbourhood HousingBuildings Management Buildings AdministrativeSection Offices Section OfficesNANSHI DISTRICTXIAO BEIMEN BUILDINGSMANAGEMENT OFFICESource: Adapted from Interview 41. Department of Municipal Construction, Shanghai. 23 June, 1993.To a very limited degree outright building ownership rights do exist where dwellers have retained theiroccupancy in the lilong since 1949 and have re-negotiated their living rights. Recently housing reformopportunities through privatization programs have allowed some individuals to buy back their homes. Howevereven with the adoption of housing reforms, private lilong ownership still remains very rare. Of the interviewsconducted in this study only one of the lilong examined was privately owned. The family had purchased the housebefore 1949 and had re-negotiated in 1986 to purchase the house back from the State. Included in the ownersnegotiation for the lilong was the requirement to provide financial compensation to the seven other families which34had been relocated to the house during the Cultural Revolution. Such compensation increased the total cost of thelilong, but aided the displaced families in relocation.In addition to these official living rights is a set of infonnal rights based on a famffies history in thelilong, and length of occupancy. Comments from informants on Wan Thu Jie street seem to indicate that theseinfonnal de facto rights are a significant component in gaining security of tenure and improved housing within thelilong. For example, among the households interviewed those who had occupied the house since 1949, had parentsor relatives who lived there previously, or were related through historic employment relationships expressed anincreased sense of security of tenure due to their de facto rights. Residents often claimed that their rights to live ina specific lilong or room within the house was due to the fact that their parents had occupied the space before them.This fact entitled them to remain.In addition to these implications of tenure such historic analysis also revealed the very complexinterpersonal networks which developed over time in the thong. For example both of the houses examined on WanThu Jie street revealed this informal path of ownership and complex networks of living rights. House one, forexample, was purchased from an American industrialist by a local Chinese factory owner before 1949. Theowner’s son now lives in one part of the thong with his wife and family. Among the six other families who live inthe house, two families are employees of the original owners factory. By tracing the occupant’s history a complexnetwork of relationships emerged between the original house owner, his employees, and the work unit. The historyof ownership in house number two also provided a key to better understanding of living rights and occupancytraditions. This house was originally bought from a foreigner in 1933 by a local Shanghainese woman. After 1949the house was nationalized by the state and during each change in policy an influx of new families moved into thehouse. The original owner was permitted to remain in the house, with reduced spatial allotments. Currently, bothher grown children live in the house with their husbands, wives and children, along with 15 other families. Fromthese interviews it would seen to indicate that the families’ history and length of stay in the thong are significantfactors in establishing living rights and some degree of tenure.35The relationship of the residents with the work unit also provided another level of complexity in the lilongliving pattern. Many lilong houses have been distributed to the work units since 1949 for their allocation toemployees. Of the two lilong examined on Wan Zhu Jei Street most residents worked for different danwei. Forexample in house one, five out of seven families worked for different enterprises: in family one the husbandworked in the #1 Sewing Machine Factory; in family two the husband worked at an agricultural product center,while the wife worked on a Shanghai bus; in family three the husband worked in a flour plant, while the wifeworked at a local hotel; in family four the husband worked at a Ruler Factory and his wife worked at a vegetablestand; in family five both parents worked at a local factory; and the sixth and seventh families both worked at thesame factory.What therefore seems to have emerged within lilong housing is a system that includes multiple layers offormal and informal tenure rights based on pre and post 1949 circumstances. At the National level social welfaredirectives guarantee shelter as a right to all dwellers and official jurisdictions control all land, and building rights.While at the administrative level, lilong housing is managed under local and district Building Managementjurisdictions. At an informal level, historic precedent and familial ties have some bearing on tenure; however thisis not officially recognized. Other than those few families who have purchased their building rights from thegovernment, most dwellers do not have control of their housing rights.3.1.2 Finance and AffordabilityOne of the direct advantages of the socialist system of housing delivery is the government’s ability tocontrol the cost of housing. In the case of housing in China and more particularly lilong housing in Shanghai, rentis very inexpensive and affordable. Such affordability is based on a policy of low wages, low rent, and subsidieswhereby low rent is considered part of the subsidy package. For example among the households interviewed, theaverage combined income of husbands and wives was 824 yuan/month/household (see appendix 2). Among thisgroup a large proportion of households earned between 900 to 950 yuan/month. Of all working residents, housing36rents were not considered a major cost to the household and affordability was considered an inherent quality oflilong living. Even where rent increases from current reform policies were considered the cost to occupy the lilongwas marginal. Under current rent structures the average cost of rent was .3 yuan/square meter/month whichaveraged approximately 5.8 yuan/month/household.32 In the case where a household could not afford rent,government subsidies and pensions assured housing needs. This usually occurred among old single retired people,the sick or disabled.It is important to note that a growing number of retired and old people occupy the lilong areas. Thisnumber is increasing as young families are being relocated to the urban periphery. As the wages of retired and oldpeople are considerably less than that of young working families the percentage of income spent on rent risesconsiderably. For example one retired resident received a pension of approximately 90 yuan/month.33 Due to thiseconomic hardship this dweller’s rent was waived. With living expenses rapidly increasing seniors mayexperience increased disparity in their ability to afford housing and their living standards.Rent is however only one factor in the calculation of living expenses for lilong dwellers. A more accurateprediction must also include other major costs of fuel, water and electricity consumption. Among thoseinterviewed, the cost of electricity averaged 30.8 yuan/month which is almost six times the amount of householdrent. Electrical costs ranged from 10 yuan to 90 yuan based on consumption. For example some families ownedvery few electric appliances such as a radio and a single electric light, while other households owned radios,television, V.C.R., electric rice cooker, refrigerator, C.D., tape deck and multiple lighting fixtures. Thefluctuations in electrical consumption were also due to factors other than the number of appliances. Duration ofusage, and the condition of household wiring was also important. As one dweller remarked: “the whole housewires are faulty, there are leaks somewhere, if [it] wasnt faulty our electricity would be only 7-8 yuan per month32• This figure was calculated by multiplying the average area occupied by the families interviewed (19.3 sq.m./family) by the average cost per meter per month for housing (.3 yuan/square meter/month).33. Interview 7, Quing Lian Street, Shanghai. 04 May 1993.37now it’s 20 yuan.”3t Another two families remarked that they: “eat at the factory because there is no space” orthey “eat at a relative’s house”35,which may explain the low electrical costs for some households.Fuel consumption was the second largest household expense. Gas which was available in largepressurized canisters cost dwellers approximately 12 yuan/month to fill the container. The container was rentedfrom the work unit for a one time refundable deposit charge. Average gas costs were 18 yuan/month among theresidents interviewed. Of the residents interviewed twice as many used coal for fuel. This preference was based onfactors of cost (coal costs averaged at 16 yuan/month), convenience, and safety. Several dwellers feared thecombustible nature of gas containers. The third largest cost was for water consumption which averaged 4.0yuan/month.The other mandatory cost incurred by households interviewed was the “construction fund” or CentralProvident Fund which was introduced with the housing reform policies. Although this cost was not directly relatedto housing expenses, it must be considered part of a households monthly costs. The total levy was based on apercentage of each workers’ wage. Among the residents interviewed, the average monthly amount was 8yuan/worker which totaled 16 yuan/household.The total average base costs for a household which included rent, fuel, electricity, water and CentralProvident Fund was approximately 74.6 yuan/month when gas was used (5.8+30.8+18+4+16=74.6), and 72.6yuan/month if coal was used (5.8+30.8+16+4+16=72.6). Therefore the average shelter cost per household was73.6 yuan/month, excluding hidden subsidies. If the average income was 804 yuan/month, shelter expenses wouldtotal 9.2% of a families income. This figure is considerably higher than the often cited figures which state thatrent constitutes between 0.5% to 3% of a households income. Although the costs of food and clothing were notdiscussed, surveys indicate that these have also experienced sharp price increases. For example groceries and34. Interview 16, Wan Zhu Jie Street, Shanghai. 14 May, 1993.35. Interview 17 and 20, Wan Zhu Jie Street, Shanghai. 14 and 20 May, 1993.38clothes prices have increased 109.8% and 114.0% respectively between 1990199 1.36 One dweller stated that“coal prices had doubled over the past few months...I used to pay 10 yuan now I pay 20 yuan for the same amountof coal.”37 Among the residents interviewed, it would seem that the costs of housing accommodation was stillconsidered low and was viewed as a major benefit of thong living. However, other living costs such as food,electricity and gas, which had fewer internal preferential subsidies were problematic.3.1.3 Housing Design and Implications on LifestyleInitial observations of thong housing on Wan Zhu Jie Street indicated that factors such as communalkitchens, lack of adequate services such as toilet, water and gas connections, spatial shortages, and single roomallocations were the most important physical factors that affected the dwellers’ daily life. Such data corresponds toopinions gathered by the Shanghai Housing Administration Scientific Study Institute where families living in areasless than 5 sq.m./person thought that lack of gas equipment, absence of water closets and kitchen, small floorspace, and scarcity of rooms were the 5 most significant problems of lilong living.38 Indeed among the womeninterviewed, shared kitchen facilities, single room occupancy and lack of services were considered to cause thegreatest impact on daily lives. For example spatial allocations among the households interviewed averaged 5.2square meters/person for registered urban dwellers and 5.1 square meters/person when all occupants as well asvisitors and relatives from the rural areas were included in the calculation (see appendix 3). This figure issignificantly less than the 1991 city average which is 6.7 square meters/person.39 The average area per familyamong those interviewed thus equaled 19.3 square meters or 208 sq. feet/household. The overcrowded conditions36 Shanghai Tongjiju [Shanghai Statistical Bureau]. Shanghai Tongji Nianjian 1992 [Shanghai StatisticalYearbook 1992] (Shanghai: Shanghai Tongji Chubanshe [Shanghai Statistical Publishing Co.], 1992), p.469.37. Interview 31, Wan Zhu Jie Street, Shanghai. 06 June 1993.38• Bowei Wang. “The Conversion of the Residential Buildings in the Old City Proper of Shanghai and itsPolicies” in The Research on Human Settlements in Shanghai, ed. Zheng Shiling (Shanghai: Tongji UniversityPress, 1993),p.166.39. Shanghai Tongjiju [Shanghai Statistical Bureau]. Shanghai Tongji Nianjian 1992 [Shanghai StatisticalYearbook 1992] (Shanghai: Shanghai Tongji Chubanshe [Shanghai Statistical Publishing Co.], 1992), p.440.::•0•::::::39of each dweller’s unit was a consistent concern. As one man stated: “My room is just too small, even if one guestcomes I must go out to entertain”40;while another women expressed concern over her 21 year old son: “Ourfamily shares one room, it is very bad, when my son is living so close in the same room, he needs his ownprivacy”.41 Outside of the family unit overcrowding and the use of communal space in the lilong was even moreconfining.Figure 9Detail Plan of Lilong One (Ground and Second Floor). Wan Zhu Jie Street, Nanshi District, Shanghai.?.& 6907Q:,:‘o:°:0.4L.I8Source: Adapted from drawings by Cheng, McClure, and Mede.z.o40 Interview 20, Wan Zhu Jie Street, Shanghai. 20 May, 1993.41• Interview 44, Gong Yi Fang, Hong Kou District, Shanghai. 28 June, 1993.40All residents commented on the conflicts which occuired in the communal kitchen area. For example inhouse one, four briquette burners were located in the original kitchen (see fig. 9), one cooking area was provided inthe communal storage room, and two other cooking areas were located in the occupants’ rooms; one due to dietaryreligious practices and the other as preferential treatment since this household was the original lilong ownersbefore 1949. Among the women who shared the kitchen, conflicts were common, especially at lunch time whenmany women were required to prepare meals for husbands, and children. To alleviate some conflicts the womenstaggered their use of the kitchen, or did food preparation elsewhere in order that kitchen cooking time would bekept at a minimum (see fig. 10). Major conflicts occurred when dwellers took liberties over space and infringed inother dwellers’ areas. The logistics of too many women trying to cook at the same time in one space was alsoproblematic.Figure 11View of Exterior Courtyard in Lilong two.French style widows provide visual access todwellers on upper floors.Figure 10View of Exterior Courtyard in Lilong two.Such communal spaces are used for laundry,storage and food preparation.I’I41It appeared however that the level of services such as outdoor water supply, and coal stoves were not thecause of the conflicts but were the cause of inconveniences. Conflicts in the communal spaces rather depended onthe nature of the activity, timing, and whether the activity was forced to exist in the public domain. For examplecooking, which is a personal family activity did not function successfully in the shared space. On the other handlaundry activities, which are inherently a more social activity, successfully operated in a communal atmosphere.Many residents commented that a system had been worked out where each family could share the laundry space ina supportive manner and if it rained, “someone would take in your laundry so it does not get wet.”42Public areas within the lilong also were the scene of disagreements as each family had different spatialrequirements and use for the public space. Furthermore those dwellers who had lived in the lilong for a longperiod of time had more de facto rights to claim increased storage area. As one young couple stated they wereunable to negotiate for adequate public space for cooking and storage because they were new residents. Theycommented:new corners like us do not have any public space because the older residents have claimed suchareas as their own...they control the communal areas. The storage areas are already full withother families belongings.43As a result of this situation this young couple felt their only option to improve their environment was to relocate tonew housing in the periphery. This complex situation concerning space sharing and privacy is not unique to thisliong but is a common factor in dwellers’ satisfaction in their living environment.However apart from these problematic conditions, dwellers also commented on the inherent advantages inthe lilong design and impacts on lifestyle. Of foremost importance was the comment by both dwellers andneighbourhood conunittees that “The lilong provided an ‘intimate enviromnent’ where one was not alone.”44Physically, this ‘intimate enviromnent’ was partially explained by the proportions of the houses on Wan Zhu JieStreet. The lilong were of a human scale and did not exceed three stories. Residents therefore had a physical and42• Interview 20, Wan Zhu Jie Street, Shanghai. 20 May, 1993.‘. Interview 17, Wan Zhu Jie Street, Shanghai. 14 May, 1993.. Interview 6, Da Jing Neighbourhood Committee, Qing Lian Lu, Shanghai. 04 May, 1993.42psychological proximity to courtyard and neighbourhood activities. This direct presence of dwellers viewing thestreet provided a sense of security among the residential lanes.The arrangement of the fenestration of the lilong further reinforced the ‘intimate environment’ as theFrench casement windows which were arranged around courtyards could be opened so ground level activities wereexperienced by dwellers. This was especially important for the elderly who occupied the second and third floors(see fig. 11). The large window dimensions and their ability to open at right angles also provided a “low tech”form of air circulation which was well suited to the hot humid summer climate of Shanghai. Cool air from thecourtyards circulated through the building by a combination of windows and air shafts.Figure 12View of Wan Zhu Jie Street, semi-public main lane. Nanshi District, Shanghai.The sequencing of spaces in the lane, from the public street, semi-public main lanes (see fig, 12), andsemi-private side lanes (see fig. 13), provided a protected flexible environment where activities and social networksdeveloped. For example, the semi-private side lands were adapted for multi purpose functions appropriate to an43outdoor room. Secure childrens’ play grounds, sitting and visiting areas for seniors, summer outdoor dining,laundry drying, food preparation, a place to relax, and area for women to do housework such as sewing were only afew of the related activities which occurred in the lane (see fig. 13-14). These lanes functioned as social areas forneighbourhood communication. All dwellers commented that they valued the lanes for their “neighbourhoodcloseness”, “friendliness”, “intimate environment” and “ease of living”.This unique relationship of the lane to the housing unit is of fundamental importance to the social successof the lilong neighbourhoods. The traditional spatial qualities of the lane and the housing form have combinedwith the present conditions of lilong living. Such physical conditions as spatial shortages, the location of services,such as concrete sinks and water connections in the lane area, the need for outside cooking spaces in the summermonths, etc. which force dwellers to utilize outside space, are also combined with the traditional aspects of familylife and the inherent need to socialize. These characteristics have been incorporated into the societal process oflane living and are fundamental when analyzing the successes of the inner city neighbourhoods in such areas asFigure 13Semi-private side lane of Lilong. Off Wan Zhu Jie Street, Nanshi District, Shanghai.44defensible space, safety, community cohesion, etc. The importance of such social issues, and the resulting socialspaces, must be incorporated into the design process for any future residential redevelopment in the oldneighbourhoods or new development in the city’s periphery.Figure 14Aerial View of semi-private side lanes. Off Wan Zhu Jie Street, Nanshi District, Shanghai.The values a family placed on their own unit were somewhat less clear as they depended on the conditionof the unit, the dwellers perceived security of tenure, and the degree of maintenance and upgrading by bothgovernment and dweller. Within the fonnal jurisdictions, maintenance of the exterior and structure of lilonghousing was the responsibility of the government, while interior upgrading, non structural repairs andimprovements were the responsibility of the dweller. Thus repairs which concerned the safety and structure of thehouse were generally paid by the government and upgrading of non essential improvements were paid andexecuted by the dweller. However a number of factors were identified which made such government repairsinaccessible to the dweller: (1) all repair requests were reviewed by official jurisdictions; (2) requests which didnot fit official programs were often deemed unnecessary; (3) length of time for the process. As one dweller stated:“because this house is owned by the government I can ask to have things fixed, but if they think it is unimportant45they won’t do it”45; while another dweller stated: “if a room needs fixing you can apply to the Management Office,but it takes just too long!”46Dweller initiated upgrading or consolidation was more prevalent and could be categorized into twogroups: formal and informal activities. The formal maintenance, upgrading and alterations included thoseprojects where dwellers followed the legal process to apply for a permit, and received final approval by cityofficials. In this process dwellers were permitted to change or add to their interior space as long as additionalstructures were free standing, removable, and complied to official regulations. Restrictions included additionswhich increased a household’s designated area, altered the exterior of the building, or infringed on public orcommunal areas such as roof, balcony, or courtyard areas. If renovations or additions were done withoutpermission and infringed on regulations, authorities had the right to remove the structures. If the dweller refusedto comply, they were fined at twice the projects construction cost.Of all the households interviewed 60% had done some level of additions or upgrading and none hadapplied for permits. A number of factors were identified which explain the seemingly small proportion of illegalconstruction: (1) the work was done before the 1970’s when permits were not required; (2) the work compliedwith official requirements and was free standing; (3) the penalties for illegal work acted as a deterrent; (4) theeffectiveness of the neighbourhood conunittees in reporting such work prevented dwellers from undertaking illegalprojects; and (5) the level of self building does not currently challenge the permit structure as dwellers undertakerelatively small scale upgrading projects. It will be interesting whether dwellers in the future, with increasedfmancial resources and ease in hiring workman, will challenge the existing policies on house upgrading.As one dweller stated: “it is very common for people to do little renovations...our lives have becomebetter so there is disposable income”47; another dweller said, “it is very easy to buy the materials and there are45. Interview 13, Wan Zhu Jie Street, Shanghai. 12 May, 1993.46• Interview 34, Wan Zhu Jie Street, Shanghai. 06 June, 1993.47. Interview 34, Wan Zhu Jie Street, Shanghai. 06 June, 1993.46many construction workers who want a little extra job at night.”48 For example, one family interviewed hadrecently done substantial improvements which included painting the interior, tiling the floor, constructing a loftspace and an outside shed, and replacing an exterior window with new glazing and sash. The cost for therenovation was 3,000 yuan and they had hired a construction worker for the job. The family claimed it was easy todo such work and it was very common among the neighbours. To indicate the prevalence of dweller initiatedupgrading projects, one young woman of approximately 20 years of age hired a builder to construct a loft forherself and her grandmother. She said: ‘it was hard to fmd the right person to begin the job but because so manycontractors do second jobs, once we found the connections it was easy.”49 The loft was professionally built for atotal cost of 400 yuan.A number of factors affected the decision by dwellers whether to upgrade their unit. These included: (1)the initial condition of the unit; (2) security of tenure and housing allocation; (3) family history; (4) familyincome; and (5) availability of building materials and labor. Indeed some dwellers did no repairs or even basicmaintenance while others had done substantial work. In regard to the physical condition of the lilong, dwellerstended to make no improvements in those units which were in very poor condition. For example one couple didnot want to do any interior work because of the existing moisture damage in the room. They said: “if we painted,the paint would just peal off again, there is no point”.5° It must be noted that some dwellers who lived in verypoor conditions were also waiting to be relocated to better housing and as a result did not choose to upgrade theirunit. Thus the second intervening variable which affected dweller initiated upgrading was household allocationand security of tenure. If a family was living in an area below the official regulations for living area per capita(LA.P.C.), unsafe conditions, or were associated with a work unit which was building new housing for workerallocation, the residents anticipated relocation and few improvements were done to the lilong. The thirdintervening variable was family history and local attachment. If the household had previously owned the lilongbefore 1949, or lived in the lilong for a long period of time and had established family traditions, they were more48 Interview 32, Wan Thu Jie Street, Shanghai. 06 June, 1993.‘l9 Interview 33, Wan Zhu Jie Street, Shanghai. 06 June, 1993.50• Interview 17, Wan Zhu Jie Street. 14 May, 1993.47apt to do renovations. The fourth intervening variable was family income. Families with more disposable incomewere potentially able to do more renovation work; however, the extent of the work again related to issues ofsecurity and tenure. Also the degree of dweller initiated upgrading related to the family first obtaining a standardlevel of commodity items. A television and refrigerator were among the appliances which a family first investedbefore income would be spent on upgrading. It seemed therefore that many dwellers ranked commodity investmentabove housing improvements. The fifth factor which affected upgrading was the availabffity of building materialsand labor. However this did not seem to be a factor which precluded self building as materials were easilyaccessible due to the building boom in Shanghai.. There was also a plentiful resource base of workers eager tosupplement their income with night work.3.2 Inherent Values at a Neghbourhood Level: Community Organizations on Wan Zhu Jie StreetThe second level that lilong dwellers experience social stability and community cohesion is within theneighbourhood. In China the importance of neighbourhood far surpasses the Western notion of localized identity.Rather, within the neighbourhood structure community based organizations exert power to regulated daily life. Itis these organizations which maintain a level of community cohesion and link the dwellers to services andgovernment social welfare programs.Under the centrally organized political system neighbourhood based organizations were created such asResidents’ Groups, Neighbourhood Committees, and Street Offices to regulate community development and to actas the intermediary between govermnent and the citizen. Thus for lilong dwellers, one’s place of residence, andrelationship to the neighbourhood committee, is of the utmost importance to meeting daily needs. For this studythe neighbourhood administrative jurisdiction was managed under the Nanshi District Xiao Beimen ManagementOffice. At the local level dwellers rather viewed Wan Zhu Jie street as their neighbourhood because it officiallyhoused the neighbourhood committee office and unofficially was the area in which dwellers directed their concernover local problems.483.2.1 Community DevelopmentWithin the lilong lanes there existed two basic categories of community organizations, the fonnal andinfonnal. These two groups were categorized separately due to their opposing processes of organization,methodologies, and traditions. Very simply the formal structure of community development included suchgovernment controlled organizations as the Street Office, Neighborhood and Residents’ Committees, Residents’Groups and day care centres. These official organizations aimed to facilitate and maintain the continued operationof basic services and safety. The informal structures of community development on the other hand, included thosenon-official structures which contributed to a sense of community by serving the needs, desires and welfare of thelocal lane dwellers. Such organizations included family structures, household and neighbourhood cooperation,mutual aid traditions and what might be called ‘community awareness.’3.2.2 Formal Organizations: Neighbourhood and Residents’ CommitteesWithin the policies of the Peoples Republic is the creation of organizations established by the governmentto promote peoples welfare, improve standards, and maintain social order through mass participation. Theneighbourhood and residents’ committees are such organizations. Under the policy guidelines these grass rootsorganizations are adnthiistered by state controlled regulations, and are intended to provide a conduit for thedissemination of government policy through social service delivery. Their area of jurisdiction typically includes 5types of service delivery; (1) social welfare which includes care for the elderly, job placement and employmentservices for the young and disabled, and fmancial assistance for families experiencing economic hardship; (2)public security which ensures the safety of the neighbourhood through crime preventiorn such activities alsoinclude control over illegal structures or unlawful construction and the registration of all dwellers and visitors; (3)cultural and public health initiatives which enforce the established regulations and govermnent programs toimprove the environmental conditions of the area; (4) mediation of local disputes which includes intervention infamily disputes, conflicts between neighbours, and youth confrontations; and (5) women and family issues which49includes the control over family planning, the provision of day care centres, and the implementation of the “FiveGood Family Campaign” which honors model families.Within the study this community based hierarchical structure was represented by the Xiao Beimen StreetOffice which administered and managed 15 neighbourhood or residential committees. Each neighbourhoodcommittee then took care of a defined number of families within their 0.02 to 0.03 km2 area. Each one of thesecommittees was further divided into 24 -47 residential groups which provided more specialty services. The HuaiZhen Neighbourhood Committee located on Wan Zhu Jie Street was the official resident’s committee for theneighbourhood and its workers provided many of the services directed under official policy. For example thecommittee organized care for the aged, mediated conflicts, provided employment links, organized baby care,regulated family planning, registered new residents, and even provided matchmaking services.In spite of the varied programs provided by the committee, the dwellers of Wan Zhu Jie street most valuedthe localized programs and services which had been developed by the resident’s committee as they directlyresponded to the needs of the lilong neighbourhood dwellers. One of the most important services was that of carefor elderly. This included a day care service where arrangements were made with primary school children fromthe local middle school to visit and attend to household chores for the seniors. Food services were also arrangedwith the school so as to provide hot lunches, and transportation was arranged for old people to go to the hospitalfor appointments or emergencies.In addition to social welfare initiatives the Da Jing Neighbourhood Committee facilitated another locallybased service where residents came to the neighbourhood office when they were in need of minor repairs tohousehold equipment, such as the refrigerators or washing machines. The neighbourhood committee acted as theliaison to locate a repair person trained in the skill required. A fee was charged for the repair service while theneighbourhood committee provided the service at no cost to either party. The program thus provided a locallybased solution to neighbourhood needs by utilizing community participation. The program however did not50address building maintenance. Dwellers were able to arrange repairs for their personal possessions but wereunable to initiate building maintenance and repairs through this cooperative unofficial process.Another service which was greatly valued by the residents was the provision and access to day care.Families in need of day care were directed to available centres or arrangements were made for available surrogategrandparents to watch over small children. On Wan Zhu Jie Street, two day care centres were available, howeverthis exceeded the usual day care allotment. Both centres were located in lilong houses and provided service to twoto four year old children at the cost of 80 yuan/month of which 30 yuan was subsidized through the parent’s workunit. This locally based initiative was seen as very important as young couples increasingly chose to send theirchild to day care at an early age to take advantage of early education opportunities. Comments by a local day careworker reveal this shift in attitude among parents. She stated: “we are full to capacity...even though these childrenhave grand parents to take care of them, the parents send their children here to learn and get a head start.”51In reference to the mediation of disputes, the Huai Zhen Neighbourhood Committee on Wan Zhu JieStreet agreed that in the majority of cases, problem mediation centered on housing and the need for more space.Arguments often occurred due to one family utilizing more public space, exceeding their arranged area ofoccupancy, abuse of common space or petty theft. The mediation process consisted of an impartial third party fromthe Resident’s Committee listening to both sides of the dispute, and determining the guilty party through heart toheart talks, group pressure, or persuasion through examples of orderly conduct as outlined in socialist principals.The committee also provided a service for lilong dwellers to “negotiate for public space” where they would helpfamilies increase their private space within the public space of the lilong. However among the majority of youngdwellers interviewed, these interventionary programs of mediation were viewed as unsuccessful, unsuited to theneeds of the dweller, and “meddlesome.”51• Interview 18, Day Care Centre, Wan Thu Jie Street, Shanghai. 14 May, 1993.51Thus to what degree do the qualities of community, neighbourliness, security, cooperation andconvenience, relate to the formal neighbourhood organizations whose purpose is to provide and regulate socialwelfare and community participation, improved standards and social order? To the dwellers of Wan Zhu Jie streetthe answers seem to be drawn along generational lines and types of service provision. Among the younger couplesinterviewed, many do not depend or utilize the neighbourhood committee, but rather increasingly rely on their ownmeans and resources. Through interviews it was suggested that many young people valued services and programswhich responded to local problems such as safety, care of the elderly, and home repairs through local solutions.These services were considered more worthwhile than those services which enforced and regulated centralizedpolicies into family life. The common description which refers to the neighbourhood committee as the “grannypolice” reflected this doubt and humor young people felt towards this entrenched organization.Seniors and retired people on the other hand, held a far different view of the neighbourhood conunittees asthey greatly depended on their services. Many old people viewed them as more than a service provider, but as alink to social activities and relief from loneliness. The question thus arises in light of housing reform andcommodification of housing weather neighbourhood committees will be ouunoded or transformed into anorganization more responsive to changing requirements? In the case of the lilong areas, where housing stillremains under government control and local bureau management, the emerging role of neighbourhood committeesis even more unclear.3.2.3 Informal Organizations: Family Structures, Neighbourhood Cooperation, Mutual Aid,and Community AwarenessApart from the formal organizations in the lilong of Wan Zhu Jie, a whole level of informal socialnetworks existed independently of govermnent induced cooperation. These networks of social interactionresponded to the needs of dwellers to solve common problems and address common goals in their local lane orneighbourhood. It was observed that this level of activity and participation was concentrated on very local scaleover issues such as child care, safety, care of the sick and old, and common concerns of neighbours. The52organization occurred within extended family structures, and between lilong neighbours as opposed to large scalecommunity activities.This pattern of social linkages and community involvement was explained by a number of factors; familyties (the strong tradition of extended family for cooperation and problem resolution); physical proximity (closerelations in the lilong encouraged friendships); and common interests (families with children or teens met throughthe common needs of their children); and common characteristics (persons with shared traditions developed socialnetworks). The very localized and limited levels of informal conununity activities were also the result ofdomination by official agencies such as neighbourhood committees which have institutionalized the capacity toorganize and initiate social linkages. The result is that informal community development took on a morespecialized and insular role in the lanes and was not reflected by overt infonnal organizations. However its formwas no less valued by the lilong residents. In fact participant observations and interviews indicated that residentsviewed the social networks, and mutual cooperation within the lanes as one of the most valuable components oflane living. Comments ranged from: “there are reciprocal arrangements here, we have a lot of communicationwith other families,”52 to “everyone in the lilong looked after the children...there is much cooperation in childminding,”53 to “in the lilong we support each other we rely on other families for security.”54This neighbourhood value was described by dwellers as a type of “community spirit” where a commonperception was shared and defmed their identity as lilong dwellers. Such similar observations were identified inCheng Naishan’s book The Blue House, in which she characterized life among the Shanghainese. In one of herstories she described the mutual responsibility that local dwellers shared in the neighbourhood. Cheng wrote:‘If one family has a problem, ten thousand families come to help.’ This was the reason why someof the residents were not particularly eager to move into flats with gas and a bathroom, andalways considered carefully before making the decision to move away.52• Interview 13, Wan Zhu Jie Street, Shanghai. 12 May, 1993.53. Interview 14, Wan Zhu Jie Street, Shanghai. 12 May, 1993.54. Interview 20, Wan Zhu Jie Street, Shanghai. 20 May, 1993.5. Cheng Naishan, The Blue House, (Beijing: Panda Books, 1989), p. 148-149.53The existence of this community cooperation and mutual aid occurred at a household and street level.Within the household, families cooperated in most forms of living such as sharing the communal space in thekitchen, laundry and courtyard. In these instances however household confficts were common. New residentswere especially subjected to problems with sharing space due to their lack of seniority in the house andneighbourhood committees did not solve these problems adequately to their satisfaction. Every householdinterviewed remarked on the problems associated with the shortage of space and services, and confmed livingarrangements. However notwithstanding these extenuating circumstances, families and neighbours attempted toresolve disputes and issues of mutual concern.In areas where neighbours shared mutual concerns based on safety, health, concern over older residents,and child care, the degree of mutual cooperation was very high. The majority of dwellers remarked that theythemselves and their neighbours developed reciprocal arrangements and watched over their neighbours children,watched out for strangers, and paid close attention to dwellers who were old or alone. This informal network wasviewed by dwellers as one of the most important and positive qualities of the lilong neighbourhood. Many dwellersinterviewed, expressed feelings of security that they could always rely on neighbours for help and that the majorconcern in relocation would be the lose of such friendships.At the neighbourhood level, informal cooperative and mutual aid groups did not exist outside of thetraditional organized neighbourhood committees and work units. In other words, neighbourhood participation inlocal organizations other than official sanctioned groups was not observed. For example, in regard to housingmaintenance organizations or neighborhood activities, grass roots community groups only existed within the stateframework.543.3 Inherent Values at a City Level: The Relationship Between Lilong Dwellers and the CityThe third level of interaction which was viewed as important by lilong dwellers was the relationship of theold neighbourhoods to the city. From initial analysis it was discovered that locational factors were of primaryimportance. Proximity to jobs, schools, shopping, hospitals, and transportation were among the most importantreasons for remaining in lilong housing. But upon closer examination it was revealed these values were not purelyexplained by locational factors or convenience. These inherent values were rather linked to the relationship whichexisted between the lilong dwellers, their neighbourhood, and the characteristic urban fabric of old Shanghai whichhas evolved into an integrated connection between living, working, and commerce.3.3.1 Home and Job LinkagesAmong the residents interviewed, one of the most important values expressed by dwellers who lived in theold lilong neighbourhoods was the relationship which existed between home and work. For the majority ofdwellers who were employed, time, distance, and convenience were viewed as values of living in the lilongneighbourhood. The majority, (90%) of those interviewed stated that their desire to remain in the thong wasbecause it was close to work. One dweller commented that:even if a new house was offered in Pudong we would prefer to live here in the lilong because ofits proximity to work...lilong are so convenient...I don’t thing Pudong or those other areas are sogood for our kind of work, it is too long a distance to travel.56In actual time the majority of dwellers interviewed spent between 15-30 minutes by bicycle to commute to work.The time was slightly longer when they traveled by bus.On closer examination however the linkages between home and employment were not completelyexplained by temporal factors. They also depended on the physical integration of residents and services,56 Interview 16, Wan Zhu Jie Street, Shanghai. 14 May, 1994.55employment activities in downtown Shanghai, the existing spatial dispersion of jobs, and the type of work in whichthe dwellers were engaged. For example, as 80% of jobs occurred in the central area of Shanghai ‘‘ a worker’srelationship to downtown Shanghai was important. Furthermore, there was close relationship between the types ofemployment which were available in the city centre, such as low level clerical, service and factory positions, andthe employment needs of lilong dwellers. For example among those dwellers interviewed, all had factory andservice positions which were easily accessible in the downtown area.In comparison the options for employment in the new Pudong region, which is promoted as the newcenter for technology and research, may not provide the required level of job opportunity for thong dwellers. Forexample a 1986 survey found that only 4.4% of the residents living in new housing projects could fmd jobs in theircommunity.58 Therefore it is not only distance and time of travel which is important to lilong dwellers, but alsothe type of employment available, and the location of the resident and employment source.In physical terms the lilong neighbourhoods are inseparably integrated into the physical fabric of the city.Although entries to thong lanes have a distinct demarcation such as gates, stone arches and changes in land usage,polarization does not seem to exist. The old neighbourhoods are encircled by the city, which has resulted in a typeof mixed use that has left a legacy of integrated planning. For example within the Xiao Beimen neighbourhood,there exists ten small factories, a wood furniture processing plant, a sock weaving factory, and some smallelectrical product plants. Even though none of the dwellers interviewed worked in these factories, the complexfabric of housing and employment seemed to continue to exist and reinforce the importance between proximity andlinkages of home and work.Another important factor in the integration between lilong neighbourhoods and the city the availability,proximity, and choice of transportation. For the Shanghainese, the bicycle is an important form of transportation,57. Tingwei Zhang, “Housing Policy under A Planned Economy: Towards an Alternative Housing Policy”h.D. Dissertation, University of Illinois at Chicago, 1992), p.82.D8. Tingwei Zhang, “Housing Policy under A Planned Economy: Towards an Alternative Housing Policy”(Ph.D. Dissertation, University of Iffinois at Chicago, 1992), p.82.56and to the lilong dweller it is the preferred mode of transport for reasons of cost, time, and convenience. Amongthe dwellers interviewed eight out of twelve of men, and five out of eight women, relied on bicycles rather thanpublic transport (see appendix 3). Related to the popularity of bicycle transport are the independent variables ofproximity of work, home, and services and the integration of land uses within central Shanghai. For example, ofthe men interviewed all chose to use bicycle transport if the commuting time did not exceed 3/4 hour. In spatialterms this would mean that the workers employment would be relatively close to the urban core and within theinner ring road of the city. Thus for bicycle transportation to be successful the proximity between work and homemust be within such distances. As the lilong neighbourhoods are integrated within urban Shanghai, bicycletransportation becomes an option. The bicycle is even becoming more important to the lilong dweller as currentlytraffic congestion in Shanghai has greatly increased due to the many commuters traveling in from the peripheralregions to the urban centre.The relationship between home and work became even more important when the role of women wasconsidered. Among all of the lilong households interviewed, working women had a triple role to care for thefamily which included often husbands, in-laws, grandparents, and small children; work; and maintain thehousehold. Even though in many households, shopping and house cleaning was done by grandmothers, the wifestill had household duties to prepare the mid day meal. This required wives to commute twice the distance as theirhusbands during the day, in addition to preparation, eating and clean up after the mid day meal. A furthercomplication to this scenario was that all women shared the kitchen space so planning was required so as not toconflict too dramatically with other households cooking schedules.A further factor linked to the job and home proximity was the issue of child minding. A cooperative andcommunity oriented atmosphere was developed in the lilong area, where friends and family watched over childrenwhose parents were working. This availability of local child care within the neighbourhood relieved some of theburdens when women’s jobs were far away from the home. However, notwithstanding this women still expressed aconcern over working long distances from the home.57Perhaps one of the most important issues relating to employment and the spatial integration of work andhome is the new phenomenon related to the emergence of the ‘second job’. This new emerging pattern is closelylinked to the progression of the reform policies in Shanghai and is an indication of the growing trends ofcommodification in the labor force and “informalization” in the emerging market economy. Currently inShanghai, additional work outside of ones recognized enterprise is growing. “Moonlighting,” as it is called inShanghai now provides one half of the residents with second jobs.59 Documentation indicates that the majority ofsecond job holders in the recent past have had technical expertise as in 1988, 59% of all second job holders inShanghai were teachers, technicians, students and scientists.6° However it is not yet clear how this growingsituation will effect the less skilled worker. What is clear is that the type of second jobs which inner city residentsmay become involved with are linked to the market emerging in the urban centre. For example services such ashouse keeping, cooking, cleaning, small repairs, child minding, etc. rely on the services of less skilled labor. In thecase of lilong dwellers, this possible emergence of new options for employment may put an even greaterimportance on spatial integration of home and work and the dependence on the close proximity of inner cityneighbourhoods to the urban core.3.3.2 Home and Services LinkagesAmong the older retired thong residents and those with small children, the proximity of the home tospecial services such as hospital, schools, day care, transportation, telephone, and shopping was of primeimportance. This “convenience,” as it was indicated by many dwellers was again considered one of the inherentbenefits of inner city lilong living. For example in the Xiao Beimen Neighbourhood there were three middleschools, six primary schools, four kindergartens, one library, one theater, one district hospital and oneneighborhood hospital. However the value of these services within the neighbourhood went beyond mere provision59. China News Analysis, “The Two Job Holders,” China News Analysis 1480 (March 1, 1993), p.2.60 China News Analysis, “The Two Job Holders,” China News Analysis 1480 (March 1, 1993), p.5.58and proximity. A more complex set of relationships seemed to exist as services were integrated directly within theneighbourhood in many levels.A pattern which intermingled services and residences in the lilong lane was evident. On Wan Zhu JieStreet for example, the elementary school and middle school, two day cares, one resident committee and two publictelephone counters, were located in the lane at street level (see fig. 3). These services were completely accessible tothe residents who lived within the lane. A comment by one retired dweller began to indicate the importance andvalue placed on local services. The woman stated:The children in the area seem to move to Pudong which is too far away for us. Here isconvenient for us grandparents. Here were know our neighbours, it is easy to go to the hospitalwhen we are sick. It is only six minutes away on foot.61Young families also commented on their concern for their children’s education and valued the quality ofservices which were available in the Xiao Beimen neighbourhood. A young family statethif we ever move, we will not take the children because we want them to continue in our localneighbourhood school. At the new housing, their will be no good services but we will keep ourchildren here with my grandparents. Here it will be no problems.62This also begin to explain the growing phenomena which describes the old lilong lanes as the homes forthe very old and the very young.3.3.3 Home and Commercial LinkagesAmong the residents interviewed the relationship between home and commerce in the old neighbourhoodswas of fundamental importance. Shops, restaurants, repair shops, food markets, offices, health care clinics, andlilongs were located side by side. Dwellers valued the close proximity and convenience of shopping in the lane,neighbourhood, and local districts. As one dweller stated: “I shop every day, my daily shopping needs are close61 Interview 8, Wan Zhu Jie Street, Shanghai. 04 May, 1993.62 Interview 14, Wan Zhu Jie Street, Shanghai. 12 May, 1993.59by...just outside at the street. It is very convenient.”63 In spatial tenns this “convenience” is related to theintegration of commerce, housing, services and employment throughout the city’s urban fabric. For example, atthe city level commercial and mixed use development surrounds the old lilong housing areas. Therefore busyshopping streets with major department stores and large specialty shops are located in close proximity to housing.linmediate needs are provided at the local level where commerce is integrated into the neighbourhood toprovide a complex living enviromnent. On Wan Thu Jie Street for example, commercial establishments operate atthree levels: the individual vendors who set up “shop” outside of their residence and provided services such asshoe repair, bike repair, hairdressing, or barber shop; the small convenience stores located in the frontage of thelilong which sold daily household items; and the officially operated stores and service institutions, as reflected bylarger outlets such as the State run Peoples Friendship Club and Restaurant. In addition to these three categoriesthere also exists the market vendors who setup street side displays usually of fruits, vegetables, fish, meat, orprepared foods. In the Wan Thu Jie area these vendors congregated on the adjacent busy and wide streets of LuXing Yuan, and Da Jing Lu.This commercial integration functions not only for service and convenience, but provides opportunities forlocal social interaction. For example, telephone counters, convenience stores, beverage counters and snack shops,are located at the lane crossroads where a great deal of local pedestrian traffic occurs. Smaller specialized servicessuch as a barber shop, hairdresser, shoe repair and video arcade were also located within the street. These localshops and services provides common gathering points where residents congregate and exchange local information.Under such circumstances and conditions interpersonal networks have developed which contribute to the cohesionof the lane and respond to the needs of the dweller.This localized atmosphere changed significantly as Wan Zhu Jie street neared the more public intersectionof Remin Lu. Here a different set of commercial establishments are located which serviced the general populous as63 Interview 14, Wan Zhu Jie Street, Shanghai. 12 May, 1993.60well as lane residents. For example, at the entrance to the lane was a clothes store, beverage shop, convenienceshop (similar to the western corner store), news stand, and cigarette stand. It should be noted that thischaracteristic location for shops and stands at the entry to the lilong lane provided a dual function of service, andas a security check point or “eyes to the lane”.61CHAFFER 4FACTORS AFFECTING LILONG DWELLERS:UNDER A CENTRALIZED PLANNED HOUSING POLICY.Under the centralized planned economy housing is considered an element of social welfare which isprovided, produced, and distributed by the government. With such a policy the basic needs of shelter are to beaccessible to all workers based on their personal needs and contributions to the state. However, among manydwellers in the lilong neighbourhoods this institutionalized process for housing allocation and access seems not toprovide equal rights to all. Unlike a market based economic system which allocates shelter through theindividual’s ability to purchase housing and excludes their participation through the inability to afford housing;the planned economy allocates housing based on the individuars ability to comply to an institutionalized set ofcriteria which defmes housing need on generic and inflexible quantitative standards, and stratifies this socialresource by distributing better housing as remuneration for political position and social rank. Therefore those whoare powerful and control the distribution of social wealth can meet their housing needs by using their power, andthose who do not comply to such criteria are excluded from improved housing. Thus it seems that neither acentralized planned socialist system nor a market oriented system can alleviate total housing disparity in access orallocation for all citizens.To many lilong dwellers, the centralized housing policy, which was established in 1949, has both directlyand indirectly affected housing access and allocation through a number of factors. Directly, dwellers have beenaffected through allocation criteria which regulate public housing, such as the national standards to determine“Poor Living Condition Housing” (P.L.C.H.), and the ‘Point Allocation System” used by work units to allocate unithousing. Indirectly dwellers have been affected through the work units administrative ranking systems and theability of the work unit to provide housing. Thus the disparities of the allocation system exist between theenterprise, and government institutions which control public housing. The purpose of this chapter is to identify62those factors which are characteristic to the centralized housing system and have specifically affected lilongdwellers in either beneficial or detrimental ways in regard to lilong housing.4.1 Housing AllocationUnder a centralized planned housing system it is the State’s responsibility to meet housing needs for allcitizens, and provide and allocate this social good accordingly. The process of housing allocation thus depends ona specific set of rules, regulations and criteria which is easily measured and observed in order that housingallocation occurs systematically, equally and without confrontation or opposition. At the most basic level aframework is required to determine a set of living standards that determines basic housing. In addition, criteria arerequired to determine the dwellers’ needs for housing, as well as a system to allocate housing based on thedwellers’ official position, job, rank and seniority in the work unit. Within this system, each housing authority hasits own specific set of official standards and criteria to provide and allocate housing. For the lilong dwellers theyface the double burden of complying to housing standards determined by govermnent authorities at local anddistrict levels, as well as work unit and enterprises which have their own specific criteria for allocating housing totheir workers.This complex administrative structure of lilong housing, coupled with the govenunent’s criteria todetermine housing standards, and the housing allocation system regulated by each danwei has contributed to thecurrent circumstances of the lilong dweller. The effects of the housing allocation process is however even morecomplex for many lilong dwellers due to the complicated and shared tenure structure. In the Xiao BeimenNeighbourhood for example, many lilong are owned by the government, managed by the district housing bureaus,allocated by units and occupied by dwellers who have lived in these (hong since before 1949. Housing allocationand requests for better housing thus become a complex process between several jurisdictions and which mayrequire dwellers to fulfill multiple criteria.63In the Xiao Beimen neighbourhood, officials commented that dwellers who live in public housingclassified as “difficult housing” (P.L.C.H.) generally approached their work unit to access better housing.64 Eachwork unit formulated their own appropriate housing allocation system, prioritized the applications and thenforwarded the names to the Xiao Beimen Management Office. The management office then has the ultimateauthority to determine whether a dweller can move. However history and time has again added another level ofcomplexity to the lilong as each house is occupied by several families from different work units. Therefore there isthe potential for a lack of cohesion between the disparate work units within the house. Each family must go to adifferent danwei for personal requests. In addition, the Xiao Beimen Housing Management Office has their ownset of criteria which attempts to maintain basic living standards. For example new occupants of lilong units mustnot be assigned into areas less than 4 sq. meters/person; in communal spaces or circulation areas; or in an areasless than 10 meters if they are a young couple which plan to have a family. Thus the housing bureau seems toregulate for minimum housing standards and provide a “watch dog service”.4.1.1 Criteria For Allocating Government Owned HousingThe criteria to determine substandard and inadequate government housing is based on a national set ofstandards determined in part by the classification of “Poor Living Condition Housing” (P.L.C.H.). Under thissystem housing quality is measured by the quantitative and qualitative condition of the house. Quantitativeconditions are determined by three factors: (1) homelessness, (2) overcrowding, and (3) inconvenient housing.Homelessness is defined as either “no marriage housing,”65 married couples with no place to live, or new cornersto the city who posses legal registration cards but are unable to find housing. People who have migrated from64 Interview 5, Vice Director Nanshi District Xiao Beimen Buildings Management Office. 03 May, 1993.65 No marriage housing is determined by a couples existing living situation and their age. A couple is consideredto live in a “no marriage household” if the man is over 27 years of age and the woman is over 25 years, and livingspace is less than 4 sq.m./person after the following calculation is computed:Area of a families living space - 10 metersnumber of family members - 1Zheng-tong Wu, “Research on Solving the Poor Living Condition Households Problem in Shanghai”, (Shanghai:Shanghai Housing Management Research Institute and Technology, 1987), p.1 174.64rural areas to the city without legal authority are not considered homeless as their residence is officially recognizedin rural areas. This regulation concerning homelessness is of particular importance to lilong neighbourhoods asmany incoming transients settle in the lilong communities.66 To meet this pressure in the Wan Zhu Jie Street alarge lilong had been converted into a 30 bed hostel to accommodate men seeking temporary shelter while workingin Shanghai. The cost for accommodation per night was 7 yuan. In comparison to the rent for local residentsthese accommodation costs were approximately 700 times greater.67 The influx of migrants into the oldneighbourhoods, while not directly affecting allocation provisions for lilong dwellers does add an increased strainon infrastructure and overcrowding in the lanes. In Shanghai approximately 2 million people are classified as‘floating population’ and among this population, some 1.2 million are temporary residents who stay in Shanghai fora long time, working for construction companies, factories, trade, informal activities, etc.68The overcrowded household is the second criteria which defmes dwellers’ needs and increases theireligibility for improved housing. An overcrowded household is calculated as less than 2.9 sq. meters/person, (3.0is the working standard). Thus if a dweller occupies a space including furniture which is less than 3 sq.meters/person he or she is considered to live in an overcrowded household.The inconvenient household is the third criteria which defmes inadequate housing and dwellers’ needs. Itincludes one or more of the following criteria: the average living space per person is less than or equal to 5 sq. m.and parents live with their adult children (over 16 years of age); adult sisters live with adult brothers; or threegenerations or two couples live in one bedroom which can not be divided by partitions.6966 Alice Goldstein; Sidney Goldstein; and Shenyang Gou, “Temporary Migrants in Shanghai Households,1984” Demography 28 (No.2, May 1991), p.279.67• Average rent per month for lilong dwellers surveyed on Wan Thu Jie Street after rent reforms was .3 yuan/m.sq./month or .01 yuan/sq.m./day compared to 7 yuan per night for dormitory accommodation.6S Mm Zhao, “Understanding Metropolitan Shanghai,” in The Research on Human Settlements in Shanghai, ed.Zheng Shiling (Shanghai: Tongji University Press, 1993), p. 41.69 Zheng-tong Wu. “Research on Solving the Poor Living Condition Households Problem in Shanghai”,(Shanghai: Shanghai Housing Management Research Institute and Technology, 1987), p.1 175.65In addition to this quantitative criteria, is a set of qualitative standards used to detennine inadequatehousing in public housing sector. This includes housing which is unsafe and requires emergency structural repair,harmful environment housing, or housing without basic services. However within this set of criteria householdswhich experience qualitatively inadequate housing are not given priority for better housing unless the conditionsare unsafe 70Under this policy the majority of thong houses in the study could be classified by the P.L.C.H. standardsas inadequate. For example among the informants interviewed on Wan Zhu Jie Street, all lacked basic services.None of the households interviewed had an indoor toilet; all relied on night stools and public conviences, 17 outof 20 households shared kitchen and cooking areas: and none of the households had permanent fuel connectionswith the exception of electricity. Furthermore, over one half of the dwellers interviewed lived in inconvenienthousing where parents and adult children shared the unit. However the numbers of families by official standardswhich lived in overcrowded conditions was significantly low. Only two out of the 20 households interviewed livedin spatial allotments below or equal to 3.0 sq. meterserson (see appendix 3). Under such criteria, dwellers wholive in substandard conditions are eligible to request better housing on the grounds of P.L.C.H. For lilong dwellersthis policy is important as it provides access to better housing for those living in the poorest conditions. Forexample, two families on Wan Zhu Jie street who lived in space below 3.0 sq. meters/person were slated to berelocated to the periphery because of P.L.C.H. These observations reflect the more widespread circumstances forlilong dwellers in Shanghai as 1990 data estimated 613,000 households required new housing71 due to P.L.C.H.The effects of such a policy to the dwellers is far reaching as the criteria to determine the suitability ofhousing is determined by a set of generic standards which must be flexible enough to suit any building type andstandardized to fit institutional programs and policies. As a result such criteria are not able to evaluate specificlocal conditions or current housing realities in the lilong areas. In the case of old lilongs, spatial characteristicsTingwei Zhang, “Housing Policy Under a Planned Economy: Towards An Alternative Housing Policy inChina” (Ph.D. dissertation, University of Illinois at Chicago, 1992), p.34.71• Zheng-tong Wu, “Research on Solving the Poor Living Condition Households Problem in Shanghai”,(Shanghai: Shanghai Housing Management Research Institute and Technology, 1987), p.1175.66which have developed in living patterns, such as the adaptation of sharing space in the common courtyard, laundryor cooking areas, and the advantages of inter-generational living are not viewed as potential solutions to livingproblems but rather as potential problems. The existing criteria also do not have the ability to consider the otherfactors which affect housing needs of the inner city which are socially and economically based. As a result alllilong housing which do not fit within this specific criteria is considered inappropriate and unsuitable to modernstandards. Such actions tend to legitimize and rationalize the overall housing policy to “renew and redevelop” oldneighbourhoods.4.1.2 Criteria For Allocating Work Unit Administered HousingIn addition to the criteria which determines P.L.C.H. a second set of standards and allocation proceduresexist for lilong dwellers who occupy housing administered by work units. This process is based on the pointsystem which quantifies a worker’s contribution and relationship with their enterprise and determines priority,eligibility, quality and quantity of housing that each worker is permitted. Even though each enterprise has specificprocedures for the point system, allocation is generally determined by job rank, seniority, current living area of theapplicant, family features such as number of generations, age, gender of children, number of occupants, theposition of the applicant’s spouse, family planning issues, political contributions, and commitment to therevolution. The more points received, the higher ones chances of accessing improved housing or increased space.To access better housing lilong dwellers generally apply to their work unit and follow such procedures.An example of this point allocation system is cited in Tingwei Zhang’s Ph.D. dissertation,72 whichoutlines the allocation system adopted by a Shanghai University. Allocation is determined by points received inthree categories:72 Tingwei Zhang, “Housing Policy Under a Planned Economy: Towards An Alternative Housing Policy inChina” (Ph.D. dissertation, University of Illinois at Chicago, 1992), p. 9 1-92.67(1) Eligibility: whereby the applicants must have worked in the University before a specific date, haveofficial Shanghai Residents’ registration and be living in conditions below 4 square meters/person.(2) Housing Area Points: in which basic need + job rank + additional points per sq. meter are computed.Basic need is determined by an inverse relationship between family number and space, where higherpoints are awarded for fewer family members. Job rank is based on position and years of employmentwhere the higher the job rank and duration of employment, the larger the point allocation. Additionalpoints are awarded if the family has followed family planning, if children are over 16 years of age or if thefamily has returned from overseas.(3) Priority points: in which additional points are determined by seniority, job rank, and special criteria.Seniority is calculated by the number of years working since 1949 and the number of years of employmentat the enterprise. Special criteria is determined by the workers contribution to the Communist Party,service as a revolutionary, outstanding honors in the city, and amount of existing living area where morepoints are awarded to increased household areas.Under this type of process it is evident that a bias in point allocation is directed towards workers withincreased seniority, job rank, social position, party affiliation and performance of state ideals. Basic need onlyconstituted a small component for a households access to better housing. In regard to thong dwellers, a number offactors in the point allocation system may preclude access to better housing. These include: dweller’s job rank andposition; dweller’s existing housing conditions; and wealth of the enterprise.Among the workers interviewed on Wan Thu Jei Street, the majority were employed in lower status jobssuch as low clerical, service, or factory worker positions. Only one dweller interviewed held a middle professionaljob. Under the housing allocation system thong residents, because of their positions within the work unit,experience greater inequalities in their access to better housing. Furthermore as points are also awarded based on ahouseholds occupied area, lilong residents are further penalized due to their existing overcrowded housing68conditions. In addition to a worker’s rank within the unit, the wealth and classification of the unit furtherdetermines a workers quality of housing. Wealthy work units for example, are capable of providing adequatehousing; whereas poor units, that can not meet production quotas or create financial surpluses, are not in aposition to provide adequate housing. Of the residents interviewed on Wan Zhu Jie Street the majority wereemployed for low ranking factories which produced commodities such as rulers, sewing machines, utensils, andwire. Those dwellers who worked for large units such as the Shanghai bus system, held low positions within thework unit.In light of this allocation process it may be suggested that a “creaming off” or social segregation mayhave existed under the centralized planned housing system where dwellers of better rank and position fromwealthier danwei may have had increased opportunity to be relocated to improved housing. As one dwellercommented:Those who are wealthy or are high on the allocation waiting list, which is determined by income,position, and least of all need, are relocated to high rises...only the poor and old are left in thethong.74Furthermore, under this system of housing allocation the thong dweller is afforded few choices to improvehis or her housing environment in situ as currently the dominant housing option consists of apartment style unitslocated in the city’s periphery. In other words, the option to upgrade and rehabilitate older housing stock in theinner city has been significantly overlooked by the danwei which continues to invest in new housing.Peattie (Peattie, 1982: 134), is specifically referring to sites and services projects where dwellers are attractedto such projects while more marginalized members of the conununity are left behind. This “creaming off’contributes to a breakdown of the informal social and economic networks which such dwellers depend. Althoughthe economic circumstances of the lilong dwellers is significantly different from the informal sector which Peattiedescribes, the similarity exists in the eventual social and economic segregation of dwellers as those with betterconnections, job positions, social rank, and increasingly financial security will be relocated from the oldneighbourhoods.74. Interview 2, Long Hua West Road, Shanghai. 01 May, 1993.694.2 Housing Rent and Lilong dwellers: Effects and ImpactsFundamental to housing policy under the centralized planned economy is the notion that housing, as anelement of social welfare, must be provided to all citizens for low rent, in order that all workers will have equalopportunity for housing provision. To achieve this welfare oriented housing system, rent was subsidized at greatcost by the govermnent and workers’ wages would remain low to provide “wage in kind” subsidies for housing.This low rent policy has affected not only the lilong dweller but has impacted the whole housing process in threedifferent directions: economically, socially, and physically.Economically, such low rents have restricted the amount of money available for public investment inhousing which has aggravated the shortage of housing. For example in 1990, average rents for urban residents inShanghai was 0.1 RMB yuan/sq. meter/month, which represented only 7% of the cost of rental, therefore 15 RMByuan/sq. meter was required by the state as subsidy.75 This minimal revenue covered only one quarter ofmaintenance costs, and was not sufficient to cover the additional costs of management, administration andhousehold depreciation. The public sector therefore had to contribute money to not only fund new construction butalso maintenance. In Shanghai these circumstances are even more significant as a greater proportion of housing ispublicly owned and managed (44% in Shanghai as compared to the national average of 9%)76. Furthermore dueto the large amount of older thong housing stock. (1991 statistics classify 32.7% of all housing is old lilongstock)77 , an ever-increasing amount of repairs and maintenance are required. Physically, this has resulted inbuilding repairs being deferred and building deterioration occurring more quickly.For the thong dweller the low rent system has affected the minimal fmancial monthly commitment forbasic living standards while at the same time has kept monthly wages at a low level. Of the residents interviewedGuilan Bao, “Socio-and Psychological Analysis of the Inhabitants in Shanghai,” in The Research on HumanSettlements in Shanghai, ed. Zheng Shuling (Shanghai: Tongji University Press, 1993), p.6176 Tingwei Zhang, “Housing Policy Under a Planned Economy: Towards An Alternative Housing Policy inChina” (Ph.D. dissertation, University of Illinois at Chicago, 1992), p.26.‘. Shanghai Tongji [Shanghai Statistical Bureau]. Shanghai Tongji Nianjian 1992 [Shanghai StatisticalYearbook 1992]. (Shanghai: Shanghai Tongji Chubanshi [Shanghai Statistical Publishing Co.], 1992), p. 440.70on Wan Zhu Jie Street, rent averaged 0.16 yuan/sq. meter/month and fluctuated between 0.06 yuan at the lowestlevel to 0.28 yuan at the upper level (see appendix 2). The majority of rents were clustered at 0.1-0.15 yuan/sq.meter/month and 0.26-0.28 yuan/sq. meter/month. The impact of the low rent policy was that dwellers were easilyable to meet their shelter needs and more recently with rising incomes, had substantial income left for other uses.All dwellers commented that rents did not constitute any financial concern and were considered “very cheap”.Such opinions are characterized in the often quoted line: “yi yue fang zu, yi bao yan qian,” monthly rent equalsonly the cost of a packet of cigarettes.Socially, the low rent welfare oriented housing system encouraged increased demand and overconsumption by those with power, access to housing allocation procedures, or those with special connections. Theincidence of “over consumption” among lilong dwellers was not as apparent as most dwellers were not in a positionwhich allowed them to access more housing. However low rents coupled with increasing income did reflect acharacteristic consumption pattern. Of all the households interviewed, the majority had colour televisions,refrigerators, stereos, electric rice cookers and other commodity items. V.C.R.’s also existed but were in fewerhouseholds.Of greater social impact to the lilong dwellers were the indirect affects of low rent policies. As alldwellers paid similar rents, a socially equitable distribution of housing existed in the lilong lanes where a distinctlack of segregation based on affordability occurred. For example, of those interviewed on Wan Zhu Jie Street, themajority of dwellers paid similar amounts in rent. Where discrepancies and variances did exist it was due to thedwellers size of unit, location within the lilong and unit orientation. Thus among many dwellers rents did notfluctuate and maintained a social and spatial equivalency among neighbours.Furthermore, the system of low rent seemed to have established a feeling of security among the dwellersthat basic housing with minimal standards would be guaranteed. For example of those dwellers interviewed, nonesuffered from the fear of relocation or eviction due to their inability to pay rent. Residents seemed to possess a71‘sense of security” that basic shelter would be provided for them; however, their guarantee of location, choice andhousing preference was sacrificed for such security.Physically, low rent welfare housing has undoubtedly affected the physical condition of lilong housing dueto the lack of regular maintenance. However the degree of deterioration in the thong is also a result of interveningvariables, such as the building age, living density, and lack of services. However among the informantsinterviewed, the lack of regular building maintenance was not seen as an important factor affecting their daily life.This opinion may partially be in response to the near absence of government maintenance.72CHAPTER 5THE INTRODUCTION OF HOUSING REFORMS ANDTHEIR EFFECTS ON LILONG DWELLERSIn December 1978 at the Third Plenary Session of the 11th. Communist Party Central Committee newdirectives were initiated for Chinese modernization which were to fundamentally alter the existing tradition ofeconomic development. The reforms were widespread and included all areas of the economy including nationaleconomic development planning, national financial control, and the national banking system. Linked tomodernization and economic growth was the reform of the social welfare system which included housing, medicalservices, and social security. The principals of these reforms were founded on a fundamental change from the pureplanned economy to a mixed economy which incorporated many market mechanisms. The result was a shifttowards multiple ownership, independent competition in the market for enterprises, a movement towards freeexchange of goods in the market, shift in some governmental jurisdictions towards increased local governmentcontrol, and a revised distribution system for social benefits which demands citizens financial contributions.78In 1980 a housing commercialization reform program was suggested by Deng Xiaoping to initiate thereform of the welfare system in housing. Under such directives the first steps in housing reform began with fourcities, Changzhou, Zhengzhou, Shashi and Sipimig, being chosen to initiate the pilot projects. In 1986 the reformswere extended to eight other cities including Shanghai. On the basis of such experimental programs the officialHousing Reform plan was issued nationwide in 1988.78• Tingwei Zhang, “Housing Policy Under a Planned Economy: Towards An Alternative Housing Policy inChina” (Ph.D. dissertation, University of Illinois at Chicago, 1992), p.143.79. Tingwei Zhang, “Housing Policy Under a Planned Economy: Towards An Alternative Housing Policy inChina” (Ph.D. dissertation, University of illinois at Chicago, 1992), p.144.73The overall goal of housing reform was to convert the heavily subsidized housing system in China into aself financing business80 by: deriving fmancial profit from housing which hitherto had been a welfare privilege.Under housing reform all development, construction, exchange, and allocation of housing would be readjustedwithin the planned open market system. The principals of housing reform attempted to: (1) change the existingsystem of low rents and free housing allocation to housing commercialization, with housing allocation dependenton a dweller’s financial contribution and the contribution of his or her work unit; (2) change the existing housinginvestment system from total dependency on the government and public sector to a three way partnership where thefinancial burden was shared by the state, enterprise and private sector including the individual; and (3) change theexisting housing allocation system to reflect a more equitable process administered by a housing managementsystem.81To achieve such principals five options to housing reform were developed:1. Rent increases; which were initially introduced to increase rent to cover the cost of maintenance andmanagement followed by rent increases to reflect the full market cost of production. As Deng Xiaopingcommented in 1980, “rents should be readjusted in line with investment in housing construction,”82and Su Xing, economist and deputy editor of the ‘Red Flag’, went further to say:In this current stage, the rental should at least cover depreciation, maintenance, managementexpenses and land taxes. Otherwise, it will be impossible to retrieve not merely the cost ofreproduction of housing, but also the cost of minimum maintenance.83The goal of the program was not only to increase the financial responsibility of dwellers but to ultimatelyencourage residents to enter into the commodity housing market as the cost of rent would be comparable to markethousing.80 Jianjun Liu, “The Privafization of Urban Housing,” Beijing Review 31 (No. 46, November 14-20), p.18.81• Tingwei Zhang, “Housing Policy Under a Planned Economy: Towards An Alternative Housing Policy inChina” (Ph.D. dissertation, University of Illinois at Chicago, 1992),p.146.82• Jianjun Liu, “The Privatization of Urban Housing,” Beijina Review 31 (No. 46, November 14-20, 1988),p.19.83 Richard Kirkby, “China,” in Housing Policies in the Third World, ed. Kosta Mathey (Munchen: ProfilVerlag, 1990), p.303.742. Public housing privatization; which included the sale of public housing to the existing tenants and in so doingtransferred the responsibility of maintenance and housing provision to the dweller while the state gainedinvestment returns from depreciated housing.3. Housing Commercialization; which established housing as a commodity and no longer considered it a purepublic good. Housing rather represented a commodity which could be exchanged for profit on the open marketwithin the planned market economy. The housing commercialization program considered that newly constructedhousing was to be allocated through the open market system rather than through the previous system of publichousing allocation. Of all the housing reform policies, this perhaps was the most significant as it transferred fullresponsibility of shelter provision to the dweller through a system where market forces and the dwellers financialcapabilities determined allocation and access.4. A three way Partnership; which attempted to distribute the fmancial burden of housing investment between thegovermnent, enterprise and individual. This was achieved by a cost sharing and housing investment programwhere the dweller contributed one third of investment costs for commodity housing and the remainder was sharedby the government and work units. A series of programs which encouraged dweller’s participation in the housingmarket by the purchase of housing bonds, and mandatory contributions to housing funds was also introduced.5. Reform of Housing Allocation; which examined the social inequalities and disparities under the currentallocation system.Shanghai has taken a lead in carrying out these housing reform policies. However it has becomeincreasingly evident that such policy objectives and implementation strategies are having fundamentally differenteffects on the very diverse socially and economically stratified Shanghai dweller. Notwithstanding the emergenceof more housing, the urban poor remain isolated in their inability to enter the housing market. Those who areespecially affected are dwellers with low salaries, less than average working members in the households, workersoutside the state employment system, those nearing retirement or on restricted incomes, and those employed bypoor work units. For the other residents who are employed by wealthy danwei, are of a high job ranks and officialposition, or are fmancially able to engage in market socialism, the new housing reform programs offer an75advantageous opportunity for accessing improved housing, and deriving financial benefits from housinginvestment.For the lilong dwellers, housing reforms and the shift towards commodity housing are having profoundeffects far greater than the direct programmatic implications of rent increases and mandatory contributions tohousing funds. Factors which also affect lilong dwellers and the old neighbourhoods include; (1) the integrationof the commodification program into the urban development strategy; (2) the accelerated development of realestate; (3) the reluctance of the Shanghai government to privatize significant amounts of lilong housing stock; (4)the adoption of “land lease” as the main program for the renewal of the old districts; and (5) the implications ofPudong’s development to the renewal of the core of Shanghai. The comments by ranking housing officials thathousing reforms will not affect thong dwellers because they “exist outside of the commercialization program,” andare “not in a fmancial position to participate in the market housing programs” suggest the exclusionarycircumstance of housing reforms and the institutionalizing of a two tiered system in housing.The impacts of housing reforms are far more widespread than the programs directed at the individual orhousehold. Policies directed at the district or neighbourhood, and reform strategies at the municipal or city levelalso affect thong dwellers. Therefore any analysis which examines the impacts of Shanghai’s housing reformpolicies on thong dwellers must examine the effects of commodity housing on the household, neighbourhood andcity level.5.1 Commodity Housing at the Household Level: The Impacts of the Five Part Housing Reform ProgramTo implement the housing reform policy the Shanghai government adopted a five part comprehensiveprogram which was ratified in May 1991.84 The five programs included the introduction of a Central Provident84 Wenjun Zhi, “Housing and Its Development in Shanghai,” in The Research on Human Settlements inShanghai, ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p.85.76Fund or “housing construction fund” as it was more commonly referred, Rent Reforms, Housing ConstructionBonds, Housing Subsidies or what is called favorable treatment, and the establishment of a Housing AuthorityOffice. The programs were comprehensive in nature as they applied to all dwellers of Shanghai regardless of age,social position, income and occupancy level. To the lilong dwellers, it would appear that the five housing reformprogram is having varied effects. Direct impacts are experienced due to rent reforms and the housing constructionfund, while indirect effects have occurred due to the dwellers inability to meet the criteria of the other threeprograms. From discussions with the lilong dwellers of the Xiao Beimen Neighbourhood and Wan Zhu Jie Streetit appears that conditions have emerged which reflect the shift to commodity housing on the lilong household.5.1.1 Rent ReformsRent reforms for lilong dwellers as for other residents in Shanghai include a doubling of household rent.The only exception to this doubling of rent was for low income families and disadvantaged groups. Among thehouseholds interviewed on Wan Thu Jie Street all dwellers had experienced rent increases. The highest amountpaid under the reform program was 11.20 yuan/month or .35 yuan/sq. meters./month for a 32 sq. m. unit (seeappendix 2,3). This amount is still however insufficient to cover actual maintenance and administrative costs.When asked whether this put an inordinate fmancial burden on the household, the response was that rents werestill low and manageable. The majority of families conferred with this opinion that affordability was not a factor inrental housing.However such comments must be considered in light of the current wage and labor reforms which wereinitiated with the economic reform program in 1978. Under the program wages were to be increased to moreclosely reflect the commodity value of labor and replace the system of fixed low wages where income representedonly a minor component of a workers social wage based on subsidies. Although the specific impacts of wagereforms were not discussed with lilong dwellers and actual wage increases were not indicated. Comments fromseveral dwellers indicated that their official wages had been increased a marginal amount. What perhaps may be77of greater concern to the lilong dweller is whether rising wages will continue to grow at the same rate as rentincreases.The impact of rent refonns on lilong dwellers must also be analyzed in relation to the changing role ofwages, subsidies and housing vouchers. Currently, to counteract any extreme financial burdens experienced bydwellers due to rent reforms and disparities between rents and wages, the system of housing subsidies and vouchershas been readjusted to offset undue economic hardship. However, subsidies are provided through a dweller’senterprise and those dwellers who work for wealthier danwei may be in better positions to receive subsidies orhousing vouchers. Also, because the subsidies are based on the existing allocation system used by enterprises,some lilong dwellers may experience greater disparities due to their wages, seniority and job rank. Under thisprogram it would seem that residents with proportionally lower wages, and fewer working household members,receive lower subsidies and experience increased fiscal hardship.Although questions regarding housing subsidies were not specifically discussed, one household didcomment on the increased contribution of their work unit through a 3 yuan subsidy which was calculated on thebasis of their pension. This reduced their rent from 9.3 yuan/month to 6 yuan/month.85Finally, discussions with residents of Wan Zhu Jie Street indicated that at this initial stage, dwellers wereable to absorb the doubling of rents with the aid of continued housing subsidies and vouchers. What was of greaterconcern to the dwellers were the programs for subsequent rent increases. It was estimated that rents would berequired to increase approximately fifteen times that of existing rent86 to reflect market costs. Under currentcircumstances the fmal step of rent increases which reflects market costs would be beyond the capabilities of mostlilong dwellers without substantial wage increases. Furthennore, such disparities in housing and affordability maybecome even more acute when rent increases are considered within the larger economic climate. As one85 Interview 9, Wan Zhu Jie Street, Shanghai. 04 May, 1993.86 Tingwei Zhang, “Housing Policy Under A Planned Economy: Towards An Alternative Housing Policy InChina” (Ph.D. Dissertation, University of Chicago, 1992), p.145.78interviewee observed: “soon we will need both of our incomes to rent housing.”87 In light of rising inflation 1992statistics indicate that price increases between 1990-9 1 in living expenses such as groceries, prepared meals,clothes, medicine, housing building materials rose, 109.8%, 112.8%, 114.0%, 153.1%, 103.8% respectively.885.1.2 The Central Provident FundThe Central Provident Fund (CPF) or “housing construction fund” as it is often referred to by lilongdwellers, is a compulsory program in which every full time worker contributes a portion of his or her salary alongwith an equivalent amount provided by the employer into a long term mandatory government savings program. Inprinciple this public finance model is very similar to the approach adopted in the Singapore Public HousingProgram,89 where a massive fund has been accumulated over twenty-five years to enable low and middle incomedwellers to purchase homes through withdrawing up to 80% of their total CPF savings for housing. In theSingapore case, the CPF provides an integral mechanism in pubic housing finance and housing market control asduring the past 25 years the contribution rates to the CPF have been adjusted to correspond to increasing wages. In1984, CPF contributions had reached 50% of combined workers and employee funding.90 By the strict monetarycontrol of apartment prices and CPF contributions the Housing Development Board is able to control supply anddemand in housing as well as fluctuations in inflation.87• Interview 13, Wan Zhu Jie Street, Shanghai. 12 May, 1993.88 Shanghai Tongji [Shanghai Statistical Bureau], Shanghai Tongji Nianjian 1992 [Shanghai StatisticalYearbook 1992], (Shanghai: Shanghai Tongji Chubanshe [Shanghai Statistical Publishing Co.], 1992), p. 469.89• According to Goh (Goh, 1988:149), the evolution of the Singapore Public Housing Program can be dividedinto four distinct stages beginning with: (1) the construction of massive low cost housing projects in the 1960’s torelieve the housing shortages inherited from the British Colonial System; (2) the home ownership program forpublic housing begun in 1964, which was intended to encourage low and middle income families to invest and owntheir own homes through withdrawing funds from the CPF, originally for social security savings, to pay for thedown payment and monthly installments of the public housing apartments. (3) Commercialization of publichousing which expanded and popularized the market of public housing; and (4) the introduction of socio-politicalreform in the 1970’s intended to maintain and control political, economic, and social policies through reformprograms.90 Lee E. Goh, “Planning That Works: Housing Policy and Economic Development in Singapore.” Journal ofPlanning. Education and Research 7 (Number 3, 1988), p. 153.79In this early stage the Shanghai model is attempting to provide a massive pool of capital through amandatory long term savings program. The reserve is intended to enable both home buyers to meet their downpayment and mortgage commitments and government agents to finance large scale capital housing projects.Currently in Shanghai a worker is required to contribute 5% of his or her monthly salary and the enterprisematches this payment by a further 5%. Of the dwellers interviewed on Wan Thu Jie Street, all full time workerscontributed to the Central Provident Fund. The majority of workers paid 8 yuan/person which totals 16yuan/month between husband and wife with an equal match from their work unit. As is evident in the Singaporemodel, this percentage contribution is intended to be increased over time. Although in Shanghai any increasesmust be developed along with wage reforms. A dweller is then permitted to withdraw his or her principleinvestment, less interest, for the purchase of a new house, or major repairs to their existing house. Interiordecoration, yearly maintenance, and rental however does not entitle a dweller to access the housing funds. Adweller is also entitled to the principal after retirement; or in the case of death during the worker’s employment,money maybe returned to the beneficiary. Once the loan is obtained the dweller is required to repay the money at aspecific schedule. House resale is also permitted within the rules of “commercialization”, although the owner isrequired to return the exact amount of the loan to the housing fund.Even though the Shanghai CPF program is in its infancy, and dwellers have not as of yet accumulatedsufficient funds to take advantage of the program, the future success of the program for lilong residents will dependon a number of other factors.(1) The CPF currently provides funding for the purchase of new market housing or the substantial renovation ofenterprise or privately owned housing. This policy directive thus will encourage conunercialization of newhousing, but will continue to neglect inner city lilong housing stock. In this instance the program differs from theSingapore model where the CPF is utilized to purchase public housing and a process of privatization has occurred.Currently, lilong dwellers by nature of living in public housing are precluded from utilizing any of the ProvidentFund to purchase or upgrade their thong housing. It was interesting to note that five out of 20 householdsinterviewed commented directly that: “even though we pay into ‘the fund’ for future renovation costs, it is thegovernment who decides what work is to be done...if we owned our house we could access our money for repairs,80but it[the house] is owned by the state, so we can not use our money.”9’ However even though many familiesrealized they would never be in a position to purchase a house or utilize the Provident Fund they did acknowledgethat such conthbutions were required to improve housing conditions in Shanghai. To address the needs of lilongdwellers the CPF must therefore be considered for upgrading and rehabilitation of lilong housing in the old innercity neighbourhoods.(2) As the CPF program has the capability to affect housing supply and demand through the manipulation ofcontribution rates, dwellers with significant income disparities must be considered so potential inequalities inhousing access and quality do not emerge. Furthermore, as the accumulation of the CPF is determined by aworker’s salary and by the contribution of the enterprise, a lilong dweller again may be affected by his or her rankwithin the imit and the unit’s wealth. For example a worker earning a lower wage and employed by a poor workunit would have less available capital in the Provident Fund to access housing. Thus even though the programprovides a means to purchase housing, traditional job ranking and wage systems, which have been proven to beproblematic especially to many lilong dwellers must be examined in coordination with changes to the CPF.(3) Due to the rapidly increasing value of land and the housing commodity market, price controls or restructuringpolicies must be developed to maintain affordability in housing, and restrict over consumption and speculativeinvestment.Finally, the CPF may provide valuable options for lilong dwellers to purchase public housing however theprogram will require modifications and strict controls so as to address the special needs of inner city dwellers.5.1.3 Favorable Treatment, Housing Bonds, and the Housing AuthorityIn addition to the introduction of rent reforms and the Central Provident Fund three other programs wereintroduced as part of the Shanghai housing reforms. In comparison to rent reforms and the Provident Fund theseprograms currently do not seem to have such a direct correlation to the lilong dwellers’ access to better housing.Interview 13, Wan Zhu Jie Street, Shanghai. 12 May, 1993.81The first program is called Favorable Treatment. The aim of the program is to provide an incentive tothose who buy housing with large down payments or lump sums through the use of discounts or rebates. Theprogram provides a 20% discount to dwellers who pay a lump sum for their housing and for dwellers who pay byinstallment where their first payment over 30% of the total price and subsequent payments are made within 15years.92 The program was developed to help dwellers enter into the low cost housing market. However,interviews with housing officials revealed that market mechanisms in distribution were overshadowing suchinitiatives, as increasingly housing allocation depended on the amount a dweller contributed for the down payment.In other words, the larger down payment, the greater the chance of receiving preferential treatment in allocation oflow cost units. As housing construction is considered a marketable commodity and the cost of constructioncontinues to rise, an ever increasing gap is emerging between peoples’ economic capability to purchase housing,the price, and the payment scheme. For example, 1992 statistics indicated that residential development costs hadincreased 2.4 times since 1989, and the cost of building materials had risen 103.8% from 1990- 199 Atrend may be occurring among enterprises who develop low cost housing projects, to give first priority to dwellerswith the highest financial commitment as compared to the greatest need.The second program is that of the compulsory purchase of government housing bonds. A dweller whopurchases a new flat is required to buy housing construction bonds as a contribution to the construction cost of theunit. The price of the bonds in 1991 varied between 20 and 80 yuan/square meter and after five years the bondsplus 3.6% interest were to be returned to the investor.95 The fact that these bonds can be traded on the, stateapproved securities market reinforces the notion that housing is now a commodity investment where profits can bemade through housing development. Even though the cost of these bonds is relatively low, none of the dwellersinterviewed had invested in the securities market, and as the purchase of market housing is not currently within92• China News Analysis, “Housing Reform: What is New?,” China News Analysis 1432 (April, 1991), p.7.93. Zheng Shiling, “The Housing Problems in Shanghai and Their Prospects,” in The Research in HumanSettlements in Shanghai, ed. Zheng Shiling ‘(Shanghai: Tongji University Press, 1993), p. 14.94. Shanghai Tongji [Shanghai Statistical Bureau], Shanghai Tongji Nianjian 1992 [Shanghai StatisticalYearbook 1992], (Shanghai: Shanghai Tongji Chubanshe [Shanghai Statistical Publishing Co.], 1992), p. 469.95. China News Analysis. “Housing Reform: What is New?” China News Analysis 1432 (April 1, 1991), p.6.82their fmancial capability, housing bonds primarily affect the lilong dweller by their exclusion and inability toinvest in the emerging housing market. However with the parallel development of wage reforms this issue ofaffordability may be significantly altered in the future.The third initiative of the Shanghai housing reforms is the establishment of the Housing Authority orHousing Reform Office. This municipal organization supervises the implementation, construction, management,and allocation of housing. One of the most important tasks of the Housing Authority in relation to lilong dwellers.is the Authority’s ability to design regulations for housing allocation, and supervise the distribution process.However despite their ability to instigate change, their main purpose has remained to execute established housingreform policies rather than addressing localized concerns.5.2 Commodity Housing at the Neighbourhood Level: The Impacts of Land Lease and LocalDevelopment on Lilong DwellersThe effects of the market oriented commodity system represent a completely new era in development forthe old lilong neighbourhoods. It is marked by a shift from localized developments and renovations to large scalerenewal and redevelopment in the inner city. The purpose of this new phase is, however, not driven by the need toupgrade the existing conditions of lilong housing but rather to take full advantage of the economic potential of theinner city land value. Under these guidelines of market socialism the government has realized that money can bemade from the exchange of land or “land lease”, and that urban restructuring can occur through private investmentoften from foreign investment rather than through socialized public financing. It is this shift in developmentstrategy, coupled with the lack of localized development guidelines and policies, which is having a great effect onthe inner city.These changes which are occurring in the old lilong neiglibourhoods of Shanghai are clearly based on(1) the State reform polices to implement the socialist market economy; and (2) the more specific plan to initiatethe comprehensive redevelopment and reconstruction of old neighbourhoods on market based initiatives and “land83lease”. In the old lilong neighbourhoods physical, social, and economic changes have occurred as a result of theincorporation of the market system.Economically, land which previously could not accrue value now possesses value based on the exchangeof land use rights. In other words, land remains state-owned while its development potential or ‘land use right’may be transferred, leased, and exchanged for compensation. Currently this new market is primarily directedtowards foreign investors, local private real estate companies and wealthy enterprises. In relation to the oldneighbourhoods this economic policy has been incorporated into a redevelopment strategy based on a new form ofland transfer rights called “land lease”. The land lease is a special type of land transfer right which allows land,previously under state control, to be leased by private individuals or companies for a specific period of time inexchange for fees established by official jurisdictions. The lease is however not a transfer of tenure or right of title,but rather right of land use. The strategy follows that income gained through land lease sales in the oldneighbourhoods will form the financial support necessary for the renewal of old districts. In other words, moneyderived from land lease exchanges and real estate will provide the capital to improve and accelerate the livingenviromnent in the old neighbourhoods. It is significant to note that this land lease policy appears to be thedominant approach for the redevelopment of the old neighbourhoods, whereas privatization which transfers theresponsibility of housing costs and maintenance to the dweller has not been adopted.The purpose of this redevelopment scheme is not only to provide capital to rehabilitate the oldneighbourhoods; but more importantly to initiate the process of restructuring in the older areas of Shanghai andassign higher uses in the urban core. As land lease is based on deriving profit from land use, the ultimate goal is toseek maximum utilization. Currently in Shanghai, foreign investors in the old disthcts tend to bid on areas whichcan bring them the highest use and greatest profit. High end market housing, conunercial facilities, and officebuildings brings a far larger profit than investment and reconstruction of old housing. With the economic potentialin the urban core, decisions for development follow the model of urban renewal rather than rehabilitation ofexisting lilong.84Physically, this market driven development strategy is having profound effects on the old communities by;(1) the demolition of existing lilong housing stock; (2) relocation of dwellers to alternate housing in the periphery;(3) construction of large scale comprehensive projects; and (4) introduction of limited infrastructure upgradingprojects for lilong areas.In regard to lilong demolition and the reassignment of new functions in the old districts, such interveningvariables as site location, size, density, and ownership become the mitigating factors to determine the economicfeasibility for development. For example, thong sites located on existing commercial arteries or roadways, providelucrative investments. During an interview with a local developer it was noted that substantial investment activitywas occurring in the Nanshi District along Zhongshannan road as it now forms one of Shanghai’s ring roads whichlinks to the Nan Pu Bridge. Currently parts of this road are under construction with massive demolition’s of thonghousing to allow for road widening. During the same interview it was noted that one project alone was projected todisplace over 1600 families.96In relation to site size and plot ratio developers tend to negotiate for large sites which can accommodatehigh grade, large scale developments. This pattern corresponds to the current development direction initiated byofficial policy directives which encourages large financial commitments with foreign capital. The resulting effecton thong dwellers is demolition of large areas as compared to individual lilong blocks. In regard to site density,developers tended to negotiate sites with low densities because of the mandatory policy which requires developersto financially compensate and relocate displaced dwellers. Sites which had a lower densities were preferable fordevelopment as less money was required by investors to spend on dweller compensation. This directly affectsdwellers as housing which is of high density and often poorer conditions may be overlooked in place of less densehousing of better condition.96• Interview 30, Wan Zhu Jie Street, Shanghai. 04 June, 1993.85The negotiation structure for land lease also impacts the type of development. Currently the majority ofland lease and development projects are negotiated through closed negotiations with govermnent officials.Developers apply with their development proposals to the authorities having jurisdiction. Unless strong planningguidelines are developed and maintained under an open bid process, the lilong neighbourhoods will continue to beredeveloped based on developers initiating project guidelines.In principle, land lease provides a means to amass funds to be reinvested in the rehabilitation andupgrading of the old districts. It is estimated that 80% of the capital gained through land lease is to be used formunicipal infrastructure upgrading in the old districts. However the degree to which such infrastructureimprovements directly affect lilong dwellers in the old neighbourhoods may be in question as major infrastructureupgrading will be required to accommodate the increased capacity required by the large renewal projects. Wheninfrastructure projects are prioritized, the old neighbourhoods which have little power, may have less urgency forupgrading.The social impacts of development in the old neighbourhoods is a growing segregation and breakdown ofthe interpersonal networks among lilong dwellers, as poorer residents are relocated to the suburbs and morelucrative market housing is built in the old districts. For the dwellers of the old neighbourhoods such renewalprojects invariably include relocation to housing in the periphery. For example, 1992 statistics estimate that800,000 sq. m. of buildings in the old districts were demolished of which, 84% were old terraced houses, sheds andshacks, and 16% old factories and stores.98 Over 30,000 households were relocated as a result.99 More recent97. Xijin Zhu, “Opportunity of Renewal of Old City - The Authorized Land Lease in Shanghai and ItsCoincidence With the Target of Renewal of the Old Residential District,” in The Research in Human Settlementsin Shanghai, ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p.228.98 Xijin Zhu, “Opportunity of Renewal of Old City-The Authorized Land Lease in Shanghai and ItsCoincidence With The Target of Renewal of The Old Residential District,” in The Research on HumanSettlements in Shanghai, ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p. 228.99. Xijin Zhu, “Opportunity of Renewal of Old City-The Authorized Land Lease in Shanghai and ItsCoincidence With The Target of Renewal of The Old Residential District,” in The Research on HumanSettlements in Shanghai, ed. Zheng Shiling (Shanghai: Tongji University Press, 1993), p. 228.86statistics indicate that from January until July 1993 Shanghai has leased over 22 million sq. meters of land ofwhich 20% is located in central Shanghai.10°In light of the financial benefits developers consistently choose “renewal” over “redevelopment andrenovation” as the highest economic profit determines project choice. Recognition of local improvements for lilongdwellers is rarely considered. Currently, there are very few residential redevelopment and renovation projectsinitiated by the private sector. Such upgrading projects which attempt to retain dwellers in their communities arevery few and seem to occur with international or special govermnent funding. In the competition for development,market forces always dominate rehabilitation and renovation projects and in the case of Shanghai’s old lilongneighbourhoods it will regrettably destroy much of the old residential quarters unless policies are developed toattract the private sector to benefit from localized residential renovation.5.3 Commodity Housing at the City Level: The Impacts of Real Estate, Urban Redevelopment,and the Pudong Project, on Lilong DwellersThe current development pattern in the old districts and lilong neighbourhoods is not solely driven bylocalized factors emanating from the redevelopment of Shanghai’s old urban core. As Shanghai has now enteredin the era of the market economy, current development pressures and policy initiatives must be placed within thelarger context of Greater Shanghai including Pudong. In other words, current events occurring in the oldneighbourhoods must be examined within the full context of the national government’s policy to promote Shanghaiand Pudong as the “Head of the Dragon.”101 Even though the full impact of the relationship between Pudong,Greater Shanghai, and the development patterns in the old districts is beyond the scope of this paper; what is100 Xing Yi, “Beijing Will Take Special Care of Shanghai,” China Times Weekly 88 (September 5-11, 1993),p.11. (In Chinese).Jia Lu, “Shanghai Hidden Danger in the Future.” China Times Weekly 88 (September 5-11, 1993), p.10.(In Chinese).87important to acknowledge are the external factors which are currently affecting the lilong dwellers of the olddistricts.First, the development pattern in the urban core of Shanghai and the old lilong neighbourhoods can not beconsidered separately from what is occurring in the new development zone of Pudong, located directly across theHuangpu River. The Shanghai-Pudong development was initiated to create growth areas in entrepot trade, hightechnology industry, banking and services to restore Shanghai as a leader in the Pacific Rim. The concept ofPudong was not viewed as an enclave development, but rather as an integral part of Shanghai’s Metropolitandevelopment in that outmoded facilities, especially housing in Puxi (the west part of Shanghai) would be relocatedto modern facilities in Shanghai-Pudong. This shift and redevelopment of services and infrastructure would allowfor the regeneration of Shanghai and development of the new district of Pudong.In relation to the old districts of Shanghai, the development in Pudong is seen by planners as a means torelieve the high density levels of the old districts,102 and to provide a impetuous for the economic and socialregeneration of old Shanghai. Shanghai is therefore seen to have a complementary relationship with Pudong basedon restructuring and decentralizing the old urban centre. Whether this provides a long-lasting impact to thedecentralization of the old neighbourhoods as planners suggest, is questionable due to the increasing situation ofin-migration of workers, especially in the old districts, attracted by Shanghai’s growing prosperity. For developersand investors, Pudong provides available land which is easily developed to fit their responsibility to providehousing for displaced lilong residents.In regard to the lilong dweller, Pudong seems to offer an option for improved housing while at the sametime contributing to the speed of demolition in the old districts and the socio-economic segregation of dwellersfrom the old city. Certainly, the immediacy of pressures to improve housing conditions for lilong dwellers may betemporarily relieved by relocating them to Pudong. However the breakdown of community networks and102 Dehua Li, “New Urban Core For Shanghai.” Shanghai: College of Architecture and Urban Planning,Tongji University, 1991. (Typewritten) p.11.interpersonal relationships, of which litong dwellers depend, coupled with the economic disparities of spatialpolarization in employment, education, transportation, health care, and commercial activities may outweigh theimmediate gain of the Shanghai/Pudong development strategy.8889CHAPTER 6CURRENT HOUSING ALTERNATiVES FOR LILONG DWELLERSIn light of the movement towards a market-oriented system, the alternatives for improved housing remainsvery small for the majority of lilong dwellers as they are precluded by policy, economic circumstance, work unitaffiliation and allocation procedures, to participate in the open housing market. However within the growingmarket system, alternatives are emerging which attempt to address local market needs and the lilong dwellers’objectives to remain in their homes and communities. .These activities and projects range from governmentinitiated and supported experimental projects or pilot projects which upgrade and rehabilitate existing thonghousing, to the small scale ‘land lease’ mixed use projects which are initiated by local Shanghai developers andenterprises, to the dweller initiated upgrading of individual lilong housing. The emergence of these three activitiesprovides important alternatives and choices for lilong dwellers and thus deserves closer examination.6.1 Experimental Projects: Municipal and Internationally InitiatedIn the late 1980’s a variety of small scale experimental or pilot projects were introduced at the municipaland district level to examine alternative approaches to the renewal of older housing areas. The approach wasfundamentally different than the dominant renewal policy which emphasized demolition of old housing stock andthe relocation of its residents. Although each project utilized slightly different approaches, the common objectivewas the systematic upgrading and renovation of older housing combined with the retention of the maximumnumber of original dwellers in the thong units.90Project financing of these early experimental projects was primarily by government sources andinternational donors. The projects involved the selective demolition of dangerous buildings combined withsystematic rehabilitation and renovation of older housing. The design concepts attempted to retain as much of thebuilding exteriors as possible while the interior spaces were substantially rearranged.The goal was to provide self contained units with a kitchen, toilet, and private unit entrance while at thesame time providing additional floor space to families living in minimal conditions. To achieve this, the interiorspaces were totally rearranged and an additional storey was added. Continuity with the surroundingneighbourhood was maintained as the total building heights were not substantially altered due to thecharacteristically high floor to floor dimensions which permitted the addition of a floor without substantial increaseto the overall building height. The completed project therefore retained much of the original lilong lanecharacteristics while upgrading the internal living conditions.Of the pilot projects which have occurred since the late 1980’s the Nanshi District, Lane 252 Penglai RoadProject; and the Jing An District, Futian Terrace Zhang Jia Zhai Project are of special interest as they haveattempted to meet the spatial and living needs of the thong dweller, while at the same time address issues of tenure,project repilcabiity and economic feasibility.6.1.1 Lane 252, Penglai Road: Nanshi District.The Penglai 252 project included the renovation and upgrading of three blocks of lilongs which wereoriginally built in the 1920’s and due to lack of maintenance, overcrowding, and restricted services requiredsignificant renovations. The project consisted of three phases of construction. Phase one included the constructionof block one which began in 1991 and was completed in April 1993 (see fig. 15). The second phase is currentlynearing completion (see fig. 16) and the third phase has just begun (see fig. 17). As with other similar projects thedesign approach included the addition of a third floor, and the conversion of stairwells into usable space for private91Figure 15View of Penglal 252 Rehabilitation Project.Phase 1-Completed.kitchens, toilets and bath facilities. Newly constructed concrete staircases provided access to each self containedunit. As with other rehabilitation projects the exterior of the buildings and lane area have retained their physicalcharacteristics, scale, and details.In the social contract to maintain the maximum number of original inhabitants on the site the first phaseof the Penglai project has been successful Block one originally housed 21 families and after the projectsFigure 16View of Penglal 252 Rehabilitation Project.Phase 2-Nearing Completion.I92completion the number of households increased to 34, an increase of 62%. Of the 21 original families, 19 movedback to the project and 15 new families were added.Figure 17View of Penglai 252 Rehabilitation Project.Phase Three-Under Construction.Table 1Comparison of Various Indicators of Penglai 252 Project-Phase One.Items Pre-Construction Post-ConstructionBuilding Area Sq. M. 890 1506Floor Area Sq. M. 730.6 1089.4Increased%ofFl.Area 67.1Loft Area Sq. M. 78.2 0Loft Area% 8.7 0Number of Households 21 34Number of Residents 91 112Full Facility % 0 100Difficulty Household (<4.0 1 0meters/person)Average Usage AreWPerson 8 13.4Source: The Nanshi District Residential Property Office. Department of Old House Renovation.93In regard to the official goal to achieve increased economic self sufficiency and introduce the three wayparinership the Penglai 252 diverged from its predecessor and adjacent neighbour the Penglai 303 prototypeproject. Penglai 252 rather reflected the shift in national policy towards increased financial responsibility sharedby dwellers and their danwei for public housing. The project required the financial participation and compensationfrom the dweller and their work unit, to offset the substantial government subsidy for project costs. Phase 1 of thetotal cost for development was estimated at 490,000 yuan or 330 yuan/sq. meter, of which the dweller andenterprise contributions totaled approximately 10% of construction costs. It is estimated that dweller and workunit contributions equaled 21,000, and 28,000 yuan respectively. 103This requirement for mandatory financial contributions towards public housing marks a major shift inhousing allocation principals. In the Penglai 252 project housing distribution was based according to the dwellersand enterprise contributions. The cost was determined by two charges; a mandatory base rate of 1,000yuan/household which covered partial renovation costs; plus charges determined by the square meter consumptionof space. Spatial consumption was calculated by the amount of additional space a household requested andreceived which exceeded official allocation standards. The charge for additional space between the original unitsize and the housing authorities prescribed area was 400 yuan/sq. meter. Any space which exceeded the officialallocated prescribed area cost dwellers 2,000 yuan/sq. meter. Such high surcharges were intended as a deterrent toprevent over consumption. A households’ original unit area was charged no extra surcharge. Only additionalspace was included in the spatial calculation.For example the renovation cost for one household was 3,400 yuan.’°4 This was based on the calculationthat the original unit was 16 sq. meters and the new state allocation was 22 sq. meters. If the dweller hadrequested an area larger than the state allowance the cost would have been 2,000 yuan/sq. meter charge for excessspace. The total cost for the renovation was (400 yuan x 6) + 1,000 yuan = 3,400 yuan. The cost was sharedbetween the danwei and the household, where the dweller paid the 1,000 yuan base rate development charge, and103• Interview 22, Nanshi Housing Property, Director of Renovations, Shanghai. 02 June, 1993.l04 Interview 25, Penglai 252, Shanghai. 02 June, 1993.94the work unit paid the remainder. Among the other dwellers interviewed, fluctuations did occur in the total cost ofrenovations and the fmancial commitment of each danwei. Some units paid a high proportion of renovation costs,two thirds or greater, while other enterprises only covered a small proportion of the cost. Such differences have thepotential to create disparities among the dwellers. Charges also varied depending whether the enterprise or thedweller was contributing the majority of the costs. For example the 2,000 yuan/sq. meter rate was often chargedfor any increase of space if the enterprise was to pay for the renovation.Although the long term impacts of the project have not emerged, the Penglai residents have experiencedphysical, economic, and social changes to their established living pattern. Discussions with several residentsprovided a basis for the following observations.Physically, dwellers valued the environmental improvements made to their housing. The self containedunits with kitchen, toilet and private entry were considered the greatest improvement. The majority of dwellerswere satisfied with their increased spatial allotment, however they would have requested additional space if notprohibited by the significant cost. It appeared that dwellers occupied space to the maximum allowable aspermitted under government allocation without exceeding the 400 yuan/sq. meter charge. Additional capital wasinvested in interior upgrading rather than committing lump sum funds for increased space. Under this systemdisparities did exist in the degree and quality of interior finishes among residences. For example, one householdwas able to spend over 10,000 yuan in interior finishes and furniture,105 while another household lived withminimal upgrading.Economically, a number of factors have been identified which affect the dweller’s affordability. They are:(1) personal finance; (2) job position and ranking; (3) number of working residents in the household; (4) wealthof work unit; and (5) proportion of payment by the work unit. When asked about the financial commitmentrequired by each household, the majority of dwellers considered the costs for a newly rehabilitated unit within their105• Interview 28, Penglai 252, Shanghai. 04 June, 1993.95means. However, intervening variables such as the job position, wage, wealth of work unit, number of householdmembers who contributed to the renovation cost, and financial participation by work unit affected their ability tomeet their financial commitment. Under this type of pilot project disadvantaged workers or retired persons mayexperience increased financial hardship and access to improved housing. For example, one retired resident statedthat his renovations were expensive, and without the help of the family and work unit, payments would have beendifficult. However the majority of the dwellers interviewed felt the 1,000 yuan base rate charge was faircompensation for the renovation and was not a significant deterrent.The relationship of tenure, living rights and most importantly a household’s historic ties to the site alsoaffected the dwellers willingness to commit funds and time to the project. Discussions with dwellers revealed thatthere was an eagerness to invest in a project which would upgrade their family unit and the common lane area.This type of upgrading project provided a vehicle for lilong dwellers to remain in their neighbourhoods and exertcontrol over their own housing through financial participation. The relationship of tenure rights associated withthis upgrading project was still somewhat unclear. It was stated that upon payment of the base rate dwellers wereentitled to sign their name to “the contract” however whether such a contract also entitled the dwellers to livingrights and ownership rights was unclear, especially considering the experimental nature of this project.Socially, the important issues for lilong dwellers is whether such experimental projects will succeed inpreserving the complex social and economic networks, while at the same time improving the environmental qualityof living. Certainly such long term causal effects currently depend on speculation, however some short termconditions are already beginning to emerge. First, all dwellers interviewed, especially retired and senior memberscommented on the change in the patterns of their interpersonal relations. Dwellers commented that before therenovation, chats and visiting occurred predominantly in the lane and courtyards of the lilongs; while after theconstruction the majority of social interaction occurred indoors. One senior stated that “my friends come and visitme in my house now not in the lane, but it is not as intimate as before,”106 while another senior said: “my106 Interview 23, Penglai 252, Shanghai. 02 June, 1993.96neighbours and I used to fight for public space and the use of the kitchen, now we can visit and talk at the balconyas friends.”107 It is questionable to what degree this internalizing of social contact will affect personal contact.But what may be observed is the substantial shift in focus, from casual social interaction in the lanes to a moreplanned social contact in the units.A second condition which may affect social interaction is the addition of new families into the lane. Inthis project 15 new families were accommodated into phase one. This constitutes a 71% change to the originalmake up of the site. Such issues as gentrification may potentially become a factor in such projects especially ifwealthier tenants are brought into the project to provide financial stability. However the success of theirintegration will depend on the social service mechanisms such as neighbourhood committees and the developmentof infonnal networks for community participation.The third condition which may affect social interaction, and in turn the success of the project is the degreeto which dwellers are permitted to participate in the housing renewal process. From interviews with residents onWan Thu Jie street it become evident that many dwellers were committed to improve their housing, however noformal channels existed for such activities. The 252 Penglai project attempted to address the issue of dwellerparticipation however the majority of activities were passive in nature. Dwellers were required to fmanciaflyparticipate, while minimal involvement occurred during the design and construction phase. Post projectparticipation included surveys and questionnaires distributed to. dwellers. The opportunity thus may exist toincrease participation which would strengthen social contacts and provide the means for dwellers to assume greaterresponsibility for their housing.From the perspective of replicabiity two criteria emerge. From the dweller’s perspective, replicability andaccess depend on affordability. From the government’s perspective, replicability depends on the projects ease ofimplementation and fiscal perfonnance. The Penglai 252 project has achieved substantial cost reductions through107• Interview 24, Penglai 252, Shanghai. 02 June, 1993.97its renovation and rehabilitation approach. Materials were reused, construction techniques were less complex thanhigh rise construction and as a result less skilled labor was utilized. Overhead costs for relocation andcompensation were also kept at a minimum as the majority of dwellers stayed with relatives or were relocatedwithin the area during the 11 months of construction. This project approach significantly lowered costs.The project costs and low price offered to the original dwellers were also offset by the high proportion ofnew dwellers admitted to the project. Although the actual negotiated price of these renovated units wasunavailable, it maybe concluded that such new residents provided added income to the project. Within this abilityto increase the potential project income, it is important not to forget the social policy objective to maintain amaximum number of the original target group as compared to attaining fiscal replicability.Further factors which increased the success of this project were the (1) good structural condition of thelilong buildings; (2) the low density of the project which permitted the large increase of new dwellers to theproject; (3) special government subsidies; and (4) the specific development guidelines of the site which precludedprojects over three to four stories due to the site’s proximity to a historic site. As a result the land had less landlease potential and was considered for a experimental pilot project. These factors must be considered whenanalyzing the replicability of the Penglai project in other more dense, well situated, and older lilong.Lastly from the perspective of total project costs, the majority of funding still is provided by governmentsubsidies. Even though the Penglai project included mandatory dweller and work unit investment, suchexperimental projects so far are not capable of generating enough funds through subsidies and dweller participationto make them self sustaining. What must be realized is that such factors as, tenure, dweller participation, anddanwei and investor participation, affect the projects fmancing and may be increasingly important to futuresuccesses in renovation projects.986.1.2 Futian Terrace Project, Zhang Jia Zhai: Jing An DistrictIn addition to Peuglai 252, other experimental projects are currently under way such as the Zhang Jia ZhaiProject located in Jing An District. This large scale project combines comprehensive urban planning withdemolition and renovation of old lilong housing. The project also aims to maintain a majority of existing dwellerson the site, while at the same time upgrading significant proportions of old housing. The project plan includes thewidening of Shi Men Er Road, service upgrading, the renewal of terrace housing and multi-story housing, theaddition of new high rises, commercial, and office space, and some restricted industrial use. The plan attempts tomaintain the local characteristics of the traditional neighbourhood with the preservation of slightly less than half ofthe old lilong housing through a similar design concept as Penglai model. What separates this project fromPenglai 252 is the strategic goal to attain maximum fmancial success and meet the goals of commodity exchangein housing. In light of the implementation phasing scheme, Futian Terrace which consists of five rows of lilongwhich totals 60 units is currently under construction with the aid of planning, and technical assistance from theNetherlands who are the joint project coordinators and planners of the project.Table 2Zhang Jia Zhai Project SummeryItems Pre-Construction Post-ConstructionTotal Project Area (hectares) 8.54 8.27Total Floor Space (sq. meters) 115,001 187,535Residential Building. 92,402 127,371Old Li-long 43,911 18,267New Terrace 46,654 39,749Multi-Storey 1,837 34,483High Rise 0 34,872Factory 7,114 2,015Public Building 15,485 58,149Total No. of Households 3,126 2,817Old Terrace 1,788 510New Terrace 1,295 1,035Multi-Storey 43 690High Rise 0 582Building Density 60.8% 52.1%Persons/hectare 1,308 1,216Sq. meters/person 8.28 12.67Source: Zheng-tong Wu. “Report on Housing Renewal Project of Zhang Jia Zhai Neighoourhood inShanghai Jing An District.” Shanghai: Shanghai Housing Science Research Institute, 1988.99Table 3Futian Terrace Project Summery-Phase OneZhang Jia Zhai ProjectItems Pre-Construction Post-ConstructionTotal Floor Area Sg.m. 10,803 14,583No. of Households 334 360Increase of Floor Area 0 3,780Increase % of Floor Area 0 35%Source: Zheng-tong Wu. “Report on Housing Renewal Project of Zhang Jia Zhai Neighbourhood inShanghai Jing An District.” Shanghai: Shanghai Housing Science Research Institute, 1988.The size and comprehensive nature of this project deserves far greater research and is beyond the scope ofthis paper but in regards to lilong dwellers its affects will be significant as it offers the option for original dwellersto access the housing market and purchase title to property living rights for state owned, non-self contained publichousing.The first option to purchase upgraded flats or rent at market cost will be offered to original occupants.Dwellers who do not want to participate in either the rental or purchase scheme or are unable to afford suchprograms will be re-located to housing provided in the periphery of Shanghai. The marketing strategy is complexand affords some options for payment through installments and loan schemes. The price for upgraded units isdivided into a three tiered program of (1) preferential price of 242 yuan/sq. meter, which allows for a 30%reduction in the replacement cost and upgrading cost; (2) expansion price of 592 yuan/sq. meter; (3) andcommodity price determined by the market,108 where each price is determined by the dwellers’ circumstances.The cost must be paid by the dweller and his or her work unit. In this scenario the amount of tenure rights isproportionate to the amount money which a dweller invests. Therefore, the more a dweller contributes financiallythe greater is his or her tenure. As the project was begun in November of 1992 and is still under construction, theimpacts of this new program on lilong dweller’s has yet to occur. It is clear that the link between the dwellersaccess to housing under this program is affordability as related to increasing land and development costs.108• Zheng-tong Wu. “Report on Housing Renewal Project of Zhang Jia Zhai Neighbourhood in Shanghai JingAn District.” (Shanghai: Shanghai Housing Science Research Institute, 1988), p.89.1006.2 Local DevelopersWithin the current surge for large scale land lease transactions there simultaneously exists activities bylocal Shanghainese developers who are investing in the old neighbourhoods by means of small scale site specificprojects. These projects may provide an alternative approach to the dominant renewal projects which have resultedin dweller relocation and demolition of existing neighbourhoods. For the lilong resident, the small scale mixed useproject type may provide increased economic activity and upgrading of services in the area, while causing minimaldisruption and relocation of dwellers.Such a project was observed in the study area of the Xiao Beimen neighbourhood, off Wan Zhu Jei Street.An investor from a local Shanghai agricultural enterprise purchased partial rights for a three story lilong housefrom a private owner. The lilong was demolished and replaced by a three story mixed use building whichcombined office and residential space. The tenants and original owner were re-housed in the new complex as onsite accommodation proved to be less costly than relocation. From the perspective of total project costs, thedevelopment was successful. The investor purchased one third of the land use rights for the building andconstructed it through private funding; while the original owner retained two thirds use of the building and twothirds of land use rights as well as gaining improved living conditions. The construction cost was 100,000 yuanand the building area was 200 sq. meters or 500 yuan/sq. meter for construction cost. For the developer the projectincome was substantial as the sale of the 1/3 rights would net 300,000 yuan in the 1993 market.109 This provideda 200% net increase from the original investment.The emergence and feasibility of these small localized projects depends on several independent variableswhich are characteristic to the old neighbourhoods. First, privately owned lilong are considered preferable forpurchase compared to state owned property, as developers are more able to negotiate cheaper and less restrictivecontracts. Second, lilong which have fewer residents are preferred over dense sites due to the governments109• Interview 30, Off Wan Zhu Jie Street, Shanghai. 04 June, 1993.101commitment to fair compensation and relocation for displaced residents. Third, because of the complexity of siteconsolidation, projects tend to be small in scale.The emergence of the private investor, coupled with the specific local conditions in the old districts mayprovide an alternative in the development of the lilong neighbourhoods. Such projects which are less disruptivemay maintain the existing use pattern and social networks while at the same time providing localized upgrading tothe community.6. 3 Self Help Dweller Initiated UpgradingAmong the options which address the issues of rehabilitation and upgrading of lilong housing, perhapsthe existence of infonnal dweller initiated upgrading is the most prevalent and the least recognized by officialjurisdictions as it exists outside of recognized solutions to improving living conditions. Through interviews withresidents it became evident that self help and dweller initiated upgrading was a common approach toenviromnental problems. Of the dwellers interviewed the majority of households, 60%, had completed or wereinvolved in interior upgrading which varied from small scale decoration such as painting and decorating to largerstructural alterations such as loft spaces, small kitchen additions, sheds and more comprehensive interiordecoration (see appendix 2).This prevalence of upgrading however appeared not to have a strong correlation to the fmancial capabilityof the dweller, but rather related to the dwellers security of living rights, and historic family ties to the thong.Under the present economic reforms, dwellers interviewed were fmancially capable to fund interior upgrading andthe availability of materials and semi skilled labor was accessible due to the current development boom inShanghai. Current municipal and district controls over lilong renovation exerted the greatest control over largescale activities as structural alterations of any kind were prohibited as well as exterior alterations. This highly102institutionalized process has resulted both in the pervasive activity of informal building as well as smaller scaleinterior projects which comply to regulations.The majority of dwellers interviewed were committed to improving their housing however the availablechannels did not acknowledge their capabilities. Furthermore, funds were available to be invested directly into theeconomy without channeling such money through their danwei to access improved housing. Such directinvestment should be considered as an asset and an untapped resource in the improvement of housing conditions.103CHAPTER 7CONCLUSIONS AND RECOMMENDATIONS7.1 Review of Hypotheses and ConclusionsThree hypotheses were articulated at the outset of this paper. The following section will review theseassumptions in reference to the analysis and data collected.The first assumption was that inherent social and economic conditions existed within the communityframework of the lilong neighbourhoods and that these conditions were not only valued by the dwellers but wererelated to their survival in these old inner city neighbourhoods. Throughout the study the analysis and datacollected supported this theory.Despite overcrowded conditions, lilong neighbourhoods have maintained a high level of social stability,community cohesion and economic viability for the dweller. At a household level, security of tenure (linked toboth formal and infonnal housing rights and allocation procedures); fmance and affordability (related to thegovenunent controlled low rent policies, dwellers’ job rank and work unit affiliation); and housing design andimplications on lifestyle (based on the house and neighbourhood layout, duration of occupancy, and ability ofupgrading within a unit) were among the most important factors which were valued by dwellers. At aneighbourhood level, both formal and informal community organizations contributed to the neighbourhoods’ socialstability and community cohesion. Day care, care for the elderly, issues of safety and localized programs whichdirectly responded to the needs of the dwellers were among the most valued services offered by neighbourhoodcommittees. At the informal level, networks of social integration, familial ties, and mutual cooperation respondedto the needs of local dwellers to solve common problems. In relation to the larger city context the integrated104relationship between the dwellers’ residence and work, services, and commercial activities were crucial to thesocial and economic circumstances on which lilong dwellers depend.These community conditions which exist in the old neighbourhoods have taken many years to develop anddepend not only on national policy directives but also on the characteristic qualities of lilong housing in theirdesign, location, and history. Furthermore, these community conditions provide dwellers both economically andsocially with an increased level of security as they function as local ‘safety nets’. When dwellers are relocated toperipheral regions of Shanghai these interpersonal networks and local conditions are significantly altered.The second assumption is that as a result of the shift from a centralized welfare housing delivery system toa market-oriented housing system, lilong dwellers may experience greater disparities in housing access andallocation.Under the centralized system, housing policy is considered a welfare right and is affordable to all lilongdwellers due to the low rent structure. However standardized policies under the centralized housing system areunable to consider the diverse factors which affect housing needs of the inner city neighbourhood. Disparitieswhich lilong residents experienced under a centralized housing system are related and controlled at an institutionallevel and are intensified by the physical, local, and historic circumstances of the neighbourhoods and dwellers. Aslilong dwellers occupy government owned public housing they often face a dual burden to comply with officialhousing authority standards, as well as aflocation procedures determined by their work unit. Spatial requirements,existing housing conditions, and housing need, comprise only a small component of the enterprises allocationprocedure. Such processes directly affect housing access and allocation for lilong dwellers as they do not addresshousing need or their localized conditions. For the lilong dwellers this has important implications as they livewithin a complex tenure structure and unique physical conditions.105Collected data based on dwellers interviews and local surveys suggest that the introduction of the market-oriented system through the housing reform programs and commodification may cause even greater disparities inhousing access and allocation to lilong dwellers.For the wealthy Shanghai resident or employee of a wealthy enterprise, housing reforms offer increasedchoice in housing and the opportunity to purchase housing rights. For many lilong dwellers housing reforms donot provide the same opportunities due to: (1) economic position (lilong dwellers are able to afford current rentincreases under the housing reform policies, but are fmanciaily unable to enter into the housing market); (2) theirinability to purchase their own units though privatization (local government directives currently do not offer anyprograms for dwellers to gain lilong ownership and housing rights through privatization); (3) inability to upgradeor rehabilitate their units (lilong dwellers are legally restricted to the degree of dweller initiated upgrading andhome improvements); (4) The Provident Fund (although somewhat early to judge, alternatives will provide lilongdwellers to enter the housing market so long as controls and modifications are introduced to meet dweller needs);(5) Favorable Treatment programs (many lilong dwellers due to their fmancial circumstances are precluded fromtaking advantage of the program); and (6) location and physical characteristics (because lilong housing is locatedwithin the central core of Shanghai and is of significant age and inferior condition, it is valued for its developmentpotential and conunodity value under the land lease program).As a result of the shift towards the market-oriented system and commercialization of housing, many lilongdwellers may face increased disparities in housing access and fewer opportunities to improve their housingconditions in situ. Opportunities for better housing rather exist at the peripheries of Shanghai. A number offactors have been identified as contributing to their exclusion from the housing market. These include: theinability of programs to address the financial capabilities and special conditions of lilong dwellers, and the growingreliance on market factors to supply housing and solve inner city housing problems.The third assumption follows that to address the housing needs of lilong dwellers and provide a climatewhich will encourage the preservation of inner city housing stock, current housing policies require modifications.1067.2 ISSUES AND RECOMMENDATIONSThroughout this investigation it has been suggested that lilong dwellers are facing significant changes intheir neighborhoods and their own access to better housing due to the shift towards market socialism and theintroduction of housing reforms. To the majority of lilong dwellers, the old neighbourhoods have retainedimportant qualities of ‘community’ manifested in local cohesion, safety, neighbourliness, security, and mutualcooperation. However these values and conditions are being challenged by the introduction of national housingpolicies which view housing as a pure ‘commodity’. The old neighbourhoods where the majority of lilong housingis located is increasingly valued for its economic land lease potential. Lilong dwellers may experience increasingpressures to be relocated and increased disparity to access and purchase housing rights in situ as existing housingpolices do not consider local housing characteristics and needs. It maybe suggested that many lilong dwellers willincreasingly experience housing disparities and social and physical segregation as Shanghai accelerates its marketeconomy.To address the local needs of lilong dwellers a policy must be developed which considers both thecommunity and commodity value of inner city housing and neighbourhoods. Housing can neither be considered byits pure commodity or community values, and no single policy is suitable for all Shanghai residents. Thereforehousing policies must be refmed to accommodate the different economic, social and physical living conditions ofdwellers in the city. To create an inclusive housing policy community values held by lilong dwellers and thecommodity issues of national and municipal policy directives must be considered together. A number ofrecommendations may be suggested from the data collected and project analysis. They are as follows:1. The municipal government must acknowledge the inherent values of the old neighbourhoods and lilonghousing both in regards to dwellers’ needs but also in respect to larger city issues which benefit from anintegrated land use plan that includes housing, services, commerce, industry and social integration of variedeconomic groups. Furthermore the cultural and architectural importance of lilong housing must be considered107in its wider context as a value to Shanghai. Such architectural examples should be viewed as an asset to thedevelopment of Shanghai as the cultural and economic center of the East.2. Land lease as the dominant process of large scale redevelopment in the inner city must be combined withcomprehensive planning and design guidelines to direct development in a balanced manner which considersrenewal of the old areas with rehabilitation programs. To address the diverse development opportunities andthe needs of the lilong communities other development opportunities should be considered. For example,small scale mixed use projects.which are less disruptive to lilong neighbourhoods should be considered.3. In respect to lilong dwellers, programs should be developed which address their housing needs and availableresources. They should not be segregated by their circumstances from participating in the new directions ofcommodity housing. Specific policies should be considered which allow dwellers to participate in housingownership and upgrading in situ. Privatization of public rental lilong housing may provide an alternativeapproach for dwellers to enter into the housing market and at the same time remain in the lilong community.Dweller initiated upgrading may also be considered as an alternative to government controlled maintenanceand upgrading. Such dweller funded projects can take advantage of a previously untapped economic resourceswhere investments will be diverted into government housing funds or the general economy without beingchanneled through the work unit. Authorities may want to address the issue of living and building rights forthose lilong dwellers who invest and maintain or upgrade their unit.4. With the rapid movement towards commodification in housing and the shift from the welfare approach tohousing allocation, programs are required which address dwellers who are excluded from the commodityhousing or unable to meet increased rent. ‘Safety net’ policies such as housing vouchers must be maintainedfor those dwellers who are increasingly marginalized as a result of the movement towards the market economyand commodity housing.5. Universal standards in housing design and services should be reconsidered in regard to the diverse conditionsand densities of lilong housing. Whereas the Penglai project provides an ideal model, lilong with higherdensities may not support such significant interior alternations. Smaller scaled intermediate alternatives maybe considered appropriate which improve the basic housing conditions of dwellers. For example, in the108Netherlands much of the urban 17th. and 18th. century row housing was upgraded in the late 19th. and 20th.century with the addition of one toilet and lavatory located on each floor which was shared by many families.6. Infrastructure upgrading and service additions should be the primary target for many older lilong areas asopposed to full scale rehabilitation. Once infrastructure and services are provided dwellers may increasinglybe able to solve some of their own housing problems.7. In regard to the institutional aspects of administration and management of lilong housing, District HousingManagement Bureaus should be maintained as land rights will continue to be owned and controlled undergovernment powers. However, if living and building rights increasingly are sold to lilong dwellers throughthe program of privatization, a new type of institution or agency may be required to provide services to meetthe new needs of the lilong dwellers. To correspond with the movement towards privatization and theindividual meeting, maintaining, and upgrading his or her housing requirements, non profit housingassociations may provide the link between the dweller, the lilong housing and the official housing bureaus.Such agencies may provide services to help dwellers within the lilong to rehabilitate the unit, accesscontractors and builders, provide liaisons with the official jurisdictions, develop and coordinate maintenanceservices, cooperate in community upgrading, etc. These non profit agencies may be introduced at theneighbourhood level, and will work closely with the existing framework of the neighbourhood conunittees toaid dwellers in their housing needs. Such organizations may also help to revitalize the neighbourhoodcommittees, and meet the changing needs of the new generation of Shanghainese who live increasingly in theera of market housing and housing reforms.8. Improving lilong housing conditions in the inner city is an enormous task of huge expense and tremendousscale. No one program or player can solve these problems. As a result, all groups, government, developers,enterprises, and dwellers must be considered for their potential contributions. Diverse programs should beconsidered and developed to conform to the directions of the socialist market economy, housing reforms, localconditions of the old neighbourhoods, and lilong dwellers’ needs.109BIBLIOGRAPHYBooks and Articles in EnglishBao, Guilan. “Socio-and Psychological Analysis of the Inhabitants in Shanghai.” In The Research on HumanSettlements in Shanghai, pp. 57-73 Edited by Zheng Shiling. 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London: Harper Collins Publishers, 1986.China News Analysis. “The Two Job Holders.” China News Analysis 1480 (March, 1993): 1-8.China News Analysis. “Housing Reform: What is New?” China News Analysis 1432 (April 1, 1991): 1-9.“China Sees Key to Future In New ‘Market - Leninism.” New York Times, 6 September 1993, sec. A ,p.l-2.Chu, David and Kwok, R. Yin-Wang. “China.” In International Handbook of Housing Policies and Practices, ed.Willem van Vliet. New York: Greenwood Press, 1990.Ellis, William S. “Shanghai: Where China’s Past and Future Meet.” National Geographic Magazine 185 No.3(March, 1994): 2-35.Dowall, David B. “Establishing a Land Market in Shanghai: A Discussion Paper.” Working Paper 529,University of California at Berkeley, Institute of Urban and Regional Development, 1991.Dowall, David B. “Urban Residential Redevelopment in the People’s Republic of China.” Working Paper 591,Berkeley: University of California Berkeley, Institute of Urban and Regional Development, 1992.Fong, Peter K.W. “The Commercialization of Housing in a Socialist State: An Attempt to Solve China’s UrbanHousing Problem.” Working Paper 32, University of Hong Kong, Centre of Urban Studies and UrbanPlanning, 1988.Fong, Peter K.W. “Housing Reforms in China.” Habitat International 13 (Number 4, 1989): 29-41.Goh, Lee B. “Planning That Works: Housing Policy and Economic Development in Singapore.” Journal ofPlanning. Education and Research 7 (Number 3, 1988): 147-162.110Goldstein, Alice; Goldstein, Sidney; and Guo, Shenyang. “Temporary Migrants in Shanghai Households, 1984.”Demography 28 (No.2, May, 1991): 275-292.Han, Baocheng. “Shanghai Takes on a New Look.” Beijing Review (Feb. 29-March 6, 1988): 18-24.Holmes, Roy, and Garnett, David. “Sustainable Housing Renewal- Towards a Model.” Paper presented at theSino - British Symposium, Fudan University, Shanghai, 7 - 10 June 1993.Hu, Qingqing. “A Study of Economic Appraisal of the Old City Proper Renovation.” In The Research on theHuman Settlements in Shanghai, pp. 186-223. Edited by Zheng Shiling. Shanghai: Tongji UniversityPress, 1993.Huang, Fu-Xiang. “Planning in Shanghai.” Habitat International 15 (Number 3): 87-98.Jacobs, Jane. The Death and Life of Great American Cities. New York: Random House, 1961.Kaltenbrunner, Robert. “Shanghai’s Architectural Heritage: Housing Developments of the 1920s and 1930s.”Ekistics 346 (January/February 1991): 87-96.Kim, Joochul. “China’s Current Housing Issues and Policies.” Journal of the American Planning Association 53(Spring, 1987): 220-226.Kirkby, Richard. “China.” In Housing Policies in the Socialist Thfrd World, ed. Kosta Mathey. Munchen: ProfilVerlag, 1990.Kirkby, Richard. Urbanization in China: Town and Country in a Developing Country. New York: ColumbiaUniversity Press, 1985.Laquian, Aprodicio. Basic Housing: Policies for Urban Sites, Services, and Shelter in Developing Countries.Ottawa: International Development Research Centre, 1983.Leaf, Michael. “Inner City Redevelopment in China: Implementation of the Newest Phase of HousingDevelopment for the City of Beijing.” Paper presented at the 35th. Annual Meeting of the Association ofCollegiate Schools of Planning, Philadelphia, 1993.Leung, Joe. “The Community-Based Welfare System in China.” Community Development Journal 25 (Number 3,1990): 195-205.Li, Dehua. “Li-Long Houses in Shanghai.” Shanghai: College of Architecture and Urban Planning, TongjiUniversity, n.d. (Typewritten.)Li, Dehua. “New Urban Core For Shanghai.” Shanghai: College of Architecture and Urban Planning, TongjiUniversity, 1991. (Typewritten.)Li, Lulu; Yang, Xiao; and Wang, Feng Yu. “The Structure of Social Stratification and the Modernization Processin Contemporary China.” International Sociology 6 (No. 1, March, 1991): 25-36.Lin, Nan and Bian, Yanjie. “Getting Ahead in Urban China.” American Journal of Sociology 97 (No. 3,November, 1991): 657-688.Lin, Zhiqun. “A Review of Housing Construction in China’s Coastal Cities.” China City Planning Review 7 (No.4, December, 1991): 27-32.111Liii, Zhiqun. “Development of Human Settlements in China in 1980’s.” China City Planning Review 8 (Number2, June 1992): 14-3 1.Liu, Jianjun. “The Privatization of Urban Housing.” Beijing Review 31 (No. 46, Nov. 14-20, 1988): 18-22.Luo, Xiaowei. “Housing and Housing Design in Shanghai.” n.d. (Typewritten): 1-12.Ma, Wenjun. “Chinese Urban Planning in the Process of Moving towards a Market Economy: The Role of UrbanPlanning in Urban Land Development.” Graduate Student, Tongji University. Paper presented at theSino - British Symposium, Fudan University, Shanghai, 7- 10 June 1993.McCallum, Douglas. “Renewal of Older Housing Areas in Shanghai.” China City Planning Review 9 (Number 2,June 1993): 13-20.Mok, Bong-ho. “Grassroots Organizing in China: The Residents’ Committee as a Linking Mechanism Betweenthe Bureaucracy and the Community.” Community Development Journal 23 (Number 3, 1988): 165-169.Nan, Shi. “Housing System Reform is Steaming Ahead in China.” China City Planning Review 8 (September,1992): 15-19.Peattie, Lisa. “Realistic Planning and Qualitative Research.” Habitat International 7 (Number 5/6, 1983): 227-234.Peattie, Lisa. “Some Second Thoughts on Sites and Services.” Habitat International 6 (Number 1/2, 1982): 131-139.Pott, F. L. Hawks. A Short History of Shanghai. Shanghai: Kelly and Walsh Limited, MCMXXVIII.“The Riddle of China: Repression While Living Standards Soar.” New York Times, 7 September 1993, sec. A, p.6.“Shanghai Commercial Property Market Seen as Most Promising.” Knight-Ridder, 24 August 1993.Sheng, Xuewen Stockman, Norman; and Bonney, Norman. “The Dual Burden: East and West Women’sWorking Lives in China, Japan an Great Britain.” International Sociology 7 (No.2, June, 1992): 209-223.Steinberg, Florian. “Evolutionary and Participatory Housing In China.” Rotterdam: Institute for Housing Studies:1-52.“Tianjin Aims to Lease Huge Area to Foreigners.” Renter, 25 August 1993.Turner, John F. C., and Fichter, Robert. Freedom to Build: Dweller Control of the Housing Process. New York:Macmillan Company, 1972.Wang, Bowei. “The Conversion of the Residential Buildings in the Old City Proper of Shanghai and Its Policies.”In The Research on Human Settlements in Shanghai, pp. 159-185. Edited by Zheng Shiling. Shanghai:Tongji University Press, 1993.Wei, Cui. “A Preliminary Summery of the Experiment on Housing Cooperative in China’s Cities and Towns.”China City Planning Review 7 (September, 1991): 49-55.Wu, Fumun. “Shanghai’s Development Plan for the 1990’s.” Beijing Review 34 (No. 24, June 17-23, 199 1):20-21.112Wu, Liangyong. “The Mega-Cities in China: Development, Problems and Prospect.” China City PlanningReview 8 No. 2 (June 1992): 3-13.Wu, Zheng-tong. Report on Housing Renewal Project of Zhang Jia Zhai Neighbourhood in Shanghai Jing AnDistrict. Shanghai: Shanghai Housing Science Research Institute, 1988.Wu, Zheng-tong. “Research on Solving the Poor Living Condition Households Problem in Shanghai.” Shanghai:Shanghai Housing Management Science and Technology Research Institute, 1987.Yang, Guigung. “The Psychological Status and Value Choice Inclination of Residents in the Old City District.”China City Planning Review 8 (September, 1992): 19-28.Yu, Liao. “Shanghai Real Estate Industry Flourishes.” Beijing Review 36 No. 35 (Aug. 30-Sept. 5, 1993): 17-18.Yu, Minfei. “A Puzzle in the Renovation of the Old Residential Areas in Shanghai.” In The Research on HumanSettlements in Shanghai, pp. 146-158. Edited by Zheng Shiling. Shanghai: Tongji University Press,1993.Xie, Yichun, and Costa, Frank J. “Urban Planning in Socialist China: Theory and Practice.” Cities (May, 1993):103-114.Zhang, Jianmin. “An Anatomy of the Spatial Environment of Shikumen Housings in Shanghai.” In ThResearch on Human Settlements in Shanghai, pp. 101-126. Edited by Zheng Shiluug. Shanghai: TongjiUniversity Press, 1993.Zhang, Tingwei. “Housing Policy Under A Planned Economy: Towards An Alternative Housing Policy in China.”Ph.D. dissertation, University of Chicago, 1992.Zhao, Miii. “Understanding the Metropolitan Shanghai.” In The Research on Human Settlements in Shanghai,pp. 32-56. Edited by Zheng Shiling. Shanghai: Tongji University Press, 1993.Zheng, Shiling. “The Housing Problem in Shanghai and Their Prospects.” In The Research on HumanSettlements in Shanghai, pp. 11-31. Edited by Zheng Shiling. Shanghai: Tongji University Press, 1993.Zhi, Wenjun. “Housing and Its Development in Shanghai.” In The Research on Human Settlements in Shanghai,pp. 81-100. Edited by Zheng Shilung. Shanghai: Tongji University Press, 1993.Thou, Ganzhi. “Policy Framework for the Development of Real Estate and the Real Estate Industry in China.”China City Planning Review 9 (Number 1, March 1993): 2-16.Thu, Xijin. “Opportunity of Renewal of Old City - The Authorized Land Lease in Shanghai and Its CoincidenceWith the Target of Renewal of the Old Residential District.” In The Research on Human Settlements inShanghai. pp. 224-238. Edited by Zheng Shiling. Shanghai: Tongji University Press, 1993.113Books and Articles in ChineseChina Times Weekly. “House Market in Shanghai Turns to Local Market.” China Times Weekly 93 (October 10-16, 1993): 59-60.On, Yun Chang. “The Redevelopment of Old Neighbourhoods and the Management of Real Estate.” n.d.The Housing Management Bureau of Nanshi District. The Implementation of Old Housing Reconstruction Policiesin the 252 Program Penglai. Nanshi District. Shanghai: The Housing Management Bureau of NanshiDistrict, n.d.The Housing Reform Office. Reform of the Housing System of Shanghai. Shanghai: Shanghai PublishingCompany, 1992.Lu, Jia. “Shanghai: Hidden Danger in the Future.” China Times Weekly 88 (Sept. 5-11, 1993): 8-10.Lu, Xu Chang. “Study of Housing Redevelopment Policy in Urban Old Residential Area.” Masters Thesis,Shanghai: Tongji University, 1991.Shanghai Institute of Housing. The Research Renort for the Project 303 Penglai Road: Improving LivingConditions of Old Style Lilong Housing in Shanghai. Shanghai: Shanghai Institute of Housing, n.d.Shanghai Tongjiju [Shanghai Statistical Bureau]. Shanghai Tongji Nianjian 1992 [Shanghai StatisticalYearbook 19921. Shanghai: Shanghai Tongji Chubnashe [Shanghai Statistical Publishing Co.], 1992.Wang, Shao Zhou, and Chen, Zhi Miii. Lilong Architecture. Shanghai: Shanghai Science and TechnologyPublishing, 1986.Wu, Pao Zhang. ed., “The Comprehensive Report of Current Trends of Shanghai’s Real Estate and its FutureDevelopment.” Shanghai Real Estate 78 (Number 1, 1993): 5-13.Wu, Pao Zhang. ed., “Multiple Ways, Approaches and Types: Progress of the Reconstruction of the OldNeighbourhoods.” Shanghai Real Estate 78 (Number 1, 1993): 32-35.Yi, Xing. “Beijing Will Take Special Care of Shanghai.” China Times Weekly 88 (Sept. 5-11, 1993): 10-12.Yuan, Yi sha; Zhu, Xing; Chou, Wen hen; and Zhang Wi li. The Regulations of how to Maintain Shanghai as aHistoric Cultural City: The Regulations on Old Neighbourhoods in City Centre. Shanghai: LandManagement Office of Nanshi District, n.j114APPENDIX 1LIST OF INFORMANTS, INTERVIEW DATE, OCCUPATION, HOUSING TYPE & LOCATIONInterview Number Interview Occupation Housing LocationDate TypeInterview 1 30/04/1993 dweller-retired Liong Wan Zhu Jei StreetInterview 2 01/05/1993 dweller-teacher High Rise Long Hua West StreetInterview 3 03/05/1993 Professor n/a Tongji UniversityInterview 4 03/05/1993 dweller-worker Lilong Wan Zhu Jei StreetInterview 5 03/05/1993 Xiao Beimen Buildings n/a Nanshi DistrictManagement Office-Vice DirectorInterview 6 04/05/1993 Neighbourhood Committee Lilong Da JingInterview 7 04/05/1993 dweller-retired Liong Quing Lian StreetInterview 8 04/05/1 993 dweller-retired Liong Quing Lian StreetInterview 9 04/05/1993 dweller-retired Lilong Quing Lian StreetInterview 10 05/05/1993 Neighbourhood Committee Lilong Mao Ming Bei StreetInterview 11 05/05/1 993 dweller-businessman Lilong Mao Ming Bei StreetInterview 12 1 1/05/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 13 12/05/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 14 12/05/1993 dweller-worker Liong Wan Zhu Jie StreetInterview 15 12/05/1993 dweller-worker Liong Wan Zhu Jie StreetInterview 16 14/05/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 17 14/05/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 18 14/05/1993 daycare-worker Lilong Wan Zhu Jie StreetInterview 19 14/05/1993 Housing Specialist n/a Tongji UniversityInterview 20 20/05/1 993 dweller-worker Liong Wan Zhu Jie StreetInterview 21 20/05/1993 Neighbourhood Committee Lilong Wan Zhu Jie StreetInterview 22 02/06/1993 Nanshi Property n/a Nanshi DistrictManagement-Director ofRenovationInterview 23 02/06/1993 Architect n/a 252 PenglaiInterview 24 02/06/1993 dweller-worker Lilong 252 PenglaiInterview 25 02/06/1 993 dweller-worker Lilong 252 PenglaiInterview 26 03/06/1 993 Professor n/a Tongji UniversityInterview 27 03/06/1993 Professor n/a Tongji UniversityInterview 28 04/06/1993 dweller-retired Liong 252 PenglaiInterview 29 04/06/1993 Xiao Beimen Building n/a Nanshi DistrictManagement Office-Vice DirectorInterview 30 04/06/1993 dweller-developer Lilong Off Wan Zhu JieInterview 31 06/06/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 32 06/06/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 33 06/06/1993 dweller-worker Liong Wan Zhu Jie StreetInterview 34 06/06/1993 dweller-worker Lilong Wan Zhu Jie StreetInterview 35 08/06/1993 Professor n/a Tongji UniversityInterview 36 08/06/1993 Urban Planner n/a n/aInterview 37 16/06/1993 Professor n/a Tongji UniversityInterview 38 18/06/1 993 Shanghai Housing Authority n/a n/aPolicies and RegulationsInterview 39 22/06/1 993 Shanghai Housing Coop. n/a n/aInterview 40 22/06/1993 Professor n/a Tongji UniversityInterview 41 23/06/1993 Urban Planner n/a n/aInterview 42 27/06/1993 dweller-professional Mid-Rise PudongApartmentInterview 43 27/06/1993 1. dweller-retired Mid-Rise Pudong2. dweller-worker ApartmentInterview 44 28/06/1 993 dweller-worker Lilong Gong Yi Fang StreetInterview 45 28/06/1993 dweller-retired Liong Gong Yi Fang StreetInterview 46 29/06/1993 Property Admin. Department- n/a n/aChief EconomistInterview 47 30/06/1993 Residential Construction- n/a n/aSection ChiefInterview 48 01/07/1 993 Professor n/a Tongji University115* I IIHIFPPPWPIHIHII11.1.U111•m•u..L)!j‘‘-I-ZLii...‘-oo-ao‘D00-I**o<E4l1h•pf.ia...ii.Ip‘b‘‘i‘t’‘‘‘.............LtLiiLLit.)tJLLitLit.)E•.00L.r00CLitLiic‘.C©CLiioI—Lii->44>4>4>4>4>4>4>4>4>4I 0H H OcIIWIIIHF1111111111!11GO-__.PCPCopyip-aj-o‘0—i——CCI-0.•J•Lli••CCCCCCLILlCJi(DCQI-0CC‘‘o 11€a’a’I I

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