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Underground Space xxx (xxxx) xxx
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Systems approaches to urban underground space planning

and management – A review
Loretta von der Tann a, Raymond Sterling b, Yingxin Zhou c, Nicole Metje d
a
Department of Civil, Environmental and Geomatic Engineering, University College London, UK
b
Civil Engineering, Louisiana Tech University (Emeritus), United States
c
Defence Science and Technology Agency, 1 Depot Road, Singapore 109679, Singapore
d
Department of Civil Engineering, School of Engineering, University of Birmingham, UK

Received 13 July 2018; accepted 19 March 2019

Abstract

The necessity to recognize the subsurface or underground and all its current and potential uses as part of our urban environment, to
integrate this into urban planning and governance, and to foster conscious allocation of subsurface space has been increasingly recog-
nized over the last century. At the same time, systems thinking as a ‘buzz-word’ has gained relevance for approaching complex problem
areas in all kinds of disciplines including those preoccupied with the subsurface.
This paper reviews the literature about urban underground planning through a systems-lens. To set this in context, it is outlined how
organizational principles for the urban subsurface have evolved, and the main aspects of systems thinking are introduced followed by a
discussion of how this thinking could be applied to the urban underground. Strategies and tools presented in the recent literature in the
field are then reviewed based on this perspective, asking how systemic the proposed strategies and tools are when the local geology, as well
as legal and institutional settings are accepted as a baseline for analysis or intervention. Systemic approaches built on this premise have the
potential to capture existing and evolving complexities, foster a better understanding of the value of subsurface space for a city and ulti-
mately enable an efficient and fair allocation of underground space. However, propositions for holistic solutions remain dispersed, inter-
ventions often remain based in an engineering mindset, and a shift in mind-set remains a challenge. More research in collaboration with
local and regional administrations or authorities based on systems thinking frameworks could help to facilitate this shift.
Ó 2019 Tongji University and Tongji University Press. Production and hosting by Elsevier B.V. on behalf of Owner. This is an open access article
under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).

Keywords: Systems thinking; Urban underground space; Underground space governance; Subsurface planning and management

1 Introduction tory and economy of a specific city or urban area. The geol-
ogy sets conditions for the construction of buildings and
The subsurface or underground1 is part of our urban infrastructure, predetermines prospects of future subsur-
environment. Infrastructures, water, developments, natural face utilization (Hunt et al., 2016) and human interven-
and man-made cavities – all these are connected to the his- tions, in particular in the deep subsurface, can change
these conditions permanently and irreversibly (Rogers
et al., 2012).
1
The terms subsurface, subsurface space, underground and underground On the one hand, the subsurface is omnipresent in cur-
space are here used interchangeably. Some authors use subsurface space or rent policy debates. Subjects like flood prevention, renew-
underground space to describe the space that is man-made, others would
able energy, infrastructure, and housing all imply a claim
include all human uses of the subsurface into this term. As a discussion of
terminology is not the focus of this paper, here all terms are used and a on using or protecting subsurface space (von der Tann,
differentiation is left to the reader. Metje, Admiraal, & Collins, 2018). On the other hand, each

https://doi.org/10.1016/j.undsp.2019.03.003
2467-9674/Ó 2019 Tongji University and Tongji University Press. Production and hosting by Elsevier B.V. on behalf of Owner.
This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
2 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

function or service occupying subsurface space is governed could entail, have been increasingly addressed, mainly by
separately and on a project-by-project basis (Duffaut and tunneling and geotechnical engineers but more recently
Labbé 1992), with some even not being regulated at all. also by geologists, urban planners and lawyers (e.g.
Internationally, regulation for shallow geothermal energy Admiraal and Cornaro, 2016; Bobylev, 2009; de Mulder
for example is scarce (Haehnlein et al., 2010). The integra- et al., 2012; Delmastro et al., 2016; Hunt et al., 2016;
tion of the complexity of specific projects with the aim to National Research Council, 2013; Parker, 2004; Price
gain an overarching understanding of the role of the sub- et al., 2016; Reynolds and Reynolds, 2015; Sandberg,
surface for urban development and to develop strategies 2003). The development of urban geology as an indepen-
that ensure its sustainable use remains a major challenge: dent discipline since the mid-eighties (de Mulder, 1996), a
engineers still mainly act in project design and implementa- growing number of research projects in the area,2 and cur-
tion and may not be consulted earlier in the process of pro- rent political efforts in a range of countries further stress
ject development. The engineering of the projects is often the need to better understand the role of the subsurface
highly complex in itself and needs the engineers’ full com- with all its facets for the development of an urban area
mitment. For the management of these projects, holistic and its relationship with environmental change. The risks
approaches such as systems engineering (see for example and opportunities of utilizing the subsurface for different
Ziv, 2018), gain more importance, but the long-term influ- functions need to be considered in terms of this
ence of these projects on cities is still poorly understood. background.
Other effects such as the environmental impacts or conse- This review paper will first present a brief overview of
quences of physical interventions on future planning needs the history of underground utilization connected to urban
and opportunities remain somewhat disregarded (Suri and settlements and summarize seminal papers in the field.
Admiraal, 2015) and thus have to be dealt with when they Background on earlier planning suggestions and discus-
appear. One example for this is the extensive pumping of sions is provided here covering the period up to the end
groundwater for industrial purposes, to dewater mines or of the 20th century. System approaches are introduced as
to reclaim land, that leads to an overall lowering of the approaches to design, observe or analyse, and consequently
groundwater table. Today, as the industry has moved out steer systems that shift the focus of analysis and under-
of the cities and a lot of former mines are closed, ground- standing of the world around us from constituent technical
water tables are tending to rise since continued pumping of and controllable parts to interrelations and dependencies,
the groundwater is not sustainable. This in turn can cause processes and changes over time as well as the role of
all kinds of problems that have to be actively managed human actors and society for the development and contin-
(Dean and Sholley, 2006). The result of the lack of fore- uous renewal of sustainable technical solutions. Current
sight with regard to wider and long-term effects of under- research into the urban underground and its role as a com-
ground use, is urban underground space being described plex system or cluster of systems supporting the overall city
as a chaotic, unregulated space, the use of which is follow- is reviewed and it is reflected about how the proposed
ing a first come first served rule (Duffaut and Labbé, 1992; approaches for subsurface management and planning con-
Bobylev, 2009). tribute to a more systemic understanding of the complexity
The situation is even more complex in large old cities in of the human-technical-environmental system urban under-
which the current use structure of the underground has ground space. The paper is concluded with a discussion of
developed over the last centuries in a piecemeal manner current developments in Singapore and the Netherlands
(Rogers et al., 2012) leading to increasingly complicated as two examples of how these challenges are approached
underground constructions and constrained conditions on public policy level.
for access to deeper levels (Rogers, 2009). Understanding
of the interdependencies of subsurface utilisation and
above ground urban life as well as the information about 2 Background
the subsurface are limited and cities with a coherent plan-
ning strategy for subsurface assets and functions remain 2.1 Evolution of underground space uses and needs
few (Sterling et al., 2012; Price et al., 2016).
More systematic approaches to planning or manage- Uses of underground space in urban areas developed
ment of the urban underground have been claimed repeat- gradually over time and many of the problems facing better
edly for some time alongside a more general progression planning of a city’s subsurface today stem from the lack of
towards description and analysis of cities as systems (e.g. planning of prior underground uses or foresight with
Moffat and Kohler, 2008). The Franco-Armenian architect
2
Utudjian already in 1933 founded the Group of Studies For example the Deep City Project (Parriaux et al., 2007), Smart City
and Coordination of Underground Urbanism (GECUS) Projects at the University of Cambridge (University of Cambridge, 2017),
COST Sub-Urban (http://sub-urban.squarespace.com/), Integrated spa-
(Heim de Balsac, 1985). Since then, the relevance of the
tial planning, land use and soil management research action (http://www.
subsurface for urban development in general and for urban inspiration-h2020.eu/), Mapping and Assessing the Underworld (Univer-
sustainability in particular as well as the potential benefits a sity of Birmingham 2005–2018, http://www.mappingtheunderworld.ac.
more conscious approach to managing the subsurface uk/, http://www.assessingtheunderworld.org/.

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 3

regard to their wider implications (Admiraal and Cornaro, 2.2 Evolution of organizational principles for urban
2018). Over the last centuries, the use of underground space underground space use
in urban areas typically was not planned in an active man-
ner but the space was rather used reactively with cities The use of underground space as described above has
responding to pressing problems or the development of always been a mix between uses that arose from the geolog-
new technologies. Table 1 provides a brief summary of ical location of the city and uses that developed as a reac-
the way in which specific and limited early uses of the tion to the development of the settlement as such and the
underground have evolved into the geometrically complex corresponding needs for infrastructure, protection or simi-
arrangements in the subsurface of major urban areas lar. Historically, settlements and cities have emerged in
today. No specific dates are given for the different periods specific locations for a myriad of reasons to do amongst
because this evolution is not linear and is still ongoing and others with transportation routes, water availability, agri-
there can be significant overlap among the categories. Dif- culture, or proximity of building materials. When did cities
ferent elements of underground use have appeared at differ- start to identify the potential and manage their under-
ent times in different parts of the world and a ground zones as an important city resource? What guid-
comprehensive list of urban underground structures and ance and tools have been developed to do this?
systems embedded in the subsurface that are made or uti- While water and transportation tunnels were a part of
lized by humans in the increasingly urbanised world would Greek and Roman cities, the first recorded city planning
go beyond the scope of this paper. The intent rather is to concept involving underground space use known to the
show how urban areas have gradually used more and more authors is the concept developed by Leonardo da Vinci
underground space but only recently are realizing that it in 1488 (Universal Leonardo, 2018). His ideal city would
must be planned and managed as the complex system it have featured lower and upper areas – the lower being
has become. This applies in particular to but is not limited canals for trade and sewage removal and the upper being
to dense cities where an increasing number of engineered the living space for the elite with the goal Only let that
structures – developments and transport systems – form a which is good looking be seen on the surface of the city
material part of the cities’ built environment and identity. (Davinci Inventions, 2008). In addition, pumps connecting

Table 1
Evolution of underground space uses and needs.
Generalized time Typical uses of underground space Potential issues and needs for planning Example(s); Reference(s)
frame
Earliest uses. Early humans appear to have identified Unknown but structural stability of the Misliya Cave, Israel, (177 000 to
advantageous natural geologic features cave, potential for flooding, and perhaps 194 000 years ago)
for shelter and protection (e.g. in natural the possibility to displace any existing Hershkovitz et al. (2018).
caves). occupants are likely to have been key
selection parameters.
Human settlements Shelters and storage created in suitable The development and use of tools to Lascaux Caves
form and grow; rock layers (e.g. Cappadocia or Tunisia) excavate soil and rock allowed the (since 20 000 years ago); Banpo Site,
underground or in semi-underground pit dwellings in recovery of useful minerals (e.g. flint, salt) China (6 000 years ago); China’s
space uses soil (e.g. Banpo site, China). Climate and the possibility to excavate shelter Museums (n.d.)
diversify. protection and defensive characteristics spaces. Usage must have involved Kaymakli, Cappadocia (from 7th to 8th
are key attributes. Underground spaces identification of the suitable geologic century BCE through the Byzantine era).
were used for rituals and burials in materials/topography and probably trial
addition to shelter (e.g. Lascaux Caves). and error approaches to cavern spans,
In flatter topographies, crude drainage shapes and spacings in different materials.
systems were incorporated into the streets
of ancient cities (e.g. Troy).
From the With widespread availability of building The importance of the ground as a Ancient sewers in Mesopotamia (from
Egyptians, materials (e.g. adobe, brick or tile) and foundation layer increases. Few spatial 4 000 to 2 500 BCE) Sewerhistory.org,
Greeks and use of timber for construction, village, conflicts in underground uses. In some 2018; Eupalinos’ Tunnel 6th Century
Romans up to town and city development focused on cities (e.g. Paris) the building materials BCE; Fucine Lake drainage tunnel, Italy
the industrial aboveground structures. Underground are taken from local mining/quarrying – (begun 41 CE) (Iisgalilei, 2014);
revolution. structures (particularly tunnels) are creating a largely unplanned system of First tunneled sewer in Paris in 1370
important for some transportation underground caverns beneath the city. Paris-Musées (1997).
purposes and water supply (e.g. Greek
and Roman tunnels) although many cities
simply rely on access to rivers. Sanitation
mainly relies on cesspools and/or surface
or near-surface drainage to rivers and
seas.
(continued on next page)

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
4 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

Table 1 (continued)
Generalized time Typical uses of underground space Potential issues and needs for planning Example(s); Reference(s)
frame
Through the Villages and towns of modest size use Storm and sanitary sewers are installed as See for example for the UK: Palmer,
industrial little subsurface space – mainly perhaps far as practical as gravity systems – Nevell and Sissons (2012).
revolution. for a piped water supply or for surface meaning that their system layout is
water drainage. The industrial revolution controlled by the surface topography of
stimulates the growth of cities and the town. Water, gas and any
increases transportation requirements and underground cable systems have few
needs for urban services. Sewage systems grade constraints but mostly follow the
are installed in more and more cities. Gas public rights of way and are installed as
and electricity and later telephone shallow cut-and-cover installations. Even
networks are installed with transmission though there is now a system of under-
lines to reach the town and distribution ground utilities, little planning of the
lines within the town. underground is needed because utility
capacities and sizes are small and there
are no significant other uses of the
underground to consider.
Continued world The continual need for higher utility As towns develop and grow or existing Webster (1914)); Utudjian (1933); Heim
urbanization and capacities means that utility services need cities upgrade their infrastructure, more de Balsac (1985); NAS (1972); Sterling,
growth in city to be resized; new utility systems may be conflicts in the underground begin to 2005; ITA (2012).
size. added (e.g. control cables, fiber optics). emerge. The urban underground is now
Existing lines are often abandoned in truly a complex network, operating as an
place; new systems are simply fit project- infrastructure system to support the
by-project into the existing fabric. Large overall city system, but rarely designed as
cities have traffic congestion problems a system. Conflicts for use of the
leading to the development of mass underground space now are common –
transit systems and often underground pedestrian tunnels versus shallow utilities
metro systems. Pedestrian-traffic conflicts and access to the surface for
at street level create needs for grade- transportation systems. New
separated pedestrian networks. The transportation systems are pushed deeper
supply needs for a large city typically and deeper to avoid what has already
mean tunneling for water supply and been built.
sewerage systems. Electrical transmission
tunnels may also be needed. Intercity
transport developments may bring high-
speed train tunnels to the heart of the city.
Cities evolve, face Tall buildings, parking needs and/or The city depends more and more heavily Discussions of some prime examples of
new constraints height restrictions encourage deep on its underground networks and, as the developments and needs can be found in:
and demand a basements. Land-starved cities (e.g. networks age, how to maintain and renew Admiraal and Cornaro (2018); China:
better Singapore and Hong Kong) turn to a them while continuing to provide critical Qian (2016); Hong Kong: Wallace and
environment. planned use of underground space use as services is more and more of a challenge. Ng (2016); Japan, Kishii (2016); Norway:
a means of preserving precious surface Changes in commercial patterns may alter Broch (2016); Singapore: Zhou and Zhao
land without restraining continued transportation needs (e.g. internet (2016).
economic development. ordering/rapid delivery leading to
increased interest in freight tunnel
systems – especially in China).

to reservoirs at the tops of buildings would provide both for urban underground space use emerged in the 1930s in
water flow to the buildings and a source of energy within France: GECUS (Group d’Etude et de Coordination de
the building. l’Urbanism Souterrain) was created in 1933 and existed until
It is not until the beginning of the 1900s, that the visions the 1970s. A brief history of GECUS and its contributions is
and concerns of architects, planners and engineers about the given in Heim de Balsac (1985) and the group also published
use of urban underground space are found more frequently a journal entitled ‘‘Le Monde Souterrain” from 1936 until
in the literature. Hénard (1903) proposed multi-level con- the death of its founder Eduard Utudjian in July 1975.
cepts for city streets and their adjacent buildings. Webster A broader wave of interest in the possibilities for using
(1914) argued for more concerted planning efforts for a underground space emerged in the 1960s and 1970s –
city’s underground space. Writers developed cautionary driven by cold war shelter needs, a surge of environmental
tales about the reliance on underground systems (e.g. awareness and two worldwide energy crises. This was cou-
Wells, 1895, and Forster, 1909). The first organization to pled (particularly in Scandinavia) with the development of
specifically focus on the possibilities and effective planning an ability for cost-effective creation of rock caverns for a

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 5

Fig. 1. Early Contributions to Various Underground Space Concepts and Planning in the 20th Century.

variety of energy, storage and civic purposes (see for exam- this time, targeted underground planning efforts appeared
ple Bergman (1978) and (1981) for the proceedings from in cities or regions worldwide although most of these efforts
the conferences Rockstore ’77 and Rockstore ’80). From did not persist and continuity of interest has remained a

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
6 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

significant problem. The reasons for this inconsistency can (McLoughin, 1969; Rittel and Webber, 1973), or
only be speculated about. The decisions of the United ecosystem-based approaches (Gómez-Baggethun, 2013) to
Nations’ Economic and Social Council (United Nations, urban planning that include the subsurface appears to be
1983, 1985) provide a clue. The Council’s Committee on more topical than ever.
Natural Resources discussed the potential of subsurface
space as a resource in 1983 but the subsequently prepared 3.1 What is a system?
report was only taken note of in 1985. Representatives had
commented that the various uses of the subsurface were not The term ‘system’ or ‘complex system’ describes an
new and the committee should rather focus on innovative entity that consists of a number of interacting elements
solutions and new activities like gas storage, as well as that or parts that operate together towards a common purpose.
subsurface space should not be looked at separately but be It is commonly described with the so called holism principle
integrated in other major topics like water or mining. This stating that a system is more than the sum of its parts. This
last comment suggests that not spatial coordination but means that through the complex interactions of the systems
specific resource demands were seen as the overarching parts or sub-systems, an outcome or function will emerge
issues to deal with. that cannot entirely be explained through explanation of
Nonetheless, organization principles for and discussions the systems elements (Richardson, 2004). In this context,
about optimization of underground space use in urban it is also recognized that optimization at element- or sub-
areas kept being developed and an increasing number of system level does not by default lead to improvements of
academic papers as well as urban initiatives from the early the overall system. System parts include not only technical
2000s suggest that the recent exponential growth of urban elements like materials, hardware or software, but also
population as well as the recognition of climate change as non-technical and time-dependent elements like people,
major challenges of our time might also have given rise processes, and policies. For example, an urban transport
to a new imperative to better understand the present and system includes the roads as well as, for example, a mass
potential role of the underground or subsurface for the rapid transit system, busses, cars, and taxis, the traffic con-
development of urban areas. trol systems and regulations, the traffic police, and ulti-
A range of significant contributions that advanced the mately the users. Systems can become sub-systems when
concept of underground space use planning is consolidated the boundaries of analysis are changed and more systems
in Fig. 1. The figure focusses on early contributions and are integrated. When the planning system as a whole is
provides a classification of issues that the publications analyzed, for instance, elements like land use, housing,
address. These often overlap and various themes are men- infrastructure and so on are equally looked at, and the
tioned in the same paper or report. However, the figure transport system becomes a sub-system.
illustrates the development of interest in that field of appli- Apart from the individual elements or sub-systems, the
cation and research and the different angles from which it system is defined by the boundaries between those elements
has been approached. It appears that in recent decades (internal boundaries) as well as between the system and its
the need for better management is recognized by experts surroundings (external boundaries), the interconnections
in other disciplines than engineering and urban planning. and interactions between elements, and the function or
In particular, urban geology developed as a sub-discipline purpose of the system (Meadows and Wright, 2009). The
of geology (Wilson and Jackson, 2016). More recent (and boundaries allow attribution of specific purposes or roles
often more comprehensive papers) are discussed in the to particular system elements. The overall function or pur-
remainder of the paper. pose of a system is not predetermined but will be assigned
to the system in a specific moment in time by society or a
3 Systems approaches and urban underground space particular stakeholder or stakeholder group. In other
words, the purpose of a system is dynamic and depends
As has been stated above, the current approach to on the position of the person or group describing it. For
Urban Underground Space planning has been described example, the main purpose of a housing development can
as fragmented and sector based (Bobylev, 2009) and be described as maximization of revenue by the developer
attempts to understand and analyze the subsurface with and as provision of affordable housing units by a local
all the embedded systems as an integrated entity have been council. The value and performance of any system will be
repeatedly dropped. However, in recent years, it is more assessed through the respective lens of a stakeholder or
generally acknowledged that sectoral approaches in the researcher.
increasingly complex world are insufficient. In the subsur- Complexity arises when multiple stakeholder groups
face they have not only led to piecemeal development but interact and open sub-systems bring about dynamic, con-
also to a set of problems with regards to data sharing as stantly changing boundaries. In these cases, the boundaries
well as during project planning and implementation that and assignment of purpose for the whole system, sub-
might have been avoided. They most definitely should be system or system elements are incomplete or contested
avoided in the future. Consequently, the call for systems and cause-effect relationships can only be seen retrospec-
approaches to urban planning since the 1970s tively, not in advance (Childs and McLoyd, 2013). This

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 7

can lead to conflicts when different groups have incompat- decision makers have to take the long-term view, acknowl-
ible perspectives on a systems or sub-systems purpose. edging the time required for feedback to occur, and balanc-
Chen and Crilli (2016) formulate it as follows: ing short-term and long-term perspectives.
In the technical sphere, the notion of systems still mainly
What distinguishes a complex system from a non-complex
refers to the technical systems themselves. Consequently,
system is that we do not understand that system well
methodologies that are based on systems thinking in this
enough to realise our objectives. In other words, ‘complex-
sphere deal with the design of technical systems as well as
ity’ is subjective; it describes the stance that is being taken
the process to implement and monitor them over their
towards a system. That complexity can itself be charac-
life-cycle. Design is here understood as the arrangement
terised in many different ways (e.g. emergence) depending
of elements to create a complete entity that has a specified
on the different ways in which this shortfall in understand-
purpose or aims at a specific outcome. Here, the purpose or
ing is manifest (e.g. unpredictability).
outcome is equivalent to the fulfilment of a specified func-
This quote implies that through learning about systems, tion – for example, to enable the flow of a specific amount
over time, complexities can be understood and managed to of water from A to B. In this, it is acknowledged that the
a degree that the system will not be perceived as complex designed system is nested in systems of governance or in
anymore. Complexity is thus defined by the perspective a cultural setting, yet the latter are analyzed as external
and knowledge of the person describing a system as well to the system that is being designed. Methodologies such
as by the temporal, functional and spatial boundaries this as systems engineering of complex projects that were devel-
person defines. Because they are by definition not – or oped as a method to deal with engineering challenges that
not yet – fully understood, complex systems exhibit unex- span multiple engineering disciplines (Ryan, 2008) but are
pected or emergent behaviors. These features of a system well defined in their scope, fall into this category.
that have not previously been observed appear on the Outside of the traditional technical disciplines and tasks,
macro- or system level through interactions and unplanned a different set of systems methodologies is deployed, the
or unforeseen organization of systems components main intention of which is not design but observation and
(Goldstein, 1999). As mentioned above, emergent behav- potentially steering of systems, often systems of manage-
iors cannot be fully explained through description of the ment and governance of a specific task in a specific setting.
systems components and can lead to either unanticipated As such, systems thinking is more than an engineering
and potentially catastrophic failures or to robust new pat- approach but rather a philosophy for solving problems
terns (Chen and Crilli, 2016). Systems approaches aim at through joined-up integrative thinking. Technical systems
early recognition and management of the former and in this setting are understood and described as embedded
encouragement and exploitation of the latter. or nested in wider systems of governance, cultural settings,
and the natural environment. These systems are already
3.2 Systems approaches present and cannot be designed from scratch. However,
they influence and are influenced by the designed technical
The described properties and characteristics of what systems and other human interventions and decisions.
defines a system correspond to what are called systems Boundaries here are often more difficult to define and
approaches. In general, systems approaches – approaches empirical testing and controlling of variables to identify
based on systems thinking – employ methodologies that causal mechanisms is not possible.
facilitate better understanding of the system’s elements, Systems thinking in itself is complex and various defini-
their interactions, and the relationship between the system tions of systems can be found (see for example Arnold and
and its environment (Cooper et al., 1971). They aim to pre- Wade, 2015). However, a few key elements can be extracted
vent conflicts between different stakeholders through early that are characteristic for methodologies or tools applied in
recognition of interactions between the various system ele- systems approaches:
ments as well as the interaction between the system looked
at and the social, economic and environmental systems it is (1) The purpose of an intervention or element is inte-
embedded or nested within. Systems approaches acknowl- grated in the purpose definition of the system as a
edge that the exact problem definition of an issue looked whole. This also allows for purpose and value defini-
at is subjective to a group or culture and part of the process tions beyond the neoclassical idea of value
rather than predetermined and fixed. Consequently, system generation.
approaches aim to optimize the outcome of unforeseeable (2) Analysis of system elements is integrated across tradi-
system behaviors through continuous learning. Feedback- tionally drawn boundaries. These can be temporal,
loops and learning-cycles are thus key components of the spatial, administrative or sectoral, just to name a
methodologies applied. Equally, systems thinking as a deci- few. The focus of analysis and interventions shifts
sion tool requires the decision maker to consider the inter- from hierarchies between the elements to networks
est and influence of direct and indirect stakeholders, with and interactions and from the definition of parts
due consideration for un-intended consequences of deci- and their boundaries to process observation and
sions as part of the feedback loop. In this understanding, management (Simutis et al., 1973). This integration

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
8 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

Fig. 2. Illustration of a characteristic process-loop in system approaches. Some approaches do not mention the purpose definition separately and separate
other aspects.

also implies that different perspectives and levels of 3.3 The urban subsurface as system
functionality are perceived as equally important (see
Blockley, 2010). For a specific problem, the analysis The previous sections explained how systems are
of boundaries of the system looked at is key, as they described and how that relates to methodologies and tools
not only define the problem space but are also neces- applied in what are called system approaches. On that
sary for system optimization. basis, here it shall be discussed if the subsurface as a whole
(3) It is acknowledged that the system is dynamic and will or else which elements or parts of the subsurface can be
exhibit unexpected behaviors. The approaches thus seen as a system and if or in which cases a systems perspec-
entail: tive for the subsurface can be helpful.
(i) Future thinking: the near and distant future are Following the holism principle, if a unified purpose shall
considered. There is a push towards exploration be assigned, it can be questioned if the urban subsurface
and experimentation rather than only empirical itself can be seen as a system, or if the appropriate unit
derived rules to inform planning. The focus of analysis is rather the complete city with the subsurface
shifts from prediction to preparedness. being a sub-system or a set of sub-systems (von der Tann
(ii) Empowerment and inclusion of stakeholders to et al., 2016). Various systems are at play, of which the geo-
recognize and exploit favorable emergent logical system and the water system, commonly perceived
behaviors rather than to control the system as as natural despite anthropogenic influences, and the
a whole as it is accepted that the latter is not embedded, man-made infrastructure systems are probably
entirely possible. the most prevalent. Each infrastructure sector can be ana-
(4) The system evolution is understood as a loop rather lyzed as a system and building or development projects are
than linear, implying continuous learning (Fig. 2). complex socio-technical systems in their own right (Zhou,
These loops or circles entail the definition and 2014).
redefinition of the problem or purpose as well as The number of systems and use potentials present in the
time and mechanisms to monitor and evaluate the same subsurface volume lead not only to questions of inte-
impact of interventions undertaken. To do so, the gration to avoid use conflicts (see for example Bartel and
system has to be analyzed and a baseline has to Jansen, 2016) but also the question of how to take a deci-
be established against which an evaluation can take sion if various uses would be possible. Thus, while it might
place. be difficult to assign one specific purpose to the whole of
the subsurface, the high number of interconnections
Rather than claiming comprehensiveness, these points between components and actors and the continuous evolu-
summarize what the authors consider as the most impor- tion of the space as a result of human activities in the con-
tant aspects for the issue at hand and shall serve as a basis text of urban development, coupled with an inherent
for the discussion below. Not all approaches cover all these unpredictability provide a rational to adopt the notion of
aspects and tools are needed for all stages and on all levels a complex adaptive system (Rinaldi, 2001; Mc Phearson,
of analysis, modelling, decision making, implementation 2016). In this continuously changing and evolving space,
and monitoring. Priorities have to be set for each individ- each engineering project or other intervention alters the
ual situation and topic dealt with. system as a whole and every subsequent intervention has

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 9

to react to the new state. What a new state will entail is (Zhou, 2014) and the notion of feedback loops challenges
never fully predictable and engineers will always aspire to practitioners and policy makers to recognize the mutual
contribute to improvement of the whole (Simon, 1996). effects of the local geology and subsurface legacy on the
What is considered to be an improvement, however, is future development of the city and vice versa (von der
embedded in individual and cultural values. This observa- Tann et al., 2016).
tion in turn strengthens the case for value education in Another aspect supporting the call for a systems
engineering curricula that has gained momentum in recent approach to underground space management is that the
years (see for example Rugarcia et al., 2000; Coyle et al., evolution of systems understanding and analysis is – at
2006). least in cities with growing population and densities – actu-
To describe the role, potentials and risks the subsurface ally paralleled by an increased density of utilizations of
entails for a city, a variety of classifications have been pro- underground space that need to be managed in conjunc-
posed including classification of subsurface resources, ser- tion. This management need gets allocated to the urban
vices, or functions (von der Tann et al., 2016). Each of planning discipline, building on the conception of urban
these classification schemes carries a presumption of mean- planning as the responsible discipline for the spatial distri-
ing and boundaries (von der Tann, Metje, & Collins, 2018). bution of human activities. To provide an overview, build-
The common denominator seems to be that the subsurface ing on Table 1, Table 2 relates the developments in urban
or underground is seen as a spatial resource as well as nat- subsurface use with the prevalent understanding of plan-
ural basis or service provider for the city, the latter also ning and dimensions of systems analyses. It illustrates that
requiring space if utilized. The principles of systems think- a more systemic approach to the urban subsurface is
ing pledge decision makers to view the use of underground needed when competing space claims are present and that
space as part of a larger system, and to examine the project the newly emerging focus on underground space in cities
systems from the life cycle from planning, design and con- can be correlated with the increasing complexity of urban
struction, operations and maintenance, and decommissioning. systems – and thus how cities are planned and analyzed –

Table 2
Evolution of subsurface use in relation to urban planning principles.
Past Present Future
City location Choice of settlement location depending Fixed through history Fixed through history
on availability of resources and ease to Geomorphology changed through human Geomorphology changed through
build interventions human interventions
New cities in arbitrarily chosen
locations
Uses of the Bearing capacity Bearing capacity Fully managed space
shallow Plant roots Plant roots More functions and services
subsurface Building material Utility infrastructure underground:
(todays Drainage Shallow tunnels – waste management
streetscape) Basements Basements and developments – freight
Man-made ground – housing
Ecosystem service provision pushed deeper SuDS to recreate drainage
down or out of the city Reintegration of ecosystem services
into urban space
Uses of the Groundwater wellsMining Groundwater wells Higher number of deep tunnels
deeper (industrialization) Geothermal energy (transport and other uses)
subsurface Mining legacy – cavities Storage capacities
Deeper tunnels (transport, sewers, other uses) ‘Right of non-use’ might be discussed
City relation to Subsurface as basis for city location Subsurface (grown and man-made soil) Subsurface part of the starting point of
the subsurface Resources like wood, building materials, mainly understood as given constraint that planning considerations/ integrated in
fertile land and water as well as the ease to has to be dealt with for realization of projects overarching spatial plans or analyses
build all connect to the subsurface Existing assets and services in the subsurface Subsurface as opportunity
vital for the city
Driver/ purpose Survival, fulfilment of basic needs Health and well-being of citizens In addition to present drivers:
for building Growth Flexibility and adaptability –
cities/ planning Climate Change preparation for yet unknown changes
Sustainability
Planning Not a defined discipline 2D to 3D 3D to 4D
dimensions
System Engineered systems: Nested systems Complex adaptive systems, city as
understanding Focus on technical (engineering) solutions System of systems ecosystem
to well bounded problems. Various systems embedded in the ground still Systems constantly changing
People as predictable input in the system largely looked at in separation Strong people focus for understanding
(e.g. demand) and meeting of present-day challenges.

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
10 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

in general reacting to global challenges like population boundaries can be treated as temporarily stabilized, mean-
growth and climate change. ing that they were ‘‘created and agreed on by groups and
individual actors over a long period of time” (Kerosuo,
3.4 Systems approaches for the urban subsurface 2006 as quoted by van Broekhoven et al., 2015). In this
context, it is important to recognize that apart from the
A systems approach to urban underground or subsur- constraining effects of boundaries that are the motive for
face management requires an awareness of a multitude of the attempt of integration, boundaries can also have
perspectives and scales as well as the interdependencies enabling effects because they reduce complexity, enable
between those and tools to examine them. A pluralist professional specialization, and in general provide struc-
approach to research including methods, tools and per- ture (van Broekhoven et al., 2015). For example, the pur-
spectives seems advisable as a single approach necessarily pose definition as well as set goals can constitute enabling
entails a limited view on the problem looked at. A brief dis- or constraining boundaries depending on the context. This
cussion of the main aspects outlined above is provided here recognition is helpful to accept that while aiming for a sys-
before recent contributions in the literature as well as tems approach, it is not only impossible but also unneces-
developments in public policy are presented. sary to integrate everything.
One approach to identify and define boundaries is
3.4.1 Purpose definition shown in Table 4. The PESTLE approach that is often used
Planning for underground space should examine the in business analysis distinguishes six different groups of
visions, missions, and goals of the overall system under boundaries (Yüksel, 2012) that have to be considered.
which it exists. This system can be the transport system, Table 4 lists an example of the according parameters for
the water system, or the urban system as a whole. For a a construction project.
systems approach, it is important that the purpose of an In the context of the subsurface and the attempt to cap-
element, task or problem dealt with is linked to its position ture its role as well as the challenges and opportunities it
in the overall system. Engineering tasks such as the design provides, other boundaries that need careful consideration
and implementation of a tunnel might have the purpose to and definition are the actual spatial boundaries between
improve the transport system whilst minimizing the impact different uses as well as the areas of responsibility of the
on the existing built environment. The transport system in involved authorities. This can be complicated as the uses
itself, in turn, might have the purpose to increase the ratio are not necessarily exclusive and territorial boundaries
of public to private transport for environmental reasons, to can be fluid. For example, the same space can be used
boost the urban economy or to counteract inequality. for bearing load and groundwater flow and the boundary
Which of these is the main objective in a specific moment for a catchment area might not be equivalent to that of
in time and consequently guides planning and design deci- the local boroughs in the city looked at. The boundary
sions is a fundamental systems choice, and it is important analysis provides the baseline for project evaluation and
to keep that in mind. Predictions of demand often inform decision taking (see Section 3.2). This bridging from ‘soft’,
what capacity is planned for and where it is located and holistic parameters and processes into ‘hard’, tangible pro-
thus investment decisions are linked to this choice. jects that permanently change the built environment
remains a major challenge. With regard to planning and
3.4.2 Integration and boundaries management of underground functions, the local geologi-
The integration of, for example, perspectives, scales and cal and geographical setting as well as the legacy of struc-
disciplines is core to systems thinking and the challenge to tures and human interventions in the ground and the legal
broaden analyses and the ambition to integrate the various and regulatory system constitute the major boundaries that
systems at play in the subsurface as well as the according are usually accepted as a starting point or baseline for plan-
stakeholders is ubiquitous in the literature. In some way, ning specific interventions. They are also the starting point
the whole question of urban underground space planning for the introduction of broader strategies or plans, in which
and management is about integration of this spatial volume currently the physical setting is often underrecognized, and
into urban planning considerations and analyses of urban the current legal and regulatory systems affecting or
areas. Embedded in that is the intention to integrate a vari- affected by subsurface use are found to be piecemeal (see
ety of processes and perspectives across apparent bound- Sections 4.1 and 4.2). Other aspects that require technical
aries if a comprehensive approach is sought. Table 3 understanding as a basis for meaningful decisions are space
provides a list of dimensions of integration that could be requirements and compatibility of the different potential
considered. uses.
The notion of integration across various boundaries
goes hand in hand with the definition and analysis of these 3.4.3 Emergence and continuous learning
boundaries – in general as well as for a specific task. Whilst it can be accepted that boundaries have to be
Boundaries are used to define which elements are internal analyzed as temporarily stabilized for specific tasks or pur-
or external to a system as well as differences between sys- poses, the aspect of process integration is related to the
tem elements (internal boundaries). To analyze a system, notion that the behavior of the urban – and with it the

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 11

Table 3
Dimensions of integration.
Conceptual integration
Integration of human, technical and environmental systems
Integration of scientific and practical understanding of the role and according processes of underground space planning
Integration of stakeholder views
Spatial and territorial integration
Integration of local geological setting with city visions and urban planning objectives
Integration of spatial scales and the according interests, e.g. local, regional, national
Integration of above and below ground governance and design
Spatial integration of various space claims on underground space – physical integration of the embedded systems
Sectoral integration
Integration between the different infrastructure sectors occupying underground space
Integration of public policy domains in a specific area, e.g. infrastructure, environment, mining
Process integration
Integration of overarching visions and objectives with specific interventions
Integration of project planning and project implementation
Integration across political election cycles
Integration of maintenance and reviewing cycles across different industries (different functions and assets are evolving in different time scales or
intervals)
Data integration
Integration of various data sources and their understanding, as well as the according tools for analyses and processing

underground – system is not fully predictable and the aim the groundwater table, depending on the hydraulic gradi-
of systems thinking is to recognize and capture the emerg- ent (Boukhemacha et al., 2015). Re-sealing the pipes
ing behaviors and situations in time to make meaningful changes the groundwater levels again, which in turn can
adjustments. In other words, emergent and unpredicted affect individual citizens for example when groundwater
systems behaviors should be met by an effort to continu- seeps into basements that had previously been considered
ously adapt and learn. The previously referred to first come as dry (Simicevic et al., 2005).
– first served approach to allocation of space in the subsur- Systems approaches to managing the subsurface should
face causes discontent because, looking back, it appears analyze the location specific past events, describe the
that with regards to the subsurface, this was not done, according path-dependencies, and apply future methodolo-
meaning subsurface use was not tackled systematically gies to maximize the potential to recognize, change and
but piecemeal. On the other hand, was it possible to predict adapt existing strategies and projects.
the increasing number of networks to be put into the sub-
surface over time? The problem was recognized by some at 4 Current thinking in a systems context
an early stage (e.g. Webster 1914) but this did not lead to
any significant change in practice. Likewise, could planners In recent years, the understanding of using underground
and engineers have foreseen (when they planned the city space in urban areas as an opportunity to tackle major
layouts) that personal transport in cities would increase challenges of urban planning as well as its role as part of
to the level it has and that it may now potentially decrease the natural environment that cannot be controlled but
again due to climate and public health considerations? needs to be sustained, led to a series of academic projects
There is a range of examples where how the subsurface as well as political initiatives in various places. These are
or elements of it are managed today is clearly an effect of reviewed below, applying the principles introduced in Sec-
previous interventions or historical developments. This tion 3 to structure the literature as well as to critically
path-dependency becomes apparent in that any structure reflect on how systemic the adopted positions and pro-
can create an impediment for future developments or posed strategies or tools are.
impose increased management needs on a subsurface To accept the local geology in addition to the legal and
related sector. For instance, a lowered groundwater level institutional framework not only as boundary but as a
in London were taken for granted when parts of the under- starting point for urban planning and planning decisions
ground system were built. A decrease of groundwater use is here understood as a necessary condition for a systemic
and a rising groundwater table later triggered concerns approach to underground planning and/or management,
about the stability of existing constructions and water challenging the predominant process in which subsurface
intrusions into service ducts (Dean and Sholley, 2006) with assessments and interventions often follow demands and
the result that the groundwater table is now managed care- objectives set for the allocation of uses at the surface
fully. The effect of ageing infrastructure is another exam- (Admiraal and Cornaro, 2018). Similarly, strategies and
ple. Damaged sewage pipes can act as drains or recharge tools developed in the context of underground planning

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
12 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

Table 4 the local geology and hydrogeology in combination with

Example of a PESTLE approach to boundary analysis. careful consideration of the human legacy present, thus
Main factor Potential sub-factors allows not only to define influence zones of different poten-
for a construction tial functions or mapping of potentials to support planning
project
and avoid conflicts (such as, for example, those proposed
P Political Strategic value, by Kahnt et al., 2015, and Doyle, 2016, see Section 4.3.6),
foreign workers
E Economic Cost, economic
but also determination of availability of materials and
benefit, markets, water as well as predisposition to natural hazards such as
fiscal conditions flooding and earthquakes.
S Socio-cultural Public perception, With regard to the systemic integration, these functions
noise and dust, and potentials are traditionally looked at independently,
psychological
impact
and the influences they have on each other are only ana-
T Technological Geology, lyzed for specific interactions (for example, the risk of
construction water pipe bursting and the associated flooding for tube
methods tunnels). Kahnt et al. (2015) list the geochemical, geome-
L Legal Building control, chanical, geohydrological and geothermal influences of dif-
development
control, ownership,
ferent uses on the surrounding geology and distinguish
safety regulations between local conflicts when two or more uses would
E Environmental Site location and occupy the same volume and conflicts that can occur inside
access, noise and and across layers or geological formations. Matrices of
vibration, dust, competing space claims can be found in several reports
water pollution
(for example Bureau de Recherches Géologiques et
Minières [BRGM], 2016; Akademie für Raumforschung
or management need to consider how change and learning und Landesplanung [ARL], 2012). These evaluations are
can be integrated in the proposed processes, and foster based on technical and geological knowledge rather than
understanding of and cooperation across traditionally sep- being scenario specific and it is important to keep in mind
arate disciplines and stakeholders. that these are based on current knowledge and thus their
A lot of what is summarized in the following sections relevance for decision making might change with evolving
also applies to underground space outside of urbanized technologies or city visions.
areas, which is of equal importance and where similar The necessity to understand the geology and the legacy
issues exist, but the uses discussed or present often occupy and influence of human interventions – that is construc-
much larger volumes and deeper layers of the subsurface tions as well as contamination, man-made ground, or
and are, different to those in urban areas, uses that could altered water flows – as baseline rather than as a part of
not be put above ground instead. However, the higher den- the environment that has to be analyzed in the context of
sity of people, assets and information in urban areas makes specific tasks or projects is expressed throughout the liter-
a considerable difference for the definition and analysis of ature and governmental initiatives indicating a change of
boundaries, and thus the following review and discussion paradigm. As a consequence, tools and strategies for data
are focused on urban settings. collection, management and modelling are developed.
The arising challenges are mainly connected to data man-
agement and provision as well as the interpretation of the
4.1 Boundaries: geological setting and physical legacy
data and models to identify potentials, conflicts or threads
(Watson et al., 2017; Schokker et al., 2016).
As mentioned above, the acceptance of the geology as
the baseline or starting point for any activity or interven-
tion in the subsurface in itself is a change of perspective 4.2 Boundaries: legal and institutional setting
towards a more systemic approach. A criticism of the
observation that geology is often related to cost of con- Similar to the geology, the legal environment coupled
struction and project risk, but seldom considered in the with the involved institutions constitutes a local baseline
planning stage – for example, planners propose and set tun- or starting point for planning and management of the sub-
nel alignments and engineers only later deal with the geo- surface. Whereas the tools for data collection and mod-
logical risk (Barton, 2009) – is inherent to this acceptance elling are of technical nature and transferrable between
and has been emphasized in the recently completed locations, conditions for data management and sharing
research project COST sub-urban (sub-urban.squares- are determined by the legal and cultural environment and
pace.com). Not only does all use of space itself require therefore differ from country to country as well as among
excavation or tunneling, and therewith handling of the soil cities. The legal and institutional environment is diverse
or rock present, the geology also serves as bearing ground, and planning law as well as other areas of law that relate
storage for materials and many more. Understanding of to subsurface management such as mining, water, energy,

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 13

infrastructure, or environmental protection (see for exam- 4.2.1 The new environment and planning law in the
ple von der Tann, Metje, Admiraal, & Collins, 2018). In Netherlands
addition, the local governance regime, and evaluation of In the Netherlands, a new Environment and Planning
it, strongly depends on the visions and development objec- Act (EPA) has been introduced and is expected come into
tives set in local, regional and national socio-economic force in 2021 (Ministerie van Binnenlandse Zaken en
strategies and is embedded in the local culture. These Koninkrijksrelaties, 2018). This Act combines and replaces
strategies will need to be considered as they influence 26 laws as well as a range of regulations and guidelines con-
strategic decisions such as prioritization of specific func- cerning the physical environment (Ministrie von
tions over others. As recent examples of a subsurface speci- Infrastructuur en Milieu, 2018b). It thereby overcomes
fic strategy and a change of planning law that will most the dichotomy between the built and the natural environ-
probably influence the consideration of the subsurface in ment or more general between society/culture and nature
various ways, and can foster a systemic approach, the that is still prevalent and integrates the legislation for var-
underground masterplan for Singapore and the new plan- ious environmental sectors, which is currently perceived as
ning law in the Netherlands will be discussed below. scattered and fragmented (de Graef et al., 2018). Even
A comprehensive overview of legal aspects would go though the term system is only used with regard to the leg-
beyond the scope of this paper, but the question of owner- islative system in the Act and the according Explanatory
ship and registration of subsurface space is recurrent and Memorandum (Ministrie von Infrastructuur en Milieu,
shall briefly be mentioned: Commonly, the law distin- 2018a, 2018b), and the act is not specifically about the sub-
guishes between the space and its content, such as mineral surface, the subsurface is inherent in it as the EPA inte-
resources or archaeological findings (Sandberg, 2003). grates amongst others the Earth Removal Act, the Water
Who owns the land and who has a right to use it and the Act, the Mining Act and the Soil Protection Act with the
resources it contains is not necessarily linked. For example, Spatial Planning Act, and it comprises many of the ele-
whilst the land (or volume) is often owned by the surface ments of a system approach described above:
land owner, the minerals may be owned by the state who
would also be the authority to give consent for exploita- (1) The EPA emphasizes the necessity to work across sec-
tion. Utility companies do not usually own the space where tors, recognize the mutual relationships between dif-
their pipes and cables are laid but they own the assets and ferent elements of the environment and formulate
have a right to use the space (typically by law in public and achieve ‘interrelated objectives’. The Memoran-
rights-of-way and by easement across private land). In dum sets out that the role of government here is to
many countries the law stipulates that who owns the sur- link and monitor.
face also owns the subsurface to the middle of the earth, (2) The EPA’s core element is a policy cycle of develop-
preventing or at least complicating the adoption of more ment of a vision, programming and rules design,
systemic approaches to space allocation. In a few countries implementation (permits and projects) and feed-
ownership of land is restricted to specific depth or specific back mechanisms (monitoring and evaluation). The
functions. For a comprehensive review and discussion of Explanatory memorandum states: ‘‘the cyclical
these topics see Sandberg (2003). In the currently prevailing approach is a manifestation of a paradigm shift: from
understanding of ownership, the possibility to establish dif- preservation and protection towards an active approach
ferent ownership models relies on the development of 3D in order to continuously strive towards good quality of
cadasters, as for example discussed by Kim and Heo the physical environment.”
(2017) for the case of Korea. The current efforts to estab- (3) The EPA sets out an overarching purpose that is the
lish a masterplan for Singapore (see Section 4.3.1) show quality of the physical environment as a whole.
the significance of having coherent datasets about the geol- Thresholds for environmental values such as water
ogy and existing underground assets (Section 4.1) as well as or air quality stemming from European regulation
establishing coherent ownership and use models. are adopted as minimal parameters.
For further reading, a few publications are listed here (4) The EPA embraces emergence as a quality by aiming
that give descriptions of planning frameworks or aspects at encouraging and facilitating initiatives from mem-
of those: on the national level, the review by the Interna- bers of the public or local authorities. It thus empha-
tional Tunnelling Association (ITA) working group on sub- sizes a bottom up strategy of empowerment rather
surface planning (ITA, 1991) collated information from 19 than control.
countries; and, more recently, Germany (Bartel and Jansen, (5) The EPA emphasizes stakeholder engagement,
2016) and Japan (Japan Tunnelling Association, 2000), for accountability and responsibilities.
example. Descriptions of aspects of subsurface governance
in particular cities can be found for instance in Li et al. Even if the subsurface is not separately addressed in the
(2013a) for Helsinki, Amsterdam, Montreal and Tokyo, EPA, the definition of soil as the solid component of the
in Reynolds and Reynolds (2015) for New York and Lon- earth, including the liquid and gaseous components and
don, or in the city reports for the recently concluded COST organisms contained (Ministrie von Infrastructuur en
sub-urban project (sub-urban.squarespace.com). Milieu, 2018a) indicates a more holistic way of thinking

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
14 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

about the subsurface as the separation between the soil as for underground space planning and developing a cavern
component of the earth which enables the growth of plants suitability map (Lim, 2009; Zhou and Cai 2011; Lui
and deeper layers of the subsurface is abolished in this def- et al., 2012; Zhou and Zhao, 2016). One of the more
inition. The EPA will undoubtedly influence relevant deci- impactful studies is a benchmarking study, which explored
sions about interventions in and planning efforts that affect international best practices and compared Singapore to
the subsurface. several leading cities in the world in the areas of legislation,
standards, policy, planning, and actual usage of under-
ground space (URA, 2013, 2018; Zhou and Zhao, 2016).
4.2.2 The underground masterplan in Singapore
The results of this study will no doubt provide critical input
In 2007, the Singapore government set up an Under-
to the master planning activities in Singapore.
ground Master Plan Task Force, with three key objectives:
To address the issue of underground space ownership,
(a) to develop an underground master plan, (b) to identify
the Singapore Parliament in 2015 passed two legislations
imminent potential projects and resolve technical issues
addressing the issue of ownership and acquisition of under-
and funding mechanisms, and (c) to surface policy changes
to facilitate underground development. In 2010, the Eco- ground space: the State Lands (Amendment) Act 2015, and
nomic Strategies Committee (ESC) under the Prime Minis- the Land Acquisition (Amendment) Act 2015. The State
ter’s Office made specific recommendations on Lands (Amendment) Act 2015 defines ownership of the
underground space use, and thus elevated the use of under- subterranean space as land includes only as much of the sub-
ground space to a strategic level (ESC, 2010). The ESC terranean space as is reasonably necessary for the use and
report made a key recommendation to invest in creating enjoyment of the land. It further defines reasonable use as
and using underground space, and that the government being: (a) such depth of subterranean space as stated in
should take a lead in: the State title for that land, or (b) if no such depth is spec-
ified, subterranean space to 30 m below the Singapore
(1) Creating basement spaces in conjunction with new Height Datum. The Land Acquisition (Amendment) Act
underground infrastructural developments (e.g. rail) 2015 allows the acquisition of a specific stratum of under-
to add to its land bank; ground space. However, some legal issues related to the use
(2) Developing an underground master-plan to ensure of underground space remain. These include the first rights
that underground and aboveground spaces are syner- of use, liability of one ownership to another, offset required
gized and better integrated with surrounding develop- for underground stability, movement of fluids under-
ments and infrastructure; ground and responsibility for flooding underground, as
(3) Establishing a national geology office to collate well as entrance for the construction and later use of the
underground information that will benefit both pri- underground space. Efforts by the relevant government
vate and public sector efforts in underground agencies were needed to address and clarify these issues.
development; This example shows the imperative and complexity
(4) Developing a subterranean land rights and valuation involved in the establishment of a legal and technical base-
framework to facilitate underground development; line if the development of a holistic or systemic strategy for
and investing in underground development R&D use allocation in the underground is sought.
and directly investing in cavern level.
4.3 Approaches for planning and management: Strategies
The importance of developing an underground master and tools
plan was recognized early in defining the Terms of Refer-
ence for the Task Force. However, the difficulties and chal- Whilst the consensus about geology as baseline appears
lenges, especially the type of technical and policy input self-evident in a systems approach, the two examples above
required, were probably underestimated. One major chal- reinforce a second consensus or underlying assumption in
lenge was the lack of 3D geological information and accu- the literature that might be less obvious: the allocation of
rate data on existing underground infrastructure (Zhou the task for better management of the subsurface and all
and Zhao, 2016). Other challenges included identifying its divers uses in the planning discipline or, vice versa,
the types of underground space applications and develop- the extension of the realm of urban or spatial planning to
ing a vertical zoning framework to address the 3D nature involve the subsurface or at least build awareness of the
of underground space use, coordination and integration subsurface and its importance for the city. If planning is
among various government agencies, different applications, defined as the institutionalized ‘‘process through which a
and integrating aboveground and underground space vision, actions, and means for implementation are produced
development (Zhao and Künzli, 2016). that shape and frame what a place is and may become.”
To address these important information gaps, the gov- (Albrechts, 2004), it directly connects the idea of the sub-
ernment conducted a series of studies and set up a National surface with place making and thus with the surface and
Geology Office charged with investigating the bedrock how people use the urban space, increasing the complexity
geology with the main aim of providing 3D geological data of the problem area.

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review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 15

4.3.1 Strategies: masterplans (1) Understanding the baseline (geological model, three-
Masterplans have been mentioned as a desirable tool or dimensional mapping),
strategy for subsurface management by various authors. It (2) Prospective planning (establishing needs, risks and
was in particular promoted by Bobylev (2009) and authors benefits for potential uses),
often refer to the cases of Helsinki (Bartel and Jansen, (3) Assessment and analysis (vulnerability, scenarios,
2016; Price et al., 2016; Sterling et al., 2012) or Montreal weighing of different uses), and
(Delmastro et al., 2016; Durmisevic, 1999) when suggesting (4) Decision-making (integrated assessment, analysis of
that masterplans for underground space or including potential conflicts, priority setting).
underground space are needed. The Helsinki underground
masterplan sets out the allocation of underground space Whereas this list includes many aspects of systems
for a variety of public and private developments for the approaches as discussed, review, monitoring or learning
whole city and its establishment was practicable due to are not mentioned in Bobylev (2009). Scenarios are men-
the fact that the bedrock under Helsinki is well suited for tioned directed at specific selected solutions rather than
tunneling (Vähäaho, 2014). Montreal developed an exten- for the development of the city as a whole and cost-
sive pedestrian network underground (Boivin, 1991) the benefit-analysis is listed as the prime tool in the context
main driver being described as the severely cold climate of identification of needs for underground structures and
in winter as well as the strategic aim to create a compact developments. Masterplans as a tool have been criticized
city with combined transport systems (Durmisevic, 1999). in the 1970s as being too static and it was questioned if they
Other cities mentioned frequently in this context are Singa- can answer upcoming questions in time. Cooper et al.
pore (Zhou and Zhao, 2016, see also Section 4.2.2) and (1971) pointed out that a masterplan ‘‘can be regarded as
Hong Kong, for both of which the scarcity of land is one form of systems approach” but adds for consideration
described as a main reason to explore and manage under- that it might ‘‘rest on a methodology and an associated point
ground development opportunities (e.g. Delmastro et al., of view which are not adequate for dealing with an increas-
2016; Price et al., 2016, Sterling et al., 2012). Zhao et al. ingly complex and dynamically changing urban scene.”
(2016) list eleven Chinese cities that in some way integrate However, since then views have changed and the term is
underground space in their masterplans. now used for a variety of strategic documents. For exam-
In general, the term ‘masterplan’ can be associated with ple, Amirtahmasebi et al. (2016) emphasize that a master-
a variety of meanings; With reference to the example of plan has to be understood as ‘‘dynamic long-term
Helsinki, Delmastro et al. (2016) describe masterplans as planning document that provides a conceptual layout to guide
documents guiding allocation of space specifically for con- future growth and development.” and that it is important to
struction, integrating a map of existing and future facilities be able to change the plan based on changing conditions.
and safeguarded volumes and routes, as well as technical Consequently, whether masterplanning can be referred to
requirements. They emphasize that both, long term under- as a systems approach – with the masterplan as the accord-
ground master plans as well as sectoral plans for trans- ing tool – cannot be answered generically but depends on
portation, leisure and commerce, and technical systems the specific masterplan, how it is designed, established,
are needed. Similarly, Zhao et al. (2016) describe master- and monitored (see for example the new masterplan for
plans for underground space as planning for systematic Singapore, Section 4.2.2).
development and utilization of subsurface space in urban
areas with a focus on arrangement of underground struc- 4.3.2 Strategies: circular process approaches
tures. Underlying this idea are zoning plans which reflect Rather than focusing on the resulting plan and what it
a specific understanding of planning as present in some should entail, the Deep City Project as first described by
but not all national planning systems (see Newman and Parriaux et al. (2007) and further elaborated on by Li
Thornley, 1996). Bobylev (2009) by contrast writes about et al. (2013a, 2013b) and Doyle (2016) introduces a process
masterplans that go beyond the allocation of engineered for the development and ongoing improvement of a strate-
structural interventions only but are strategic documents gic plan for sustainable management of what they call
that specify design principles and concepts to guide change underground resources. It emphasizes the role of the four
and development in a whole city. These are different to zon- resources groundwater, geothermal energy, geomaterials
ing plans as described above as well as to site development and space for urban development and stresses the idea of
masterplans that are dealing with a specific property devel- combined use of the same volume for various functions.
opment proposition (Bell, 2005). Bobylev in particular stres- Li et al. (2013a) describe a general process of plan-
ses the importance of sustainability considerations in these making in two strategic (policy making and criteria fram-
documents and describes how consideration of the subsur- ing) and four operational steps (data collection, mapping
face including all its potential functions rather than only of resource and development potentials, evaluation of pro-
engineered structural interventions, can contribute to jects and analysis of decisions), where the policy making is
achieving these goals. The necessary actions to achieve an the last step and leads back to a revision of the criteria set
integration of the subsurface in these high-level planning to evaluate success of the overall process. Apart from the
documents are summarized in Bobylev (2009) as: circularity, the approach also emphasizes the involvement

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
16 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

of stakeholders in various steps of criteria framing and importantly, also the options to do nothing now or even
weighting of indicators. In that, the general vision of the do nothing forever are included. Consequently, acceptance
particular city looked at is taken into account and it is of a project is scored separately in three classes: market
accepted that not every city might need an underground acceptance (investment behavior, risk perception), social
specific plan. Li et al. (2013a) develop an applicability score political acceptance (contribution to policy objectives) and
– a method to assess whether a particular city requires community acceptance, and finally combined in a final
management of the underground building on estimates of ranking.
supply and demand of the four resources, driving forces, Being directed more at large scale, deep subsurface
as well as a classification of the available information. In activities, van Os et al. (2017) emphasize that for a success-
the Deep City method, the collection and analysis of the ful project implementation, policy goals need to be re-
data above described as physical baseline is part of the cir- evaluated on a regular basis ‘‘to account for timing discrep-
cular process and thus it is accepted that technology and ancies between the realization of activities and policy deadli-
data needs might change. However, the categorization of nes, because this discrepancy can have a large impact on the
the contribution of the subsurface to the urban physical necessity and therefore acceptance of subsurface activity”.
environment in four resources remains unquestioned. A similarly comprehensive approach to weigh different
Asset Management of the Subsurface (AMS), a method potential functions in a specific location could not be found
still under development, described by Maring and Blauw in literature. However, multi-criteria decision-making
(2018), also distinguishes between the strategic and opera- approaches that rank possible alternatives by assessing a
tional level. Instead of focusing on the subsurface as a range of parameters including stakeholder views and
manageable space, and building on a pre-defined set of cat- cost-benefit considerations (Kabir et al., 2013), have been
egories, Maring and Blauw (2018) suggest to understand all applied to a variety of subsurface related functions.
structures in the ground but also the ground itself and the
services it provides as assets and to apply methods of asset 4.3.4 Tools: stakeholder engagement
management. The definition and importance of the assets In their method System Exploration of the Subsurface
can change with the challenge looked at. The strategic step (SEES) Hooimeijer and Maring (2018) provide a method
in this method is described as evaluation as to how the sub- for knowledge exchange between practitioners focusing
surface can contribute to the achievement of the visions on a specific project area. Their aim is to unify the percep-
and objectives a city. By doing so, it emphasizes that how tion of the surface and the subsurface, and ultimately inte-
the subsurface might or might not be used best is not inde- grate the subsurface into established urban design
pendent of overarching policy ambitions. The other three processes. Four categories of subsurface use are distin-
steps are: (1) preparation of an asset management plan, guished – civil constructions, energy, water and soil. These
(2) implementation, and (3) maintenance and evaluation. shall integrate a large range of ecosystem services into a
Basing the approach in a framework that is already applied limited number of categories useful for the urban design
in practice (asset management), Maring and Blauw (2018) process. Hooimeijer and Maring understand their
aim to reduce the threshold for acceptance of the need to approach as based in systems thinking and complexity the-
integrate the subsurface in a variety of municipal consider- ory, dealing with ‘‘inherent unexpected behaviour of agents”.
ations. However, they also point out that necessary adjust- The tool itself consists of a matrix with subsurface use cat-
ments of the standard asset management approach to egories on the X-axis and what they define as layers of plan-
enable consideration and maintenance of functions rather ning on the Y-axis (people, metabolism, public space,
than objects, alongside the change in time-spans that would infrastructure and subsurface). The tool is used in work-
need to be considered, are challenging. shops to explore with groups of specialists influences and
interdependencies of these categories in each of the plan-
4.3.3 Strategies: decision support system for social ning layers. Even if emergent properties of the system itself
acceptance are not studied, the method supports knowledge exchange
Building on theory of decision making, in particular and provides a thinking framework in which unknown syn-
multi-criteria analysis and decision approaches, rather than ergies or problems can emerge and facilitates alignment of
planning theory, van Os et al. (2016, 2017) explicitly the overall project objectives and integration of further
describe a decision support system for planning decisions steps.
regarding subsurface activities. The modular evaluation
method for subsurface activities (MEMSA) is focused on 4.3.5 Tools: potential maps
social acceptance of the various activities possible and on For the second operational step of the Deep City
the dimensions of a decision-making process with the aim approach (see above), Li et al. (2013a, 2013b) and Doyle
to shift the focus away from pure profitability considera- (2016) present maps of potentials specifically for construc-
tions to integration of the community through trans- tion (Li et al., 2013b) and the four resources (Doyle, 2016).
parency and participation. It builds in a first step on an Li et al. (2013b) develop evaluation criteria for different
evaluation of potentials and their relation for concurrent depths and explore their relative importance for evaluation
or sequential use in a specific geological volume. In this, of resource demand and supply in cooperation with local

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 17

professionals. Doyle (2016) extends and refines the method assessed to inform decisions. They can be applied at differ-
for evaluation and mapping of potentials with the aim to ent scales and with different focuses. In the context of sub-
shift the understanding of the subsurface from a resource surface planning, as described above, Wassing and van der
or place that can satisfy urban needs to a potential that Krogt (2006) use scenarios to assess the relative importance
can be explored in the process of urban planning (Doyle, of different geological parameters for specific developments.
Thalmann and Parriaux, 2016). Doyle (2016) points out Hooimejier et al. (2017) design subsurface related provoking
that the generation of these maps involves primary data scenarios – extreme design solutions to current planning
gathering as well as assignment of resource related charac- tasks – and challenge groups of practitioners in workshops
teristics to the geological formations present. In a second to concretize these scenarios in an explorative manner to
step, surface data is included to assess the suitability of create a feasible vision for a city area. Rather than a con-
actual resource exploitation and inform the planning crete solution for a specific task, here possibilities and rela-
process. tionships are explored and cross-disciplinary conversations
Potential or suitability maps have also been used in are fostered. Rogers (2018) presents an assessment
other contexts. Hooimejer and Maring (2018) introduce a approach for engineering interventions in cities in that (a)
different kind of potential map: rather than showing what the aspirations the city and citizens associate with the inter-
could be used in the area looked at, they overlay different vention are tested through the development and contrasting
information layers which illustrate the impact of subsur- of future visions, (b) interventions are tested in the current
face assets on the surface. These maps are meant as an situation as well as in the context of four extreme future sce-
interactive tool or design guideline for an urban designer narios, and (c) assessing alternative business models for
and focus on comparatively small areas and not on the city implementation. The approach is not focused on subsurface
as a whole. interventions but is particularly relevant in view of the long-
Rather than assessing the potentials of a site or area, evity of these interventions.
Wassing and van der Krogt (2006) developed a set of suit-
ability maps to assess the suitability of an area for building 4.3.7 Valuation
a specific kind of development. The maps are based on Commonly, engineering interventions in the subsurface
geotechnical, geochemical and geohydrological properties are assessed with cost-benefit-analyses (CBA). In these
of the ground which are, in a second stage, weighted analyses, particularly for underground infrastructure it
according to how they would influence future scenarios. has proven difficult to equally account for the initial capital
The authors mention that the weighting is ‘‘somewhat arbi- cost and the long term social and environmental benefits
trary and subjective” and that the relevance of geological as (ITA, 2004). No explicit market for underground space
well as socio-economic aspects will rely on the perception exists and consequently other ways to assess its value are
of the respective planner and project they have in mind. needed (Pasqal and Riera, 2005).
Potential maps seem to be a valid tool for communica- The problem of value capture for projects or services
tion of information that is traditionally held in the techni- whose values cannot simply be translated into monetary
cal disciplines to the planning and design disciplines. units is not unique to subsurface space management. De
However, it is important to be aware that they are based Groot (2006), for example, developed a method for com-
on a previous definition of what is seen as potentials, i.e. parative analysis and valuation of different land use func-
a decision as to what is being mapped. Suitability maps tions, and new terms like social value (e.g. Frischmann,
for specific sites or areas are responding to specific 2012) or social return on investment (e.g. Lingane and
demands or created as support tools for specific decisions. Olsen, 2004) gain importance for a variety of decisions in
All of these tools produce an additional set of information the built environment.
to allow an intuitive use of technical subsurface informa- Related to the urban subsurface, Coogan (1979) devel-
tion in the planning or design process. oped a valuation scheme for subsurface developments
including nine parameters: need, scarcity, substitutability,
4.3.6 Tools: scenarios duration of change resulting from the use, rate of change
As can be seen with the potential and suitability maps once the use has begun, primary and secondary impact
described, there are attempts to look at what the ground on the surrounding area, revocability of the decision for
could provide (supply) and those which focus/start from a particular use once the commitment is made, and need
looking at the need (demand). In particular the latter relies for an orderly decision on the use before the commitment.
on methodologies to predict or foresee the future, but also For more specific functions, Lim et al. (2016) evaluate the
the former can change depending on the urban develop- public value of soil remediation in Korea, and Matthews
ment and climate change and thus at least require constant et al. (2015) assess the social cost of pipeline infrastructure.
updating. In planning strategies, both, supply and demand, Maring and Blauw (2018) suggest to refer to methods that
need to be balanced and it has to be set out how these are have been applied for ecosystem service valuation and pro-
determined. vide an overview over these methods.
Different to forecasting, scenario approaches aim to pro- Instead of assigning monetary value equivalents, multi-
vide a set of possible futures which can be compared and criteria decision frameworks aim at the integration of

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
18 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

CBA with other relevant criteria for project or intervention spatial allocation of structures and volumes for natural ser-
decisions (Kabir et al., 2013). Whilst these approaches sup- vices in the subsurface as well as above ground. This is a
port specific project decisions, a more general understand- shift from managing underground resources including geo-
ing of values of the subsurface for various aspects of urban materials and water primarily following economic and eco-
life, including for example precautionary measures for nat- logical principles on the one hand and efficient delivery of
ural disasters, and systemic approaches that are able to underground structures with a focus on capital cost and
assist with the evaluation of different options for specific return on investment on the other hand to holistic spatial
projects or locations as well as overarching planning objec- optimization and the question of how to prioritize, value
tives still need to evolve (see also Section 4.3.4). and allocate a variety of uses without blocking future
potentials.
4.3.8 Benchmarking and comparison Spatial allocation and mapping become more complex
It has been mentioned in the introduction to this section when natural resources and services are taken into consid-
that there appears to be an underlying assumption in the eration because the spatial limits or zones of physical influ-
literature about integrating the underground or subsurface ence of these uses are less clear and a wider range of people
into urban planning strategies. These strategies are often and interest groups is influenced by the according deci-
informed by Urban Indicators that can be used for com- sions. As interrelations of different uses and potentials of,
parison between cities as well as for longitudinal studies as well as interventions in, the subsurface are complex,
by measuring the development of indicators over time. new approaches are needed that can capture these com-
The subsurface is not currently covered by the established plexities to adequately analyze and manage the different
indicator schemes (Bobylev, 2016). Bobylev (2016) pro- functions of the subsurface and thus to unlock the value
poses a list of underground space related indicators for of underground space for cities. Systems approaches
inclusion, including if regional planning is taking into appear to be the way to describe and deal with these com-
account the geological and hydrogeological setting and plexities by changing the focus of analysis and practice
quantitative measures of underground space use. from elements to processes and continuous learning, inte-
Admiraal and Cornaro (2018) emphasize that underground grating commonly separated areas of analysis or expertise
space functions contribute or can contribute to seven of the and including citizen’s attitudes and reactions to embrace
16 sustainable development goals set by the United the dynamic nature of urban development (Cooper et al.,
Nations (United Nations, 2015). However, correlation of 1971).
these indicators with other indicators for overarching Assessments of potentials for and potential conflicts
objectives like sustainability or resilience could not be between uses, as well as scenario approaches are promising
shown and needs further investigation. tools that draw on the principles of systems thinking and
Indicators are one way to benchmark the development can provide useful tools to determine the comparative val-
of a city in a specific topic area and comparison with other ues of different interventions rather than focusing on capi-
cities can provide valuable insights for policy makers. For tal project cost. As a baseline for these approaches and
the development of the masterplan for Singapore, the urban planning decisions that include the subsurface,
Urban Redevelopment Authority of Singapore commis- understanding of the local governance framework and
sioned a benchmark study about underground develop- three-dimensional mapping of geology and present assets
ments (URA, 2018, see Section 4.2.2) to learn about are necessary, as can for example be seen in the current
underground planning efforts worldwide. The already men- efforts undertaken in Singapore, even if the collection and
tioned COST action (sub-urban.squarespace.com) sup- sharing of data for continuous improvement of models
ported short-term missions through which two cities are still challenging.
could create direct exchange about specific subsurface The examples of the masterplan for Singapore and the
related topics. However, whereas in several publications new law in the Netherlands that have been presented show
specific aspects of underground related aspects of the plan- how large the range of possible approaches is: The Whole-
ning regime (e.g. Li et al., 2013a) or specific parameters of Government Approach in Singapore addresses the inte-
(e.g. Bobylev, 2016) are listed for several cities, in depth gration of different sectors on an institutional level with the
comparisons between two or more cities are lacking in idea that reintegration of sectors needs to come through
the literature. governmental leadership (top-down) rather than from
industry (bottom-up). The new law in the Netherlands also
5 Discussion aims at integrating disciplines at institutional level but does
so explicitly to encourage and enable bottom-up initiatives.
The described strategies set out in recent literature as Both can be considered as systemic approaches and consti-
well as initiatives on local and national levels throughout tute a form of integration of traditionally separated gov-
the world show that the necessity to integrate the subsur- ernmental sectors. However, the local conditions in the
face into management and planning strategies for the built Netherlands mean that local communities are likely to be
environment is becoming more urgent. Ultimately, the pur- affected by climate change effects such as sea level rise
pose of planning within the subsurface is to optimize the and flooding and thus in this setting it appears sensible

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
 L. von der Tann et al. / Underground Space xxx (xxxx) xxx 19

to pass decisions – and consequently acceptance of their built, are perceived as fairly inflexible, integrating more
implications – down to the affected communities. In the flexibility and possibilities for readjustment into the con-
Singapore setting, a rising population density and continu- struction process seems desirable and interventions should
ing economic development has meant increasing competi- be comparatively assessed. For example, Multi Utility Tun-
tion for the limited land resource. As such, the nels on the one hand increase flexibility for utility construc-
underground is now considered a strategic resource for tion and maintenance along the route but might reduce
future economic growth. This realization, coupled with flexibility on the other hand by fixing these routes for a
the complexity of underground space development and longer period. Strategies as to how more frequent feedback
supported by a strong government, makes a top-down loops can be created and how the associated costs can be
approach to planning the best way to achieve optimal ben- offset against the value that is created by involving younger
efits at the highest system level. generations and maintaining maximal flexibility are
As these examples show, given the strong dependence of needed. This creation of flexible boundaries that can escape
approaches to local conditions, there is no one fits all solu- the traditional cost benefit thinking is a major challenge
tion to subsurface planning and management nor is that that needs to be addressed to enable cities to optimally
kind of solution sought, however there are a few common react to threads and embrace opportunities that cannot
principles evolving, including the described baseline, the yet be foreseen. One possible approach towards such
integration or at least communication across traditional strategies might be to investigate and compare related pol-
disciplines and the idea of continuous review and learning. icy fields in which systems approaches are or have been
To capture the variety at local level, a plurality of applied such as, for example, water or resource
approaches is necessary, covering a range of spatial and management.
temporal scales and covering top-down governmental as Whilst tools for valuation of social benefits and ecosys-
well as bottom-up community initiatives and the evolving tems services in the context of specific projects are being
methodologies should be seen as complementary rather developed, how to integrate long-term effects and values
than exclusive. Comparative analyses into how different that are not traditionally captured in capital cost and thus
governance regimes enable or disable subsurface manage- can be considered directly in cost benefit analyses is still an
ment or have done so in the past as well as of the implica- open question. On the project base, cost benefit analysis
tions of different overarching city visions on subsurface still does not allow for soft issues to be acknowledged by
space use would be valuable to inform future decisions. assigning ‘‘hard economic costs” to them. Also, to under-
Thought experiments about ideal subsurface use in a speci- stand the importance of a specific design task within the
fic geological setting pristine of human influence could pro- broader system it influences and by which it is influenced
vide further insight. remains a challenge. Current project studies usually cover
One recurring challenge in the field is the integration either socio-economic variables or spatial and technical
and study of interrelation of particular projects with over- variables. In particular if projects are looked at retrospec-
arching planning aims as they might act at very different tively, the influence they continue to have on the geological
scales. Whilst the complexity of the whole system persists, and built environment is rarely analyzed. These kinds of
the complexity of particular projects can be reduced studies would prove valuable to better understand the
through careful boundary definition. For specific projects, actual influence of subsurface interventions. Ultimately,
integration of maintenance and repair is often overlooked integration into and acknowledgement of the subsurface
during the planning stage and life-cycle-approaches for in urban planning frameworks is necessary if an efficient
these projects integrated with systems approaches for sub- and fair allocation of uses of the subsurface is sought.
ordinate planning are needed. This integration is challeng-
ing as it raises questions such as at what point in the 6 Conclusions
planning process the decision for a specific project to go
ahead should be taken. This moment in time will define In view of global challenges such as climate change,
how the boundaries for the respective project are set. Cur- population growth, and pressures on surface space, the
rently, once a decision is taken or a planning application is uses of the subsurface are increasing and more cities see
approved, a lot of project parameters are fixed. Long com- the need to integrate the subsurface into management
pletion times as well as – compared to surface structures – and planning strategies for the built environment. The geo-
longer life times can create lock-in effects. As the rate of logical setting and the built legacy of any city constitutes
change and technical innovation is increasing, materials the basis for the feasibility of any urban strategy yet is
and design principles specified at the beginning of construc- rarely recognized as such.
tion might be outdated at the moment of completion. This paper has provided an overview of the historical
To address these challenges, it would be desirable to development of use and management of the subsurface in
shift the focus of planning efforts from projects to design- urban areas, introduced principles of systems thinking
ing and revising processes. This has to be considered in par- and presented a perspective on what elements systemic
ticular for the preparation and implementation of new should be included in approaches for planning and man-
policies such as masterplans. As subsurface structures, once agement of the subsurface. It was discussed that whilst a

Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003
20 L. von der Tann et al. / Underground Space xxx (xxxx) xxx

multitude of interrelating systems in the subsurface need to Acknowledgements

be considered, alongside the interrelation of the subsurface
with the city above and a large number of stakeholders, This work was supported by the EPSRC, UK funded
any approach has to be based on an understanding of the Centre for Urban Sustainability and Resilience (Grant
local settings. Challenges involved in understanding these EP/G037698/1).
geological and legal settings and literature on urban under-
ground planning and management were reviewed on that References
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masterplans, mapping of use potentials and scenario urban underground future. Tunnelling and Underground Space Tech-
approaches, as well as the presented examples of Singapore nology, 55, 214–220.
and the Netherlands reinforce that whilst transferrable Admiraal, H., & Cornaro, A. (2018). Underground spaces revealed.
London, UK: ICE Publishing.
principles exist, for example with regard to the collection Akademie für Raumforschung und Landesplanung (2012). Nutzungen im
and interpretation of geological and utility data, any solu- Untergrund vorsorgend steuern – für eine Raumordnung des Unter-
tion to underground management and planning builds on grundes (Positionspapier aus der ARL No. 91).
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Please cite this article as: L. von der Tann, R. Sterling, Y. Zhou et al., Systems approaches to urban underground space planning and management – A
review, Underground Space, https://doi.org/10.1016/j.undsp.2019.03.003