Tesis para optar al Grado de Magíster en Urbanismo

Santiago de Chile se encuentra entre una de las ciudades más contaminadas del mundo. Por ello es necesario disponer de inventarios de emisión que sean confiables, precisos y detallados. Esta información permite identificar a los principales responsables y así tomar medidas para frenar el aumento o incluso provocar un decrecimiento de las emisiones, además de proveer un formato adecuado para la modelación de la calidad del aire mediante modelos de transporte y química atmosférica. El presente trabajo aborda dos grandes objetivos ambos desarrollados para la ciudad de Santiago de Chile. El primero es desarrollar y aplicar una metodología de modelación inversa para optimizar un inventario de emisiones de monóxido de carbono (CO). El segundo es aplicar y desarrollar métodos para obtener la distribución espacial de emisiones de fuentes móviles de CO. Para poder obtener un inventario optimizado por modelación inversa se realizó previamente un análisis de observaciones de las estaciones de monitoreo de calidad de aire de Santiago, una validación de las simulaciones meteorológicas y de dispersión de CO así como una validación de la metodología de modelación inversa utilizada para el caso de estudio. En estas etapas previas se encontraron las limitaciones tanto de las observaciones como de los modelos y metodologías. Finalmente, se obtuvo un inventario de emisiones con características similares al inventario inicial con una disminución global de un 2.1 %. Sin embargo, estos cambios corresponden a una disminución de emisiones en la zona centro-oeste y aumento en la zona este-sur y este-norte, como también a cambios en las emisiones sólo en las horas de la mañana, que en el detalle muestran diferencias superiores al 100 % en algunos puntos con respecto a la referencia. Basándose en las metodologías existentes de estimación de la distribución espacial de las emisiones se desarrollaron nuevos escenarios obteniéndose resultados satisfactorios. Las metodologías consistieron en usar mapas con información indirecta a las emisiones, como son densidad de población, índices socioeconómicos y de uso de suelo; e información directa, como una red vial completa, red vial simplificada e información sobre flujos vehiculares, capacidad de vías y velocidades medias. Las metodologías aplicadas ocupan distintos niveles de información, de forma que dejar abierta la posibilidad de aplicarlas en otras ciudades dependiendo del tipo de información que se posea. Primeramente se encontró que es posible mediante metodologías simples optimizar un inventario de emisiones utilizado un modelo de dispersión de contaminantes y observaciones de estaciones de monitoreo de la calidad de aire. Segundo, es factible obtener la distribución espacial de las emisiones usando metodologías simples obteniendo un buen nivel de representatividad de la referencia con el fin de evitar el uso de modelos costosos y así dejando abierta su aplicación a otras megaciudades de Sudamérica.

Memoria para optar al título de Periodista / Valparaíso es más que coloridas casas colgando de los cerros. Mucho más. Valparaíso no remite a un mero sitio urbano-cultural-popular. No. Valparaíso trasciende a los centenarios ascensores y bellos trolleys que aún pasean por la ciudad. Valparaíso no sólo es la cuna de grandes artistas y fuente de inspiración para otros tantos. Valparaíso es Patrimonio Mundial de la Humanidad (más bien su casco histórico lo es), es cierto. Tampoco puedo desmentir que su belleza sigue cautivando a miles de turistas cada año. Sería absurdo ignorar, además, que en Valparaíso subyace una singular adscripción identitaria de sus habitantes, ausente en otras ciudades. Sí, lo reconozco. Todo eso es cierto. En efecto esos mismos detalles que ahora pretendo simplificar me inspiraron a escribir líneas y líneas sobre el Puerto. Y digo esto para aclarar que esta ciudad de topografía irregular es mucho más que eso. Es más que el “puerto de nostalgia” del que nos habló Salvador Reyes. No es sólo la “ciudad vertical” según Alejo Carpentier, ni simplemente la “ciudad de pie” como dijo la Mistral. Es más, incluso, que la “ciudad del viento” que tan bellamente describió en sus crónicas Joaquín Edwards Bello. Es todo eso. Sí. Pero Valparaíso es, por sobre todo, la cuna del Chile republicano. Es una ciudad cosmopolita y pionera, que sentó de las bases de la Nación. Los cimientos políticos, económicos e incluso culturales del país hay que buscarlos en las diferentes calles de Valparaíso, donde también deambulan los fantasmas de conspicuos personajes en la historia chilena, como explica el historiador Jorge Beraud: “Los habitantes de Valparaíso se deben sentir más que orgullosos de su pasado, de su Historia, aunque no la conozcan, pues la Historia Patria se ha escrito por primera vez, en más de alguna oportunidad, en nuestro viejo y querido Puerto” . . Sin ir más lejos fue el Puerto el que cobijó a célebres personajes como Diego Portales, Andrés Bello y Rubén Darío en el siglo XIX, y cuya prominencia quedó plasmada en las crónicas de Joaquín Edwards Bello. El Puerto, cuyo nombre “responde simplemente al recuerdo del villorrio español donde nación su fundador, (Juan de) Saavedra; en la provincia de Zamora, España”, fue el lugar escogido por prósperos inmigrantes que desarrollaron su actividad comercial en Chile y, de paso, aportaron con las raíces multiculturales que distinguen al Valparaíso cosmopolita. Con la actividad comercial chilena centralizada en sus alrededores, la ciudad se convirtió en un sitio pionero en muchos aspectos. A saber en Valparaíso comenzó a funcionar la primera Bolsa de Valores de Chile; el primer centro hospitalario (San Juan de Dios); el primer cementerio; el primer colegio católico privado de Latinoamérica (en 1837, el SS.CC.); el primer Cuerpo de Bomberos (1851); la primera Biblioteca Pública (Santiago Severín, en 1873); el primer alambrado de gas del continente; el primer servicio telegráfico de Sudamérica (1852); la primera Asociación Deportiva (Cricket Club, 1865)….y la lista suma y sigue. Hubo otros hitos más conocidos, como la fundación del primer diario de habla-hispana: El Mercurio de Valparaíso, creado en 1927 o la formación del Banco Valparaíso o A. Edwards en 1866. Valparaíso, pionero y cosmopolita, era la tierra de los inmigrantes y de los habitantes vernáculos. Estos se diferenciaban claramente en la escala social. Dice Edwards Bello sobre la ciudad-puerto en el siglo XIX: “la parte europea reside en el ‘plan’ y la parte derrotada, de mestizos, se retira a los cerros de las quebradas” . Esto generó una identidad particular: la del porteño. Y es precisamente en este contexto en el que surge, otra vez en el Puerto y nuevamente como un acto pionero, el primer equipo chileno de fútbol: Santiago Wanderers de Valparaíso. El Decano del balompié nacional fue fundado el 15 de agosto de 1892, siendo el fruto del esfuerzo de noveles personajes que no superaban los 16 años y que buscaban practicar la misma actividad que introdujeron los ingleses llegados al Puerto: el foot-ball. Pero añadiendo virtudes locales a esa práctica británica. De hecho, Wanderers nació como una respuesta al equipo inglés que actuaba con el nombre de Valparaíso Wanderers. Según el relato novelado del poeta porteño Manuel Díaz Omnes, los jóvenes integrantes del naciente team habrían reflexionado: “…pues si hay un Valparaíso Wanderers, a nuestro club nosotros le ponemos Santiago Wanderers y santas pascuas. Además nuestro club será nuestro porque llevará el nombre de nuestra capital...” . Díaz Omnes, autor de la única obra que retrata la historia del equipo porteño, demuestra de este modo cómo el origen de un equipo de fútbol estuvo fuertemente vinculado a una cuestión de identidad local y honor. Wanderers, desde su fundación hasta el día de hoy, es un equipo que le pertenece a la clase popular de Valparaíso. Es el equipo de los cerros y de la gente más humilde. La comprobación empírica de este fenómeno subyace en los propios cerros de la ciudad, donde los postes del alumbrado público están pintados con los colores del club e inmensos murales creados por sus hinchas decoran la visual valpina (gentilicio local). Y, por sobre todo, el cariño que demuestra su gente hacia el club. En una entrevista realizada el lunes 18 de mayo en el Bar Liberty don Manuel Moraga Friedrich, un antiguo seguidor wanderino (75 años) y ex profesor de Caligrafía aclaró: “Ser porteño no es un título que uno se arrogue. No señor. Ser porteño es toda persona que quiere a Valparaíso y, por sobre todo, al Wanders”. Esa frase, por la convicción de quien la afirma y por los muchos otros personajes que piensan lo mismo, estimulan el rescate de esa identidad porteña, de su riqueza histórica y de la trascendencia que tiene en todo ese fenómeno el Club de Deportes Santiago Wanderers de Valparaíso. Valparaíso y Wanderers han caminado juntos y cada uno ha marcado diferentes hitos para ciudad. Ambos han aportado pasajes muy lindos de historia y a personajes entrañables presentes en estas páginas. Son, como dice el humorista Alvaro Salas, lo mismo. Indisolubles. “Nacer en Valparaíso y ser hincha wanderino son la misma cosa. No tienes otra opción. Ser porteño es ser del Wanderito” . Por eso escribo las siguientes líneas. Me mueve la linda convicción de que la historia de Valparaíso y, por sobre todo, la del principal articulador de su identidad (Santiago Wanderers) hay que perpetuarla, dejando en las páginas de esta Memoria inscritos los principales acontecimientos y protagonista de su linda, pionera y cosmopolita historia.

Magíster en Gestión y Dirección de Empresas / La Sociedad de Desarrollo Tecnológico, la Fundación Universidad Empresa y Capacitación USACH, son entidades de derecho privado, creadas por la Universidad de Santiago de Chile para desarrollar, coordinar, promover y apoyar las actividades que realiza en materia de transferencia tecnológica, asistencia técnica, educación continua, prestación de servicios técnicos y capacitación, utilizando las capacidades claves de la Universidad. El objetivo de este estudio de caso, es analizar el actual modelo de negocio de las empresas de la Universidad, creadas a partir de 1990, con el fin de proponer planes de acción que avalen un funcionamiento más eficiente y eficaz. Como así mismo, potenciar la generación y mantención de proyectos de trasferencia tecnológica, asistencia técnica y capacitación. El análisis propuesto se ha trabajado con una metodología cualitativa que permite el examen de la información y la descripción del actual modelo de negocio de las empresas de la universidad. Para tales efectos se ha utilizado el modelo Pest que complementa la información del entorno y se construye una matriz de estrategias de apoyo, que surge a partir del análisis FODA. Esta matriz orientará las estrategias a seguir y las líneas de acción para la modernización del modelo. Como resultado del análisis del actual modelo se pudo concluir que, para el cumplimiento de la misión de las empresas, este debe ser reformulado. En esta perspectiva, es relevante centrar las estrategias en dos líneas de acción, desarrollo de clientes y la redefinición de la estructura de costos. Ambas líneas se complementan tanto en la generación de excedentes aceptables respecto de la tasa libre de riesgo para el inversionista, cuanto en la inversión en infraestructura y en el control de gastos del valor de mano de obra contratada. Esto permitirá a los proyectos ofrecer programas competitivos y con valor agregado con relación a otros similares en el mercado. En la formulación del nuevo modelo se establece la propuesta de valor y los factores críticos que se deben manejar para lograr el éxito en la implementación del modelo. En tanto que, en el ámbito operacional, se define una estructura organizacional que incorpore aspectos tales como: un área comercial para ampliar su cartera de clientes, un equipo humano competente y una estructura de costos renovada. En último término, se establecen nuevos parámetros de la estructura de costos. Dichos parámetros consideran supuestos en las tasas que permitan entregar resultados favorables y proporcionan excedentes para la reinversión en infraestructura o la fijación de precios competitivos.

Santiago is the 7th largest major city of Latin America with almost 8 million inhabitants and is situated in a fairly closed watershed, surrounded on the eastern side by the high Andean mountain chain with altitudes of 5,000 m. From the Andean mountains, the Mapocho River and a set of large and small streams transport -often torrentially- water and sediment. In thirty years, Santiago has increased its size two fold, replacing previous agricultural lands, native forests and shrubs with urban land uses, and occupying rivers beds and streams. These land use and cover changes have had dramatic environmental consequences. The mentioned urban dynamic has produced a city in constant collision with the natural system. This structural disarticulation produces many environmental problems such as an increase in city’s surface and air temperatures, an accelerated disappearance of vegetation, a major interruption in wind, sediment and water flows, and finally, increasing people’s exposure to environmental hazards. Since streams, canals and rivers are structural components of Santiago’s landscape, they can function as key links between the urban-social and natural system and provide multiple ecosystem services, helping to reduce environmental problems and ensure long-term urban sustainability. Traditionally, the analysis of river and streamsides has been focused on rural and natural landscapes as well as on environmental protection and nature conservation. Nowadays, there is an increasing interest and necessity to understand the environmental status, functions and possibilities of riparian zones in urban environments in order to delineate and plan greenways, which provide social and ecological benefits. Green infrastructure such as urban greenways is a key component of sustainable cities. Few studies have been conducted to evaluate the socio-ecological status of urban riparian zones and even fewer to assess these areas in terms of their potential as multifunctional greenways. New efforts should be conducted to develop analytical application-oriented frameworks in the green infrastructure field. This research elaborates and proposes a transferable conceptual-methodological framework for evaluating the potential for multifunctional riparian greenway development. An analytical application-oriented framework to assess the potential for multifunctional green infrastructure development is proposed by articulating and improving three analyses hitherto used separately: multicriteria, least cost path and opportunities-challenges. The Mapocho River was selected for the application and testing of the proposed conceptual-methodological framework to contribute to multifunctional green infrastructure planning in Santiago as a city representative of the structure and processes of megacities in Latin America. First, the main ecological and social characteristics of the Mapocho’s riparian zone are analyzed, making a synthesis of the socio-ecological status. Second, the suitability to provide multiple ecosystem services of the riparian zone is spatially explicitly modelled, first separately, as mono-functional suitability, and then, integrated into a multifunctional suitability evaluation. Third, the opportunities and challenges perceived by government actors are identified and analyzed as well as those derived from an institutional and regulatory analysis. Finally, the assessment phase concludes with a discussion on the main potential for the development of a greenway, resulting from the synthesis and integration of the most relevant findings of the suitability and opportunities analysis The socio-ecological status of the riparian zones is characterized by being highly altered in ecological terms, diverse in social terms, and highly used by the metropolitan transport infrastructure with a concentration of green areas in a few municipalities. This means that the riparian zone provides limited physical support for important social and ecological functions characteristic of these zones in urban environments: habitat, aesthetic, cooling, transport route and flood mitigation. The results reveal a significant east-west gradient in the socio-ecological status of riparian zone, which gradually decreases from east to west. The riparian zone of the Mapocho River in Santiago has good suitability as a wind corridor, providing a cooling effect and to mitigate flood hazards. The main challenges for the development of a multifunctional urban greenway in the Mapocho River corresponds to low levels of inter-jurisdictional and inter-sectoral coordination and cooperation, maintenance costs and the existence of urban highways in the zone. On the contrary, the main opportunities are the existence of important sectors of vacant land, increased political and social importance of urban green areas and the existence of a set of consolidated riparian parks. In synthesis, the assessment developed in the Mapocho River identifies the most important aspects to be considered and the greatest potentialities to capitalize in planning a multifunctional greenway along the Mapocho River. This is key when thinking about a possible master plan for the Mapocho River that returns the river to the city and values it as an axis for urban integration. The development of a multifunctional greenway in Santiago can considerably contribute to the social and ecological connectivity and thereby mitigate the socio-ecological segregation and disconnection characteristic of cities in the region. It may also contribute significantly to reconcile urban growth with ecological health and people’s quality of life, maintaining functions and key ecosystem services and mitigating the negative effects of urbanization.

In the international context, this research analyzes the state of the art of scientific discussion, the action exerted by national and local governments through regulations, and the opinion of professionals in the field of construction of buildings in relation to the implementation of energy efficiency measures in buildings. In general, the interest in the different areas has been driven primarily by: 1) the worldwide increased energy consumption in buildings, emphasizes by an increasingly urbanized world and the resource scarcity for power generation, primarily fossil fuels; 2) the increase in greenhouse gas emissions related to the buildings' construction and operation; and 3) the thermal behaviour of the building's envelope, which determines the energy demand for thermal conditioning; mainly for heating in winter and cooling in summer. The foregoing has resulted in the implementation of different types of energy efficiency measures in the building sector around the world. On the one hand, through mandatory measures, driven by national and local governments through building codes; mandatory measures require that when building a new building or refurbishing an existing one, the architects, private developers, or builders must comply with building standards that govern the thermal performance of the different elements of the buildings' thermal envelope. On the other hand, by implementing voluntary measures, such as international certification systems, established by non-governmental institutions, aimed at legitimizing the efforts of building owners, design teams, and builders to design, build, and operate buildings in an environmentally friendly way. The latter has triggered an international trend and an increasing demand for certification of the so-called "green buildings". Such independent certification systems seek to reduce the environmental impact of activities in the construction sector. In the Chilean context, this research analyzes the relationship between two main pillars of the Chilean economy, the energy sector and the private housing sector. Particularly, this research focuses on the implementation of energy efficiency measures in the private housing market in Santiago, the Chilean capital. From the energy perspective, the high vulnerability for power generation by the dependence on the provision of gas from neighbouring countries and periods of drought affecting hydroelectric power generation, has led to the Chilean government intervention. Government intervention is centred on two main lines of action: 1) the diversification of the country's energy matrix, through the implementation of alternative systems for power generation based on non-conventional renewable energy sources; and 2) the implementation of energy efficiency measures. In the construction sector, the latter is expressed by the entry into force of the New Thermal Regulations for new residential buildings in three stages in the building code since 2000. With the implementation of new regulations in the construction sector in the Chilean context and the growing demand for green building in the international context, private real estate companies and construction companies, which are the backbone of the construction sector in Chile, have reacted by offering energy efficient real estate products in Santiago de Chile. Based on the foregoing, arises the main question leading this doctoral thesis: How do real estate developers apply energy efficiency in their housing offer in Santiago de Chile? The main research question is further refined by three sub questions: 1) who are the real estate developers that are adopting energy efficiency and why? This is a compound question, first it seeks to identify real estate companies adopting energy efficiency measures in Santiago de Chile’s private housing market; then it looks into the motivations for doing so; 2) what types of energy efficiency measures are real estate companies adopting? This sub-research question seeks to identify the adopted residential energy efficiency strategies; and 3) which barriers to further implementation of energy efficiency exist? It seeks to identify the setbacks found by energy efficiency adopters in the implementation process, in order to understand local issues in the adoption process. The Case Study and Selection of Sub-Cases for the Analysis The research focuses on the voluntary implementation of residential energy efficiency measures in the private housing market; moreover, it analyzes the case of Santiago de Chile. Therefore, the focus is set on real estate companies that offer energy efficient housing in their offer for real estate products in the metropolitan region. The selection of embedded sub-cases for the analysis, or sub-cases, was made by applying a criterion sampling strategy known as purposive sampling. For this, a thorough review of 568 private real estate companies' websites, offering different real estate products in the Metropolitan Region of Santiago de Chile between June and July 2011, was performed. Out of this group, a set of 45 companies that offering energy efficient homes mentioned were selected. Later on, personal interviews mainly with general managers of real estate development companies and other actors considered key informants because of their knowledge in the field, such as scholars, representatives from public institutions, other public and private research centres, and practitioners, were conducted between April and May 2012. Main Methods and Data Analysis Research is conducted under a qualitative approach, as it focuses primarily on the opinion of real estate companies’ CEOs and other key informants considered information rich when helping answering the research questions. The main tool for data analysis was the thematic content analysis. Main Findings The main results of this research are structured on the basis of the answering the secondary research questions or sub-questions. Who are the real estate developers that are adopting energy efficiency and why? As it was mentioned above, the first part of this compound sub-question seeks to identify the real estate companies that are implementing residential energy efficiency measures in their offer in the housing market in Santiago de Chile. A set of 45 real estate companies were identified because they mentioned to be applying some sort of energy efficiency measures. This was a rather small group since, at that time, 568 real estate companies were offering housing products. Based on the empirical findings, a categorization of real estate companies following the Roger’s model was conducted. Thus, real estate companies were categorized depending on when they began adopting residential energy efficiency measures in their housing offer. The three stages of the New Thermal Regulation issued for the housing sector in Chile were selected as time-milestones for defining the adopter categories. Accordingly, three main categories emerged following Roger’s model. 1) Innovators, includes real estate companies who adopted energy efficiency measures for the first time before the entry into force of the first stage of the NRT in 2000; 2) Early Adopters, groups real estate companies who adopted residential energy efficiency measures for the first time between the first and second stage of the New Thermal Regulation, that is to say between 2001 and 2007; and 3) Early Majority, includes real estate companies who began to apply residential energy efficiency measures starting in 2008, meaning after the second stage of New Thermal Regulation came into force. The empirical evidence suggests that the adoption process of energy efficiency measures has started following the normal development described by Rogers' innovation curve. Therefore, it is expected that the rest of the real estate developers operating in the private housing market in Santiago de Chile will eventually follow the Innovators, Early Adopters, and Early Majority categories. This is mainly due to the recent introduction of thermal regulation by the government and because the housing market is a highly competitive market, in which none of the players can risk to be left behind. The second part of the sub-research question, and probably the most important one, seeks to understand the motivations for real estate companies to offer and implement energy-efficient real estate products in Santiago de Chile’s private housing market. This research identifies the motivations of real estate development companies in the opinion of their managers collected in personal semi-structured interviews conducted during fieldwork. Based on the thematic analysis of the abovementioned interviews, four categories of motivations for offering and applying energy efficiency were identified based on the company managers’ opinion. These categories, in order of preference are: 1) Market Differentiation Strategies (Competitiveness and Trending); 2) Company Policies (Client-Oriented Policies, Innovation Policies, and Environmentally-friendly Policies); 3) Resource efficiency (Reduction of Household\'s Expenses and Concerns for Energy Scarcity); and 4) Government Incentive Schemes (Subsidies to the Use of Renewable Energy). Briefly, the main motivations for adopting energy efficiency measures in the private housing offer are related to marketing strategies. In general, real estate companies operating in Santiago de Chile are looking to distinguish themselves from their competitors by offering energy-efficient housing products. This is mainly because real estate companies are following a trend that is driven by several factors such as: local energy shortage periods, the international influence of green buildings in the real estate market, and the growing demand for international certifications in the Chilean context. What types of energy efficiency measures are real estate companies adopting? As mentioned earlier, this research identifies real estate companies offering energy-efficient housing in the private real estate market of Santiago de Chile who implemented a diversity of energy efficiency strategies in their housing supply, as the empirical evidence shows. Although the motivations for implementing energy efficiency measures are diverse (as described previously), energy efficiency measures are mainly implemented in order to reach a comfort temperature inside the dwelling, making all possible efforts to ensure that energy is used efficiently. In the case of the residential buildings, this means looking for the optimal use of energy for space heating or cooling, lighting, hot sanitary water, and ventilation. In general, depending on whether there is the need to make an additional energy effort in order to achieve optimum indoor comfort conditions, the energy efficiency measures implemented in the private housing sector in Santiago de Chile can be grouped into two main categories of energy efficiency strategies: passive design strategies and active design strategies. On the one hand, passive design strategies refer to what real estate developers are doing to reduce the energy consumption of their housing buildings. Such strategies include: 1) improving the overall thermal performance of the building envelope; 2) the use of renewable energy, mainly solar thermal and photovoltaic technology, for hot sanitary water and energy conversion respectively; and 3) bioclimatic design and construction principles. As it was mentioned in Section 6.1, a basic characteristic of passive design strategies, distinguishing them from active design strategies, is that in order to operate they rely on the building site and the inherited thermal properties of the building materials used in the different housing building typologies. On the other hand, active design strategies refer to the technological innovations implemented in order to maintain an optimal indoor thermal conditioning and to reduce the energy used in the different buildings’ systems; namely, 1) illumination systems; 2) heating systems; 3) centralized control systems; and 4) air conditioning systems. In general, real estate developers adopted active design strategies as a complement to the use of passive design strategies. Not surprisingly, real estate developers have mentioned the improvement of the thermal envelope as the most commonly used residential energy efficiency strategy. This results from the fact that internationally and in Chile, regulations in the housing sector were implemented in order to improve the thermal behaviour of dwellings, and therefore, their energy efficiency. Finally, a third type of energy efficiency strategy adopted by real estate developers in Santiago de Chile is the result of a public-private partnership between the Chilean Government and the Chilectra, the local electricity utility. The initiative is called “Chilectra – Full Electric Buildings” and it offers an optional electrical energy tariff for residential consumers. This strategy is further explained in Section 6.3. Which barriers to further implementation of energy efficiency exist? Based on the opinion of the various key stakeholder involved in this research, this research shows that most barriers to energy efficiency in the private housing sector in Santiago de Chile interact and strengthen each other. The classification of barriers to further implementation of energy efficiency is not straightforward. Nonetheless, in the opinion of real estate companies’ managers, the barriers to adopting energy efficiency measures in the private housing market in Santiago de Chile revolve around the specific characteristics of the local social system. These barriers are: 1) market barriers; 2) organizational barriers; 3) institutional barriers; and 4) behavioural barriers. In relation to the categorization of energy efficiency adopters identified in the first sub-question, the empirical evidence seems to indicate that, not all the barriers play the same role for all adopter categories. In general, market barriers are most relevant to the innovators group. Although most of the real estate developers mentioned that even today the local market and the local construction industry are not ready to provide adequate support (both in the availability of products and services) for further development of the market for energy efficient construction, the deficiency was greater 20 years ago, when the innovators first started to implement residential energy efficiency measures in the private housing sector. Moreover, the other barriers encountered (namely organizational and institutional barriers) are transversal to the adopter categories. This seems to drawn from the organizational and institutional characteristics of the context in which private real estate companies operate. The context remains constant over time and their internal relationships are also maintained, homogeneously affecting all adopter categories. Finally, barriers related to end users and/or clients’ behaviour are mainly listed by early majority adopters, which comprises developers who implement residential energy efficiency measures recently (after 2000). Apparently, this results mainly from the fact that end user are lacking information about the benefits (general and local) to be gained from implementing residential energy efficiency measures.:Acknowledgements ... p.5 Abstract ... p.7 Contents ... p.13 List of Figures... p.17 List of Tables ... p.19 List of Abbreviations ... p.21 1 Introduction ... p.27 1.1 Problem Statement ... p.27 1.2 Rationale and Aims of the Research ... p.31 1.3 Thesis Structure ... p.34 2 The Construction Sector at the Heart of the Chile\'s Energy Challenges ... p.37 2.1 The Chilean Construction Sector ... p.37 2.1.1 Background and Regulatory Framework ... p.38 2.1.2 Local Supply for Construction Services ... p.41 2.1.3 Demand for Construction Services ... p.47 2.2 The Private Housing Market in Santiago de Chile ... p.50 2.2.1 Characterisation of the Housing Demand ... p.51 2.2.2 Local Land Market and Housing Market Dynamics ... p.60 2.2.3 The Role of the State ... p.61 2.3 Chile’s Energy Challenge ... p.64 2.4 Raising Questions ... p.69 3 Research Design and Methods ... p.73 3.1 Research Design ... p.73 3.2 Sampling and Sub-cases Selection ... p.76 3.3 Primary Data Collection ... p.81 3.4 Data Analysis ... p.88 3.4.1 Transcription ... p.88 3.4.2 Interview Analysis ... p.90 3.4.3 Document Analysis ... p.93 3.5 Identification of Key Stakeholders and Interview Partners ... p.96 4 Energy Efficiency Standards for Residential Buildings ... p.99 4.1 Defining Energy Efficiency – The Wider Context ... p.100 4.2 Government-initiated Instruments – Building Codes and Energy Standards ... p.103 4.2.1 Regulatory Instruments ... p.104 4.2.2 Types of Regulations ... p.109 4.2.3 Thermal Zoning ... p.113 4.2.4 Information Instruments ... p.115 4.2.5 Economic Incentive Schemes ... p.121 4.2.6 Heating, Ventilation, and Air Conditioning (HVAC) Systems ... p.123 4.2.7 Renewable Energy ... p.125 4.3 Voluntary Instruments – Beyond the Building Codes ... p.128 4.3.1 The Shift Towards Green Buildings ... p.128 4.3.2 Green Building Certification Systems ... p.131 4.4 Regulatory Instruments in the Chilean Context ... p.148 4.4.1 Energy Efficiency in the National Energy Policy Making ... p.148 4.4.2 The Institutional Framework ... p.151 4.4.3 Energy Efficiency Standards in the Chilean Housing Sector ... p.155 4.5 Voluntary Instruments in Santiago de Chile ... p.161 4.5.1 Existing Certification Schemes ... p.161 4.5.2 Public-private Partnership ... p.164 4.6 Why Would Real Estate Companies Act Green? ... p.166 5 The Adoption of Energy Efficiency in the Private Housing Market in Santiago de Chile ... p.171 5.1 Energy Efficiency Adopters in the Private Housing Market ... p.172 5.1.1 Innovators ... p.174 5.1.2 Early Adopters ... p.175 5.2 Motivations for Applying Residential Energy Efficiency Measures ... p.179 5.2.1 Market Differentiation Strategies ... p.180 5.2.2 Company Policies ... p.182 5.2.3 Resource Efficiency ... p.186 5.2.4 Government Incentive Schemes ... p.191 6 Existing Residential Energy Efficiency Strategies ... p.195 6.1 Passive Design Strategies ... p.196 6.2 Active Design Strategies ... p.208 6.3 Public-Private Partnership ... p.212 7 Barriers to Implementing Residential Energy Efficiency Strategies ... p.217 7.1 Market Barriers ... p.218 7.2 Organizational Barriers ... p.226 7.3 Institutional Barriers ... p.229 7.4 Behavioural Barriers ... p.231 7.5 Central Challenges for the Adoption of Energy Efficiency ... p.235 8 Discussion of the Results and Implications ... p.239 8.1 Summary of Findings ... p.239 8.2 Discussion and Implications ... p.245 8.3 Recommendations ... p.250 8.4 Further Research ... p.257 References ... p.261 Annex ... p.279

Santiago is the 7th largest major city of Latin America with almost 8 million inhabitants and is situated in a fairly closed watershed, surrounded on the eastern side by the high Andean mountain chain with altitudes of 5,000 m. From the Andean mountains, the Mapocho River and a set of large and small streams transport -often torrentially- water and sediment. In thirty years, Santiago has increased its size two fold, replacing previous agricultural lands, native forests and shrubs with urban land uses, and occupying rivers beds and streams. These land use and cover changes have had dramatic environmental consequences. The mentioned urban dynamic has produced a city in constant collision with the natural system. This structural disarticulation produces many environmental problems such as an increase in city’s surface and air temperatures, an accelerated disappearance of vegetation, a major interruption in wind, sediment and water flows, and finally, increasing people’s exposure to environmental hazards. Since streams, canals and rivers are structural components of Santiago’s landscape, they can function as key links between the urban-social and natural system and provide multiple ecosystem services, helping to reduce environmental problems and ensure long-term urban sustainability. Traditionally, the analysis of river and streamsides has been focused on rural and natural landscapes as well as on environmental protection and nature conservation. Nowadays, there is an increasing interest and necessity to understand the environmental status, functions and possibilities of riparian zones in urban environments in order to delineate and plan greenways, which provide social and ecological benefits. Green infrastructure such as urban greenways is a key component of sustainable cities. Few studies have been conducted to evaluate the socio-ecological status of urban riparian zones and even fewer to assess these areas in terms of their potential as multifunctional greenways. New efforts should be conducted to develop analytical application-oriented frameworks in the green infrastructure field. This research elaborates and proposes a transferable conceptual-methodological framework for evaluating the potential for multifunctional riparian greenway development. An analytical application-oriented framework to assess the potential for multifunctional green infrastructure development is proposed by articulating and improving three analyses hitherto used separately: multicriteria, least cost path and opportunities-challenges. The Mapocho River was selected for the application and testing of the proposed conceptual-methodological framework to contribute to multifunctional green infrastructure planning in Santiago as a city representative of the structure and processes of megacities in Latin America. First, the main ecological and social characteristics of the Mapocho’s riparian zone are analyzed, making a synthesis of the socio-ecological status. Second, the suitability to provide multiple ecosystem services of the riparian zone is spatially explicitly modelled, first separately, as mono-functional suitability, and then, integrated into a multifunctional suitability evaluation. Third, the opportunities and challenges perceived by government actors are identified and analyzed as well as those derived from an institutional and regulatory analysis. Finally, the assessment phase concludes with a discussion on the main potential for the development of a greenway, resulting from the synthesis and integration of the most relevant findings of the suitability and opportunities analysis The socio-ecological status of the riparian zones is characterized by being highly altered in ecological terms, diverse in social terms, and highly used by the metropolitan transport infrastructure with a concentration of green areas in a few municipalities. This means that the riparian zone provides limited physical support for important social and ecological functions characteristic of these zones in urban environments: habitat, aesthetic, cooling, transport route and flood mitigation. The results reveal a significant east-west gradient in the socio-ecological status of riparian zone, which gradually decreases from east to west. The riparian zone of the Mapocho River in Santiago has good suitability as a wind corridor, providing a cooling effect and to mitigate flood hazards. The main challenges for the development of a multifunctional urban greenway in the Mapocho River corresponds to low levels of inter-jurisdictional and inter-sectoral coordination and cooperation, maintenance costs and the existence of urban highways in the zone. On the contrary, the main opportunities are the existence of important sectors of vacant land, increased political and social importance of urban green areas and the existence of a set of consolidated riparian parks. In synthesis, the assessment developed in the Mapocho River identifies the most important aspects to be considered and the greatest potentialities to capitalize in planning a multifunctional greenway along the Mapocho River. This is key when thinking about a possible master plan for the Mapocho River that returns the river to the city and values it as an axis for urban integration. The development of a multifunctional greenway in Santiago can considerably contribute to the social and ecological connectivity and thereby mitigate the socio-ecological segregation and disconnection characteristic of cities in the region. It may also contribute significantly to reconcile urban growth with ecological health and people’s quality of life, maintaining functions and key ecosystem services and mitigating the negative effects of urbanization.

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El metro de Santiago y sus estaciones se construyen en la década de los ‘70 como protagonistas de un proyecto mayor de modernización de la ciudad, liderado por el arquitecto y urbanista Juan Parrochia Beguin. La tesis aborda la génesis y la expresión espacial de las estaciones de metro de este período, destacando su vital participación en la configuración del espacio público de la ciudad. Se presentan como piezas fundamentales de un nuevo “sistema urbano”, que desde su arquitectura y emplazamiento, confrontan tanto las exigencias tecnológicas del transporte público, como los requerimientos y oportunidades de cada uno de los lugares en que se insertan. A partir de levantamientos y registros fotográficos, y del análisis y representación de los planos de trazado y arquitectura de cada estación y de su entorno, se reconstruye la historia de relevantes proyectos urbanos en torno al metro, yendo más allá de las propias estaciones, para reflejar la nueva dimensión metropolitana que adquiere la ciudad total / The Metro of Santiago and its stations were built in the decade of the ‘70s and acted as protagonists of a larger project of modernization of the city, led by the architect and urban planner Juan Parrochia Beguin. This thesis addresses the origins and spatial expression of the metro stations of this period, emphasizing their vital role in shaping the public space of the city. These stations are analyzed as cornerstones of a new “urban system” that through their architecture and location confront both the technological demands of public transport and the requirements and opportunities of each of the places into which they are inserted. Starting with surveys of the built form and photographic records, followed by an analysis and drawn representation of the layout and architecture of each station and its surroundings, the history of significant urban projects located around the subway system is reconstructed. The research goes beyond the stations themselves in order to also reflect on the new metropolitan dimension acquired along the main avenues of the city during this period of urban transformation.

Das rasant voranschreitende Wirtschaftswachstum Chiles in Zusammenhang mit einer sehr liberalen Wirtschafts- und Stadtentwicklungspolitik ist Ursache für eine tiefgreifende gesellschaftliche und urbane Umstrukturierung der chilenischen Hauptstadt. Die Nutznießer dieser Entwicklung sind in jüngster Zeit besonders auch Angehörige der unteren Mittelschicht, für die eigens preiswerte bewachte und umzäunte Wohnprojekte ins Leben gerufen werden. Schwerpunkt der vorliegenden Untersuchung war es, diese sich neu formierende Gesellschaftsschicht genauer zu betrachten und zu untersuchen, mit welchen Anpassungshandlungen diese auf die veränderten Lebens- und Wohnbedingungen innerhalb dieser sogenannten condominios reagieren. Das Konzept condominio scheint zunächst die ideale Antwort auf zahlreiche Handlungsprobleme zu sein; das Wohnen im abgeschlossenen Wohnviertel gibt das Gefühl der Sicherheit und Kontrolle der unmittelbaren Umgebung und ist durch seine Exklusivität gleichzeitig ein willkommenes Statussymbol. Erst auf den zweiten Blick wird sichtbar, was das condominio nicht leisten kann und welche weiteren Probleme mit dem Wohnen im abgeschlossenen Viertel entstehen. Im Laufe der Analyse wurde jedoch die trotz aller Problemlagen essentielle Bedeutung des condominios für ihre Bewohner erkennbar. Die neue Wohnform der unteren Mittelschicht ist nicht nur ein Produkt der sich in ihren Potentialen, Ansprüchen und Werten verändernden Anwohner. Sie wird auch aktiv für die Konstruktion von sozialen Identitäten genutzt und ist damit also zentrales Element in der Formation und Identifikation dieser Gesellschafts-schicht.