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Energy and Buildings 35 (2003) 95–101

Thermal comfort and psychological adaptation


as a guide for designing urban spaces
Marialena Nikolopouloua,*, Koen Steemersb,1
a
Centre for Renewable Energy Sources (CRES), 19th km Marathonos Avenue, Pikermi 19009, Greece
b
The Martin Centre for Architectural and Urban Studies, Department of Architecture,
University of Cambridge, Cambridge CB2 2EB, UK

Abstract

Investigating thermal comfort conditions in outdoor urban spaces, has thrown some light on the complexity of the issues involved,
demonstrating that a quantitative approach is insufficient in describing comfort conditions outdoors. It revealed that although microclimatic
parameters strongly influence thermal sensation, they cannot fully account for the wide variation between objective and subjective comfort
evaluation, whereas, psychological adaptation seems to becoming increasingly important. This paper concentrates on the issue of
psychological adaptation: naturalness, expectations, experience (short-/long-term), time of exposure, perceived control and environmental
stimulation, and presents an attempt to try and evaluate the relative impact of each of these parameters. Understanding the interrelationship
between the different parameters of psychological adaptation would be of interest in order to compare their relative significance, and to assess
their design role, that is whether design considerations would influence these parameters, or vice versa, whether they could influence design
decisions. An awareness of these issues would be valuable to architects, planners and urban designers, not by the way of limiting possible
solutions, rather by enriching the design possibilities.
# 2003 Elsevier Science B.V. All rights reserved.

Keywords: Outdoor comfort; Adaptation; Urban spaces; Design considerations

1. Introduction is less likely to be chosen, in order to avoid discomfort.


Nevertheless, such discomfort will not cause them serious
Understanding and evaluating thermal comfort conditions distress, since the time of exposure to the specific environ-
in urban spaces is necessary, as this can have major implica- mental conditions is short. On the other hand, with resting
tions for the development of cities. Investigating thermal places the situation is different, as poor comfort conditions
comfort in the urban context through 1431 interviews at four may distress people and lead them to avoid using these areas.
different sites in the city-centre of Cambridge—at different The study revealed that microclimatic parameters indeed
times of the year—has thrown some light on the complexity strongly influence thermal sensations, but such an approach
of the issues involved, and has demonstrated that a quanti- only accounted for around 50% of the variation between
tative approach is insufficient in describing comfort condi- objective and subjective comfort evaluation. The rest could
tions outdoors [1]. Evaluation of comfort was done comparing not be measured by physical parameters, but psychological
the recorded environmental parameters—air and globe tem- adaptation seemed to become increasingly important,
perature, wind speed and humidity—with the subjective accommodating wide fluctuations in the physical environ-
human behaviour and responses people gave at the interviews. ment, so that thermal discomfort is avoided.
Before engaging in the discussion on the thermal comfort This paper concentrates on the issues comprising psycho-
conditions of outdoor spaces, however, a differentiation has logical adaptation: naturalness, expectations, experience
to be drawn between routes and resting places. In the study (short- and long-term), time of exposure, perceived control
presented here, we are concerned with resting areas, since and environmental stimulation, as it has not been possible so
people choose to sit somewhere, whereas, a particular route far to quantify these effects, the relative weight of each
parameter is not known. An attempt is presented here to try
*
Corresponding author. Tel.: þ30-10-6603300; fax: þ30-10-6603301.
and evaluate the relative impact of each of these parameters.
E-mail address: mnikol@cres.gr (M. Nikolopoulou). Understanding the interrelationship between the different
1
Tel.: þ44-1223-331700; fax: þ44-1223-331701. parameters of psychological adaptation would be of interest

0378-7788/03/$ – see front matter # 2003 Elsevier Science B.V. All rights reserved.
PII: S 0 3 7 8 - 7 7 8 8 ( 0 2 ) 0 0 0 8 4 - 1
96 M. Nikolopoulou, K. Steemers / Energy and Buildings 35 (2003) 95–101

in order to compare their relative significance, and to assess


their design role, that is whether design considerations
would influence these parameters, or vice versa, whether
they could influence design decisions.
Some of these parameters are inherent to the qualities of a
space, whereas, others are more personal, variables people
bring in the space. The complexity of these relationships is
also variable, as none of them follows a simple cause and
effect situation. In some of these, satisfaction with the
thermal environment of the space will depend as much on
the space itself, as it will on personal variables people bring
to the area with them, and the former will affect the latter,
whereas, the latter will affect the perception of the former.
However, despite the complexity of the above interrela-
tions, it is possible to consider—without being determinis-
tic—design issues which would have some impact on the
above parameters, as described further below. This would in
turn increase the range that psychological adaptation could Fig. 2. Comparison between actual percentage and predicted percentage of
take place, therefore, widening the range of environmental dissatisfied.
conditions considered as comfortable. An awareness of
these issues would be valuable to architects, planners and between the two, regarding thermal comfort conditions
urban designers, not by the way of limiting possible solu- outdoors.
tions, rather by enriching the design possibilities. The predicted percentage of dissatisfied (PPD), based on
the theoretical calculation of the predicted mean vote (PMV)
for each interviewee [2], (getting a mean value from the
2. Thermal sensation individual calculated PPDs), was compared with the corre-
sponding actual percentage of dissatisfied (APD) (Fig. 2).
The interviews demonstrated that thermal, and by impli- The PPD varies from 56% in spring to 91% in winter,
cation comfort conditions, affect people’s use of outdoor whereas, the yearly average is 66%. That implies 944 of
spaces. Responses to the microclimate might have been the 1431 people sitting outside should be dissatisfied with
unconscious but have resulted in a different use of urban their thermal environment. In fact, the APD is always around
space in different climatic conditions [1]. Examining the 10%, a figure that is regarded as acceptable, found even in
number of people using the different spaces at various time controlled indoor environments.
intervals, revealed that warm conditions and the presence In agreement with most field studies carried out in build-
of the sunlight are the important factors in the use of the ings, the current results suggest that adaptation takes place.
space, as shown in Fig. 1, where the average number of Furthermore, the wide variation of environmental para-
people sitting in the space increases as globe temperature meters outdoors, in contrast to indoor conditions, accentuate
increases. this discrepancy.
Most importantly, however, comparison of objective with
subjective data revealed that there was a great discrepancy
3. Adaptation

The term ‘adaptation’ can be broadly defined as the


gradual decrease of the organism’s response to repeated
exposure to a stimulus, involving all the actions that make
them better suited to survive in such an environment. In the
context of thermal comfort, this may involve all the pro-
cesses which people go through to improve the fit between
the environment and their requirements.
Within such a framework, adaptive opportunity can be
separated into three different categories: physical, physio-
logical and psychological [3]. A brief description of these
categories is necessary, in order to obtain a clear under-
standing of the different issues involved, and to be in a
Fig. 1. Variation of the number of people outdoors, in relation to globe position to get into more depth on the subject of psycholo-
temperature. gical adaptation.
M. Nikolopoulou, K. Steemers / Energy and Buildings 35 (2003) 95–101 97

3.1. Physical adaptation thermal conditions deviated from what people were experi-
encing the previous days, this caused differences in people’s
Physical adaptation involves all the changes a person sensation votes or even complaints, as their expectations had
makes, in order to adjust oneself to the environment, or changed.
alter the environment to his needs. We can, therefore, This was in agreement to the findings of a Norwegian
identify two different kinds of adaptation, reactive and study [5,6], where minimum comfort temperature in autumn
interactive [3]. In reactive adaptation, the only changes was 11 8C, whereas, in spring it was 9 8C. Expectations
occurring are personal, such as altering one’s clothing levels, varied as a result of the much cooler temperatures preceding
posture and position, or even metabolic heat with the con- the spring.
sumption of hot or cool drinks. In interactive adaptation,
however, people make changes to the environment in order 3.3.3. Experience
to improve their comfort conditions, such as opening a Experience directly affects people’s expectations and can
window, turning a thermostat, opening a parasol, etc. be differentiated in short- and long-term. Short-term experi-
ence is related to the memory and seems to be responsible
3.2. Physiological adaptation for the changes in people’s expectations from one day to the
following. This also explains why thermal neutrality for
Physiological adaptation implies changes in the physio- outdoor conditions was found to vary from 7.5 8C in winter
logical responses resulting from repeated exposure to a to 27 8C in summer, lying close to the mean air temperature
stimulus, leading to a gradual decreased strain from such [1], as physical adaptation only partly justify this range of
exposure. In the context of the thermal environment, this is temperatures.
called physiological acclimatization. Such a mechanism Long-term experience is related to the schemata people
becomes crucial in extreme environments, but in the context have constructed in their minds, determining a choice of
of the current research, it is not of central importance. action under different circumstances. Therefore, changes in
clothing, consumption of cool drinks to alter the metabolic
3.3. Evidence for psychological adaptation heat, moving from sun to shade, etc., all represent well-
established choices of action on the issue of how to cope
Different people perceive the environment in a different with the variable thermal environment. As Wohlwill argues,
way, and the human response to a physical stimulus is not in adaptation levels are established as functions of past expo-
direct relationship to its magnitude, but depends on the ’infor- sure [7].
mation’ that people have for a particular situation. Psycholo- Open spaces, whether in the form of squares or parks, are
gical factors are, therefore, influencing the thermal perception familiar places for everyone, and so are our associations with
of a space and the changes occurring in it, as described below. them.

3.3.1. Naturalness 3.3.4. Time of exposure


This is a term employed by Griffiths et al. [4], describing Exposure to discomfort is not viewed negatively if the
an environment free from artificiality, whereby there seems individual anticipates that it is short-lived, such as getting
to be increasing evidence that people can tolerate wide out of a warm car to enter a building in winter, and no
changes of the physical environment, provided they are significant dissatisfaction is caused. This is a critical factor
produced naturally. The best example that this is an impor- for external spaces, which apart from movement, they are
tant parameter in people’s perception of outdoor spaces is mainly used for recreational activities, and people modify
perhaps highlighted in Fig. 2, where the respective PPD and the time they spend outside, according to their needs.
APD profiles are very different. In such places, where all the The time people spent in the different sites varied enor-
climatic changes occur naturally, wide changes of the phy- mously, but the thermal perception of the environment was
sical environment are tolerated. an important parameter influencing people’s decision on
how long to spend in the area. Two different aspects seemed
3.3.2. Expectations to influence this decision: the subjects’ current thermal
Expectations—that is what the environment should be sensation and the subjects’ short-term thermal history.
like, rather than what it actually is—greatly influence peo- Generally, unless exposure to discomfort is threatening for
ple’s perceptions, such as in naturally ventilated buildings, the living organism—explaining sensitivity to the cold rather
where people expect variations in temperatures, both tem- than heat—tolerance to the thermal environment is great.
porally and spatially, whereas, in air-conditioned spaces they
expect a much more stable thermal environment. 3.3.5. Perceived control
In outdoor spaces this relates to the frequent reply people It is now widely acknowledged that people who have a
gave throughout the year ‘‘it’s OK for this time of year’’, high degree of control over a source of discomfort, tolerate
‘‘for this time of year I would prefer it warmer’’, or ‘‘it’s wide variations, are less annoyed by it, and the negative
winter it’s meant to be cold’’. In the few instances, where emotional responses are greatly reduced. People who
98 M. Nikolopoulou, K. Steemers / Energy and Buildings 35 (2003) 95–101

mentioned choosing their sitting positions so that the choice This issue of free choice becomes of prime importance in
of both the sun and the shade was open to them, further outdoor spaces, where actual control over the microclimate
reinforces this point. It is not important whether they is minimal, perceived control having the biggest weighting.
actually moved position eventually, the critical issue was
that the choice was available. 3.3.6. Environmental stimulation
Similarly, this choice of sitting in the sun or the shade also Comfortable conditions have been regarded as those
affected the amount of time spent outdoors. This was longest where occupants feel neither warm nor cold, where ambient
in the sites that had a variety of spaces available—with conditions are ‘neutral’. However, it is increasingly believed
50 min average in the summer—offering both exposure to that a variable, rather than fixed, environment is preferred,
the sun and the shade, and shortest in the area where no whereas, a static environment becomes intolerable. Envir-
shading was offered—16 min average in the summer. onmental stimulation is an issue of primary importance in
Another form of perceived control over the environment external spaces, where the environment presents few thermal
became apparent when investigating the reasons people gave constraints, this being an important asset of such areas and
for being in the spaces, particularly in relation to their one of the reasons that people use these spaces.
comfort state. It became apparent that the amount of people Environmental stimulation is probably the main reason
feeling uncomfortable and dissatisfied with the thermal for the majority of people to sit outdoors. This was the most
environment was higher when the only reason for being popular reason people gave in spring, when they were asked
there was to meet someone, rather than other reasons. In why they were in the area, as well as being a popular
particular, 23% of the population using the space as a response to what they liked about the area.
meeting place, waiting for another person to arrive, reported Further evidence for this is the fact that the majority of
dissatisfaction with the thermal environment (Fig. 3). This interviewees’ actual thermal sensation votes (ASVs) were
amount of dissatisfaction decreases by half to 12%, for the recorded in the þ1 warm category and followed by –1
population that have gone to the space for other reasons. Put cool, but not 0 which corresponded to neutrality (Fig. 4).
in a different way ([8], p. 378): Furthermore, the fact that the majority of people were found
‘‘Lack of action at any particular point in time does not outdoors in higher temperatures when the majority of ASVs
necessarily imply the absence of intention to act in the was þ1, suggests that people enjoy feeling warm.
future. In fact, adapting to or tolerating a stress or may Further support on this point, was obtained examining the
be easier if one intends to engage in active coping in the average time people spent outdoors, which also corre-
future’’. sponded to ASV ¼ þ1, and not neutrality. People enjoyed
Therefore, people who are in the space for various reasons feeling warm and when such conditions arise, they stay the
are aware that it was their own choice to expose themselves longest, taking advantage of the situation. This would
to these conditions, and when they wish can leave, becoming probably be reversed in a warm climate when enjoyment
more tolerant to the thermal environment. However, people would correspond to conditions described as cool.
who were there to meet someone did not have the option of The need for variability and stimulation was also found to
leaving when they wished to do so. The termination of their be especially desirable for people working in a building and
exposure to the thermal conditions was dependent on exter- coming out for their lunch-break. This was demonstrated by
nal factors, in this case the arrival of the other person, which examining people’s short-term thermal history before com-
was causing distress, making them less tolerant to the ing outdoors, i.e. where they were before, in a building or
environment. outdoors. People coming directly from buildings spent the
longest time in warm and hot conditions.

Fig. 3. Percentage satisfaction: (i) theoretical predictions according to the


Fanger PPD model [2]; (ii) people in the area by their own choice and; (iii) Fig. 4. Frequency distribution for interviewees’ actual thermal sensation
those waiting for another person to arrive. votes (range between 2 and þ2).
M. Nikolopoulou, K. Steemers / Energy and Buildings 35 (2003) 95–101 99

The most plausible justification seems to be that they see


the external environment with the fresh air, the sun and the
wind as invigorating stimulation for the senses, wishing to
spend some time there, before returning to the more mono-
tonous workplace. On the other hand, people having spent
enough time outdoors before arriving in the area meant that
sensory and thermal equilibrium had been reached. This also
suggests that heat storage, a term which is not included in the
theoretical PMV model [2], may also be a significant para-
meter in the evaluation of thermal comfort.
Another interesting point arose by examining the number
of people sitting in the sun and the shade, in spring and
summer, in relation to their short-term thermal history. It
was noticed that there is a tendency for people who come out
of a building to sit in the sun rather than shade, even at high
air temperatures. The need to ‘‘charge-up’’ the body with the
sun was greater than the short-lived and non-threatening
physiological strain on the body. On the contrary, the
majority of people found sitting in the shade had come from Fig. 5. Lines of influence between the different parameters of psycholo-
outside. gical adaptation.
Therefore, if the site itself is very interesting offering
different kinds of stimulation, people will have higher tol-
erances to the extreme conditions, provided they are not other. These lines are not weight related and there is no
threatening, than they would under average circumstances. magnitude associated with the strength of relationship; they
only denote that a relationship exists. They have been
3.4. Evaluation of psychological adaptation developed from common sense, as well as the insights that
this research has provided in general.
The effect of physical adaptation can be evaluated These speculative relationships are summarised in Table 1,
numerically. An individual may adjust his temperature where the degree to which the various parameters are
range by 6 K [9], or reduce his net metabolic heat by influencing and are being influenced by other variables of
10% with the reduction of cold drinks [10]. Furthermore, the same group is presented.
this information can be the input in the physiological model It is interesting to notice that the naturalness is judged
to view explicitly the effect of such measures on the here to influence other variables, but is not influenced by any
theoretical PMV. parameters of the group. It seems that such a variable is
With psychological adaptation, however, it has not been inherent to the space, and is not affected by more personal
possible to quantify effects, and the relative weight of each variables such as perceived control. Furthermore, expecta-
parameter is not known. An attempt is presented below to try tions, environmental stimulation and time of exposure can
and evaluate the relative impact of the different parameters be seen to be affected by every variable in the group.
involved in thermal comfort. A more simplified way of presenting this is graphically
(Fig. 6), indicating the degree one variable influences and is
being influenced by another. The three variables that are
4. Influence of psychological adaptation influenced by all other parameters of psychological adapta-
tion are presented in one group, to denote the interrelations
Understanding the interrelationship between the different between them, external connections provided where
parameters of psychological adaptation would be of interest required. Clearly, this implies that the relationships between
in order to compare their relative significance, and to assess
their design role, that is whether design considerations Table 1
would influence these parameters or vice versa, whether Speculative interaction of different parameters of psychological adaptation
they could influence design decisions. Parameter Influencing Being influenced
It is not possible to create a speculative network of parameter by parameter
relationships between the various parameters. Fig. 5 depicts Perceived control 3 3
such a network of the different parameters affecting psy- Expectations 3 5
chological adaptation with lines of influence between them, Environmental stimulation 3 5
indicating whether one parameter affects another. Some Experience 4 2
parameters have a two-way relationship, such as between Time of exposure 3 5
Naturalness 4 0
perceived control and expectations where one affects the
100 M. Nikolopoulou, K. Steemers / Energy and Buildings 35 (2003) 95–101

experienced, between indoors and outdoors, affecting their


thermal sensation.
Perceived control can be affected by providing increased
opportunities for physical adaptation to take place. Reactive
adaptation, such as clothing and metabolic heat, depends on
the individual and is not site-related. Spatial variation,
however, is a parameter that can be catered for, providing
a variety of sub-spaces within the same area. This would
translate into allowing for access to the sun as well as the
shade, exposure to breezes as well as protection from the
wind, with normally different areas preferred in different
seasons. Similarly, transition spaces, such as arcades provide
useful spatial variation in areas, which have to cope with
Fig. 6. Network demonstrating interrelationships between the different harsh winters. Interactive adaptation is infrequent in outdoor
parameters of psychological adaptation.
spaces [3]. However, movable elements allowing for it, such
as parasols or awnings, provide spatial variation with pro-
tection from the sun and the rain, and are normally appre-
those variables are complex, as it is not a simple cause and ciated by users of the space.
effect situation. Satisfaction with the thermal environment These are the main parameters that can be influenced from
of the space will depend as much on the space itself, as it will the design point of view, all affecting the remaining time of
on personal variables people bring to the area with them, and the exposure, environmental stimulation and expectations.
the former will affect the latter, whereas, the latter will affect Time of exposure is a personal variable, but may be influ-
the perception of the former. enced by people’s thermal evaluation of the area, positively
for extending their stay in the area, or negatively reducing it.
It is, therefore, indirectly affected by the three primary
5. Design consideration parameters—naturalness, experience and perceived con-
trol—as well as the other two in the same group. The main
Despite the complexity of the above interrelations, it is difference between the different groups is that in the former,
possible to consider—without being deterministic—design design considerations can improve existing conditions either
issues, which would have some impact on the above para- at the stage where an area is being developed, or later by
meters. This would, in turn, increase the range psychological design interventions.
adaptation that could take place, therefore, widening the A variety of such examples in the former case is con-
range of environmental conditions considered as comforta- sideration of the density of urban textures, orientation of
ble. An awareness of these issues would be valuable to open spaces, width of streets, height of buildings, etc., all
architects, planners and urban designers, not by way of affecting solar exposure and shading, as well as wind
limiting possible solutions, rather by enriching the design deflection and wind acceleration through the streets and
possibilities. squares. Creating pleasant or harsh urban spaces can be
The first parameter considered, influencing without being determined early on, at the design stage.
influenced by other parameters, is the naturalness, which is When the urban texture is existent alterations are still
part of the character of a place. This can be significantly possible at the scale of the urban block, in order to improve
increased, by ‘greening’ an area, adding vegetation or views the microclimate. Microclimatic control is feasible, pro-
of landscape, particularly within the dense urban context, vided it is acknowledged that the public domain is not to
which would accentuate the distinct character of the differ- be ignored. Vegetation, used for shading and wind breaks,
ent areas. movable canvas awnings, canopies made of various materi-
This positive evaluation of areas with natural instead of als such as reeds, bamboo, or vines provide effective shading
built characteristics has also been verified by other studies and present main architectural features of the street. Further-
[11], where the presence of some trees repeatedly neutra- more, proprietors of commercial activities are normally the
lised the negative evaluation of empty space. first to realise the potential of such cool oases in a hot
Past experience is not so much site-related, as much as it is environment.
a variable people bring to the space, but some action can be The individuals also determine the degree of environ-
taken to affect it, particularly the short-term experience. This mental stimulation desired. However, protection from nega-
would be more relevant to the design of the urban fabric or tive aspects and exposure to positive aspects of the climate
the urban block as opposed to a single site. Since, people’s can increase such desire. Such microclimatic planning
thermal sensation is influenced by their immediate short- would also increase the use of outdoor spaces during the
term thermal experience, by providing more spatial variety intermediate seasons. In fact, in Norway, it was found that
in the city, a rich variety of different environments can be the outdoor season could be extended by up to 6 weeks
M. Nikolopoulou, K. Steemers / Energy and Buildings 35 (2003) 95–101 101

during the more critical seasons of spring and autumn by consideration of this duality could increase the use of the
appropriate microclimatic planning. This meant providing city’s open spaces, strengthening social interaction between
protection from the wind, orientation to maximise solar citizens by allowing opportunities for such interaction to
exposure, avoiding overshadowing, employing heat absorb- take place.
ing and heat reflecting materials, etc. [6].
Finally, regarding expectations, this is also linked to the
design of open spaces but only indirectly, by affecting the Acknowledgements
degree of perceived control.
This work originated from the EU (DG XII) funded
project ‘‘Project ZED: Towards Zero Emission Urban
6. Conclusions Developments’’ (APAS-RENA CT94-0016) coordinated
by Koen Steemers at the Martin Centre, and was co-funded
This work has thrown some light on the complexity of by the Royal Institute of British Architects (RIBA). The
issues involved in thermal comfort in outdoor urban spaces, authors are currently involved in a new EU-funded research
particularly in areas identified as resting places, as opposed project (5th Framework Programme, City of Tomorrow and
to routes. A quantitative approach to the physical parameters Cultural Heritage from the Programme Energy Environment
has demonstrated that microclimatic parameters, indeed, and Sustainable Development) on outdoor comfort which
strongly influence thermal sensations. However, such an involves the surveying, monitoring and modelling not only
approach only accounted for around 50% of the variation thermal as well as visual and acoustic comfort conditions, in
of the interviewees’ ASVs. The rest could not be measured cities across Europe. The project, entitled ‘‘RUROS: Redis-
by physical parameters, but psychological adaptation covering the Urban Realm and Outdoor Spaces’’, is being
seemed to become increasingly important. coordinated by Marialena Nikolopoulou at CRES.
Although it was demonstrated that psychological adaptation
is very important for the thermal evaluation of outdoor spaces,
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