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«INNOVATION-DIFFUSION PROCESSES IN URBAN DESIGN MOVEMENTS: APPLICATION OF THE MODEL-PROTOTYPE-ADAPTATION FRAMEWORK TO NEW URBANISM AND NEIGHBORHOOD ...»

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INNOVATION-DIFFUSION PROCESSES IN URBAN DESIGN MOVEMENTS:

APPLICATION OF THE MODEL-PROTOTYPE-ADAPTATION FRAMEWORK TO

NEW URBANISM AND NEIGHBORHOOD DEVELOPMENT PRACTICES IN

ATLANTA

A Dissertation

Presented to

The Academic Faculty

By

Jaecheol Kim

In Partial Fulfillment

of the Requirements for the Degree

Doctor of Philosophy in Architecture

Georgia Institute of Technology December 2010 COPYRIGHT 2010 BY JAECHEOL KIM

INNOVATION-DIFFUSION PROCESSES IN URBAN DESIGN MOVEMENTS:

APPLICATION OF THE MODEL-PROTOTYPE-ADAPTATION FRAMEWORK TO

NEW URBANISM AND NEIGHBORHOOD DEVELOPMENT PRACTICES IN

ATLANTA

Approved by:

Michael Elliott, Co-Advisor Brian Stone School of City and Regional Planning School of City and Regional Planning Georgia Institute of Technology Georgia Institute of Technology Michael Dobbins, Co-Advisor Jennifer Clark School of City and Regional Planning School of Public Policy Georgia Institute of Technology Georgia Institute of Technology Ellen Dunham-Jones School of Architecture Georgia Institute of Technology Date Approved: August 26, 2010

ACKNOWLEDGMENTS

First of all, I’m deeply indebted to my co-advisors, Dr. Michael L. Elliott and Professor Michael Dobbins, who have guided and encouraged me to persevere and have seen me through my Ph.D. study at Georgia Tech. I also thank my committee members, Professor Ellen Dunham-Jones, Dr. Brian Stone, and Dr. Jennifer Clark for their valuable and constructive comments and insights. In particular, Professor Ellen Dunham-Jones has provided me invaluable advice for my dissertation based on her firsthand experiences as an active New Urbanist. Thanks also to all the interviewees who participated in this study. They provided me with indispensible data for my dissertation. Many thanks to my editor, Jane Chisholm, for her help with proofreading my writing. I gratefully acknowledge the support of my friends in the City and Regional Planning Department at Georgia Tech. I would like to express my appreciation to my parents and my parents-inlaw, who have always loved and believed in me. Last but definitely not least, special thanks to my beloved wife, Munju Kim, for her love, patience and devotion. Having provided me with their steadfast support, Munju and my lovely daughters, Michelle and Ashley, have been the strongest motivation for my study and a constant light in my life.

–  –  –

ACKNOWLEDGMENTS

LIST OF TABLES

LIST OF FIGURES

LIST OF ABBREVIATIONS

SUMMARY

CHAPTER 1. INTRODUCTION

1.1. Background of the Dissertation—Questions, Importance and Approaches............. 1

1.2. Overview of the Dissertation

CHAPTER 2. MODEL-PROTOTYPE-ADAPTATION FRAMEWORK

2.1. Recurring Patterns of Urban Design Movements

2.2. Model-Prototype-Adaptation Framework

2.2.1. Synopsis

2.2.2. Definitions of the Key Elements of the MPA Framework

2.2.3. Characteristics of the MPA Framework

2.3. Hypothetical Transitions in the MPA Framework: “Evolution” vs. “Divergence” 16 2.3.1. Evolution

2.3.2. Divergence

CHAPTER 3. HISTORICAL REVIEW OF URBAN DESIGN MOVEMENTS.

........... 21

3.1. Garden City Movement

3.1.1. Origin of the Garden City Movement

3.1.2. Prototypes of the Garden City Movement: Letchworth and Radburn............ 25 3.1.3. Adaptations of the Garden City Model

3.2. City Beautiful Movement

3.2.1. Origins of the City Beautiful Movement: Haussmann’s Reconstruction of Paris and Olmsted’s Work

3.2.2. Major Prototypes: the World’s Columbian Exposition, the McMillan Plan and the Chicago Plan

–  –  –

3.3. Modern Urban Design Movement

3.3.1. Formation of the Modern Urban Design Model: CIAM, the Athens Charter, and the Radiant City

3.3.2. Exemplary Prototypes of the Modern Urban Design Model

3.3.3. Adaptation of the Modernist City Model

3.4. Conclusions: Urban Design Movements from the Perspective of the MPA Framework

3.4.1. Characteristics of Urban Design Models

3.4.2. Organization Building Efforts for the Promotion of the Movement............... 55 3.4.3. Prototypes as a Diffusion Tool for the Model

3.4.4. Evolution and Divergence of Urban Design Models

3.4.5. Similar Design Principles for Different Urban Design Models

CHAPTER 4. AN URBAN DESIGN MOVEMENT AS AN INNOVATIONDIFFUSION PROCESS

4.1. Complement of the MPA Framework with Innovation-Diffusion Theory to Explain “Why”

4.2. Major Factors Influencing Diffusion of Innovations: Actors, Innovations, and Communication Channels

4.2.1. Classification of Actors

4.2.2. Perceived Attributes of Innovations

4.2.3. Communication Channels

4.3. Diffusion and Adaptation Process in the MPA Framework





4.3.1. Actors, Innovations, and Communication Channels in the MPA Framework 69 4.3.2. An Integrated View of the Innovation-Adoption Process in the MPA Framework

CHAPTER 5. EMPIRICAL CASE STUDY DESIGN

5.1. Purpose and Scope of the Case Study

5.2. History of the New Urbanism Movement

5.2.1. New Urbanism and the Charter of the New Urbanism

5.2.2. Prototypes of New Urbanism

5.2.3. Criticism of New Urbanism and Adaptations

–  –  –

5.4. Case Selection: Matched Prototype-Adaptation Pair Cases

5.4.1. Preliminary Selection of Candidates for Prototypes and Adaptations............ 97 5.4.2. Preliminary Prototype-Adaptation Pair Matching

5.4.3. Finalization of Prototype-Adaptation Pairs

5.5. Research Questions, Propositions and Hypotheses

5.5.1. Research Questions

5.5.2. Propositions

5.5.3. Hypotheses

5.6. Data Collection

5.6.1. Data Collection about the Implementation of New Urbanism Principles:

Planning Documents and Site Observations

5.6.2. Data Collection about the Factors Influencing Principle Implementation:

Semi-Structured Interviews and Supplemental Surveys with Key Actors............. 118

5.7. Analysis of the Data

CHAPTER 6. ANALYSIS OF CASE STUDY RESULTS

6.1. Three Predictions about the Divergence of the New Urbanism Principles.......... 126

6.2. Contexts of the Six Matched Pair Cases

6.2.1. Urban Infill/Brownfield: Glenwood Park and Glenwood Green.................. 127 6.2.2. Urban Infill/Historic Area: Clark’s Grove and Inman Park Village............. 132 6.2.3. Suburban/Town Center: Woodstock Downtown and Suwanee Town Center

6.2.4. Suburban/Main Street: Smyrna Town Center and Perimeter Place.............. 143 6.2.5. Exurban/Greenfield: Vickery and Tributary

6.2.6. Rural Hamlet/2nd Home Community: Gorham’s Bluff and Serenbe............ 155

6.3. Perceptions of New Urbanism Principles

6.4. Implementation of New Urbanism Principles

6.4.1. Creation of an Identifiable Community

6.4.2. Compact Development

6.4.3. Pedestrian-Friendly Street Design

6.4.4. Interconnected Street Design

6.4.5. Mixed Uses within Walking Distance

6.4.6. Diverse Housing Types and a Broad Range of Prices

vi 6.4.7. Access to Public Transit

6.4.8. A School within Walking Distance

6.4.9. Graphic Urban Design Codes for the Quality of the Public Spaces............. 199 6.4.10. Diverse Types of Neighborhood Parks

6.5. Linking Perception and Implementation of New Urbanism Principles............... 206

6.6. Explanation-building for the Unexpected Findings

6.6.1. Discussions in Relation to Actors

6.6.2. Discussions in Relation to the Perceived Attributes of New Urbanism Principles

6.6.3. Discussions in Relation to Communication Channels

CHAPTER 7. CONCLUSIONS AND SUGGESTIONS: TOWARD AN EVOLVING

CONCEPT OF URBANISM

7.1. Theory Building: Model-Prototype-Adaptation Framework

7.2. Empirical Case Study: New Urbanism Practice in the Metro Atlanta Area....... 223

7.3. Perceptions and Implementation of New Urbanism Design Principles............... 225 7.3.1. Proponents’ and Followers’ Perceptions of New Urbanism Principles........ 225 7.3.2. Implementation of New Urbanism Design Principles in Prototypes and Adaptations

7.3.3. Relationship between Actors’ Perceptions of New Urbanism Principles and Implementation of the Principles

7.4. Utilities of the MPA Framework as an Explainer of Transition of Urban Design Models in Practice

7.4.1. Forecasting the Public Acceptability of an Urban Design Model................ 228 7.4.2. Identifying the Inherent Problems of an Urban Design Model in Realization

7.4.3. A Coherent Analytical Framework for the Understanding of Past Urban Design Movements

7.4.4. Provision of an Operational Framework for the Observation of the Dynamics in a Living Urban Design Movement

7.4.5. Contribution to General Innovation-Diffusion Research

7.5. Suggestions for Practice

7.5.1. Efforts for the Balanced Implementation of New Urbanism

7.5.2. Public-Private Partnership for a Comprehensive and Broader Impact......... 233 7.5.3. Flexibility not for Convenience but for Goals

7.5.4. Better Communication between Enthusiastic Proponents and Eclectic Followers for Evolutionary Urbanism

vii 7.6. Limitations of the Study and Directions for Future Works

7.6.1. Examination of the Evolution of New Urbanism

7.6.2. Examination of Different Scale New Urbanism Principles

7.6.3. Examination of Other Urban Design Models and Programs

7.6.4. Examination of Influence on People’s Lives

APPENDIX A: INTERVIEW INSTRUMENTS

APPENDIX B. MODELS OF NEW URBANISM

APPENDIX C. CASE DATA

REFERENCES

VITA

–  –  –

Table 1 New Urbanist Projects in the Metro Atlanta Area (Steuteville, 2008).............. 98 Table 2 Preliminary Classification of the Candidates from 2008 Directory of New Urbanism

Table 3 Additional Candidates for Adaptations Suggested By Local Experts............. 101 Table 4 Preliminary Matched Prototype-Adaptation Pairs

Table 5 Finalized Six Prototype-Adaptation Pairs for the Case Study

Table 6 Criteria for the Investigation of the Implementation of New Urbanism Principles

Table 7 Co-location Patterns of 14 Organizational Centers and Their Organizational Partners (Yin, 2009, p. 159)

Table 8 Overviews of the Urban Infill/Brownfield Pair: Glenwood Park and Glenwood Green

Table 9 Overviews of the Urban Infill/Historic Area Pair: Clark’s Grove and Inman Park Village

Table 10 General Information of the Suburban/Town Center Pair: Woodstock Downtown and the Suwanee Town Center

Table 11 General Information of the Suburban/Main Street Pair: Smyrna Town Center and Perimeter Place

Table 12 General Information of the Exurban/Greenfield Pair: Vickery and Tributary 154 Table 13 General Information of the Rural Hamlet/2nd Home Community Pair: Gorham’s Bluff and Serenbe

Table 14 Implementation of Creation of an Identifiable Neighborhood / Seven Criteria for an Identifiable Neighborhood

Table 15 Implementation of Compact Development / Housing Density (Housing Unit per Acre)

Table 16 Implementation of Compact Development / Lot Size (Square Feet)............. 175 Table 17 Implementation of External Connectivity / Number of Entrances per Acre.. 183 ix Table 18 Implementation of Mixed uses within Walking Distance / Types and Sizes of the Services

Table 19 Implementation of a Broad Range of Housing Prices—Diversity / Price Ranges according to Housing Types

Table 20 Implementation of a Broad Range of Housing Prices—Housing Affordability / Example Sales Prices of Similar Types and Sizes of Housing Units *

Table 21 Implementation of Access to Public Transit / Types of Transit Accessible by Walking

Table 22 Implementation of a School within Walking Distance / Distance to the Nearest School

Table 23 Implementation of Graphic Urban Design Codes to Maintain Community Quality / Types of Private and Public Regulations

Table 24 Summary: Implementation of the 11 New Urbanism Principles

Table 25 Relationship between Key Decision-makers' Perceptions and Implementation of the 11 New Urbanism Principles

Table 26 Chronology of Main Events in Glenwood Park (Prototype) and Glenwood Green (Adaptation)

Table 27 Chronology of Main Events in Clark’s Grove (Prototype) and Inman Park Village (Adaptation)

Table 28 Chronology of Main Events in Woodstock Downtown (Prototype) and the Suwanee Town Center (Adaptation)

Table 29 Chronology of Main Events in the Smyrna Town Center (Prototype) and Perimeter Place (Adaptation)

Table 30 Chronology of Main Events in Vickery (Prototype) and Tributary (Adaptation)

Table 31 Chronology of Main Events in Gorham’s Bluff (Prototype) and Serenbe (Adaptation)

–  –  –

Figure 1 Recurring Patterns in Urban Design Movements

Figure 2 Influencing Relationships among Model, Prototypes, and Adaptations in Urban Design Movements

Figure 3 Evolution from Early Prototypes to Later Prototypes

Figure 4 Divergence of Adaptations from Prototypes

Figure 5 The Three Magnets in the Garden City Model (Howard, 1965)

Figure 6 Garden City and Rural Belt (Howard, 1946)

Figure 7 A Prototype of the Garden City Model: The Letchworth Plan (Miller, 1989).. 27 Figure 8 Original Radburn Plan for a Population of 30,000 (Birch, 1980)

Figure 9 The Garden City Reduced (Grant, 2006)

Figure 10 The Street System of Radburn and Its Surroundings (Modified from Lee and Stabin-Nesmith 2001)

Figure 11 Divergence of Design Principles from Radburn to Columbia (Modified from Christensen 1986)



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