11.3.2 Proportion of cities with a direct participation structure of civil society in urban planning and management that operate regularly and democratically

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Peter Calthorpe’s 7 Principles for Building Better Cities

“7 Principles for Building Better Cities” is a TED talk delivered by San-Francisco based architect and urban planner Peter Calthorpe, which  discusses how urban planning, specifically the use of urban sprawl, impacts climate change, social wellbeing, and efficiency. As the human population is on the rise, Calthrope warns that urban centers will eventually have to accommodate 3 billion people, and the methods in which these centers will grow to accommodate these residents will have serious implications on climate change, specifically air quality and carbon footprints. Calthorpe argues that sprawl can occur in any urban area of any density, and that by investing in public transportation, mixed use street blocks, and encouraging walking and biking, that a city can reduce car transit by 10,000 miles a year per household. Doing so results in not only a smaller carbon footprint, but also reduces respiratory healthcare costs due to smog and air pollution, and household costs to keep up with increasing severity in climate conditions.

Calthorpe utilizes two primary examples to supplement his argument of investing in public transportation and mixed use urban centers: Los Angeles and major cities in China. In the case of Los Angeles, the city has been more transit oriented since 2008, investing more in public transit and cutting funding for highway and freeway construction in a successful method of sustainable urban development. Calthorpe outlines how LA builds transit in less desirable land and fills remaining space with mixed use blocks including both residential and commercial establishments that connect neighborhoods that are made more interesting and appealing due to having a variety of walkable amenities. In the case of China, Calthorpe discusses the impact of high-density sprawl, using the city of Chongqing as an example, in which residents originally lived in superblocks, containing 5,000 residents in gated communities without shops or amenities in walkable distances. Calthorpe explains that by investing in metro and other forms of public transportation, ensuring that this transit is equally accessible by walking throughout the city, and by encouraging the preservation of green spaces and the building of small blocks, that house 500 residents and have access to shops, a city can sustainably thrive and remain connected, efficient, and reduce its carbon emissions.

 In conclusion, Calthorpe lists 7 principles used in reorganizing cities and combating negative urban sprawl that promotes individual automobile use and is based on freeways and highway networks. They are as follows: 1. Preserve the natural environment, history and critical agriculture, 2. mix income, age groups, and land use, 3. Walk or bike over drive 4. Connect: create many routes to popular locations instead of singular routes 5. Utilize different types of streets, emphasizing mix use 6. Invest in public transit, 7. Focus the hierarchy of a city based on this public transit instead of basing it on the network of freeways. In the question and answer portion of the talk, Calthorpe emphasizes that public transportation, walking, and biking should be prioritized over self-driving cars, as automated vehicles will add to the carbon footprint, increase congestion, and will revitalize sprawl. The following section of this literature review will expand on the major topics discussed within this talk and the themes that are included in Calthorpe’s 7 principles.

Types of Urban Sprawl

            Urban sprawl is defined as the phenomenon in which urban development expands outwards into rural areas. The term “sprawl” was first utilized by the Tennessee Valley Authority and a national planners conference in 1937, but the term “urban sprawl” finds its first usage in a 1957 Fortune magazine article written by sociologist William Whyte. Urban sprawl is characterized as  a rapid expansion of single-use zoning and low density residential areas and by an increase in the use of private transportation. Widely considered a negative phenomenon, urban sprawl can increase the carbon and spatial footprint of a city, increasing transportation costs and potential health hazards caused by air pollution. There are three types of urban sprawl: infilling type, edge expansion, and outlying type which will be defined and expanded upon below:

Infiling Type: Infill urban sprawl occurs when development fills in gaps of land that are unused in areas where sewers, roads, and other public facilities already exist. Infill urban sprawl is defined as occurring in an area that is at least 40% surrounded by developed land.

Edge Expansion: Edge expansion urban sprawl is characterized as development in undeveloped land that is surrounded by 40% or less of developed land. This expansion is also known as urban or metropolitan fringe and usually expands unidirectionally from the existing edge of a developed urban area.

Outlying Type: Outlying urban sprawl occurs when an area is developed beyond the existing urban edge and is not surrounded by existing developed areas.

Other terms; Other terms that are used to describe urban sprawl are: spiraling, which describes the expansion of low density urban areas away from high density and compact urban cores, leap-frogging, which describes the scenario of developing parcels of land away from existing urban areas, taking up significant amounts of land that may or may not be further developed, Strip Development, which describes the expansion of developed land along roads that expand outward beyond urban centers, and undefined edge, which is the scenario of blurred boundaries between urban and rural domains and is generally associated “with an encroachment of open space and agricultural lands.”

Causes

            There are several primary causes of urban sprawl. The first is that of population increase, in which a compact urban center expands outwards into lower density residential areas. Additionally, desire for larger single-family housing, more attractive land and housing prices also contribute to urban sprawl and can incite the beginning of the movement even in areas with population decline. Single-use zoning, in which only one type of building use can be allowed for a parcel of land, is also cited as a major cause of urban sprawl, as it results in the development of low density residential areas farther away from industrial and commercial centers, minimizing walking distance and community cohesiveness. Single-use zoning paired with poor planning and urban development oversight also contribute to increased urban sprawl.

Consequences

            Urban sprawl has many consequences that have given it a reputation as a negative phenomenon. Environmentally,urban sprawl not only frequently results in the destruction of wildlife habitats, but also requires an increased carbon footprint, as farther distances between residential and commercial centers without substantial public transportation require the increased use of private transportation. Low-density suburban areas also utilize more energy per capita than higher density, compact areas in urban cores. This increased use of energy, which is usually acquired by the burning of fossil fuels, contributes to increased air pollution and global warming. Water runoff is also more likely to be polluted with chemicals used in urban development and daily life.

            Economically, while there are several benefits, such as job opportunities and increased property and sales tax revenue for local governments, there are significant costs such as long-time residential areas’ funding being diverted to developing new homes and neighborhoods. Additionally, transportation costs increase due to increased distance between residential and commercial areas. Social class groups are also more likely to be segregated due to single-use zoningseparating single family residences from multi-family residences. The character of a community may also be diminished due to the isolation of small businesses, the lack of walking distance amenities, and the trend of large businesses following development following urban sprawl and establishing locations in strip malls and smaller urban centers.

Combating Urban Sprawl

There are several methods to combat urban sprawl, several of which are discussed in the TED talk video and are outlined above. From a policy standpoint, zoning policy, restrictions on development into urban areas, and initiatives to restore green spaces are a primary method of restricting urban sprawl. Additionally, incentives such as special tax credits or development subsidies that promote mixed use are another way to economically influence development away from urban sprawl. Terms used to describe policies and planning initiatives aimed towards restricting urban sprawl are known as“compact growth/development”, “smart growth,” and “new urbanism.” These terms as well as primary urban planning tactics to discourage urban sprawl are expanded in detail below:

Compact/Smart Growth: Compact growth, also known as smart growth, is known as the promotion of mixed-use development, combining residential, commercial, and industrial buildings into one area versus keeping them isolated. This type of planning allows for increased use of public transit, biking, and pedestrian traffic versus the reliance on private automobiles, and requires the use of less land, preserving local wildlife and other green spaces. Cities that utilize compact/smart growth generally see lower environmental infrastructure costs, higher energy efficiency, and lower levels of air pollution. Cities save more on infrastructure and transportation costs when they do not have to upkeep roads that extend far beyond the urban center into suburban areas, and there is increased social cohesiveness and cultural exchange between residents who live in closer proximity. Key examples of cities that successfully utilize compact growth are San Francisco, CA (which will be expanded upon below), and Sydney, Australia. One of the primary ways to promote compact growth is to invest in public transportation, provide incentives for mixed use development, and revise zoning codes and spatial regulations to restrict urban sprawl. However, one major consideration of utilizing compact growth is to ensure that minority groups and low-income, inner city residents are protected as urban centers become more attractive to wealthier individuals.

New Urbanism: New Urbanism is a development principle that focuses on maintaining and revitalizing urban centers instead of expanding outwards into rural and non-developed areas, preventing increased pollution and infrastructure costs. New Urbanism is based on the 1996 Charter of New Urbanism, which outlines policy guidelines and goals to turn away from urban sprawl and instead create more cohesive and accessible urban centers that are reminiscent of pre-WWII policy, which emphasized walkable distances, public access to amenities, and having residential and commercial areas in close proximity. The principles of New Urbanism can be applied to any community of any size and are not restricted to dense urban centers or cities.

Below are the three primary urban planning strategies to promote compact growth over urban sprawl:

• • Access to Public Transportation: Organizations like the American Public Transit Association (APTA) have well established that increased investment in public transit brings significant economic benefits. These benefits includeless spending on private transportation costs, the maintenance of private vehicles, and road construction to keep up with private automobile use. Reduced traffic congestion and higher energy efficiency in public transport vehicles decreases air pollution levels and overall travel time and costs. In regards to urban sprawl, ensuring that public transportation access points are equally distributed throughout an urban area and maintaining a “vibrant” urban center, with increased access to commercial, industrial, and residential structures effectively combats urban sprawl. The Mineta Transportation Institute supports this claim in a study expanding on US Census data in 2000 and 2010, which show areas with “vibrant” downtowns (defined by levels of crime, access to public transportation, restaurants, and job availability) having less urban sprawl than those who are less vibrant. The study suggests that when land use patterns are primarily mixed-use and public transit positive, less sprawl occurs because of less demand for private transit use. These findings are supported in Calthorpe’s TED Talk, and remain a major indicator of expected urban sprawl in a metropolitan area. Because of this, increased public transportation accessibility is considered a major strategy in combating urban sprawl and promoting compact growth and new urbanism.
  • Green Spaces: Green spaces are a way of restoring wildlife while combating pollution in urban spaces. A primary use of green spaces is to combat “urban island heat affect”, which is the phenomenon of an urban space being warmer than outside areas due to increased human activity, transportation, industrial work, and commercial operations all occurring in a compact area. The result of this increased temperature is higher energy demands for cooling, increased water temperatures that in turn damage local aquatic life cycles, and increased air pollution due to increased fossil fuel consumption to meet energy demands, resulting in an increased amount of smog and consequently, respiratory health issues in residents caused by pollution. Primary forms of green space include green roofs, in which a layer of vegetation grows on rooftops to reduce temperatures and insulate the structures below, and the use of urban forests, which is the concept of planting several species of trees throughout a city to help mitigate the effects of urban island heat affect and other aspects of global warming. In 2020, all three case study cities for this paper made the A-list of CDP Global, a non-profit that encourages transparency and disclosures of environmental action by companies, local governments, and investors. The CDP A-list is a list of cities around the world that have consistently factored environmental protections into city planning strategies in an effort to combat climate change. Denver, CO ranked highest out of the three case studies, followed by San Francisco, CA and Washington, DC.
    • Income Disparity: The placement of green spaces in cities is heavily linked to income distribution, with higher income areas largely having more access than lower income areas. Either due to infrastructure decisions made in the past or access to funding in the present, the placement of green spaces is highly correlated to areas with the income to fund them. Additionally, because of the cost associated with installing and maintaining green spaces, housing costs and demand to live in areas with this amenity can drive out lower-income residents in a process known as “green gentrification.” Primary examples of this are the result of developing green spaces in Prospect Park in New York City, and the protection of mangrove forests in Mumbai. Additionally, urban green spaces also face the issue of accessibility for persons with disabilities, the eldery, and other marginalized groups. Because of this, lower-income residents are more likely to experience the hotter temperatures associated with urban living, higher levels of air pollution, and are at a higher risk of flooding. To combat the disparity of green spaces in an urban area, organizations like the World Resource Institute recommend increased community engagement and innovative funding models to incorporate green spaces in strategies to improve affordable housing standards and increase equity in the standard
  • Non-Auto Roads and Bicycling: Inspired by the 1970s urban planning strategy in Bogota, Columbia, non-auto roads or open streets have become a primary method of decreasing air pollution caused by private automobile use in cities. By promoting walking and cycling, either permanently or on specific days of the week, air pollution levels are decreased and more residents are regularly exercising while actively engaging in their community. A study in the Journal of Transport and Health corroborates this by finding that the increased use of cycling in a city can encourage other types of moderate to vigorous activity, such as jogging and walking, increasing community engagement. However, similar to the use of green spaces, it will be essential to ensure that these roads are equally distributed throughout a city, as low-income areas are more likely to be congested with both pedestrian and automobile traffic, resulting in increased numbers of residents killed by being hit by a car or suffering increased health issues related to air pollution. A primary example of cities embracing open streets is Oakland, CA, in which 74 miles of open streets have been allocated for walking and cycling. Because of the gradual reopening strategiesof many cities in the wake of the COVID-19 pandemic, organizations like Smart Growth America encourage the increased transition of specific streets to being car free, as the gradual reopening process will allow more time to transition to new guidelines for private automobile use, especially as more areas are being carved out to allocate for outdoor dining and food pickup.

Urban Sprawl in Three City Snapshots