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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-in- law, 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. iii TABLE OF CONTENTS ACKNOWLEDGMENTS ................................................................................................. iii LIST OF TABLES ............................................................................................................. ix LIST OF FIGURES ........................................................................................................... xi LIST OF ABBREVIATIONS ........................................................................................... xv SUMMARY .................................................................................................................... xvii CHAPTER 1. INTRODUCTION ....................................................................................... 1 1.1. Background of the Dissertation—Questions, Importance and Approaches ............. 1 1.2. Overview of the Dissertation .................................................................................... 3 CHAPTER 2. MODEL-PROTOTYPE-ADAPTATION FRAMEWORK ...................... 10 2.1. Recurring Patterns of Urban Design Movements .................................................. 10 2.2. Model-Prototype-Adaptation Framework .............................................................. 12 2.2.1. Synopsis .......................................................................................................... 12 2.2.2. Definitions of the Key Elements of the MPA Framework.............................. 14 2.2.3. Characteristics of the MPA Framework.......................................................... 15 2.3. Hypothetical Transitions in the MPA Framework: “Evolution” vs. “Divergence” 16 2.3.1. Evolution ......................................................................................................... 17 2.3.2. Divergence ...................................................................................................... 19 CHAPTER 3. HISTORICAL REVIEW OF URBAN DESIGN MOVEMENTS ............ 21 3.1. Garden City Movement .......................................................................................... 22 3.1.1. Origin of the Garden City Movement ............................................................. 22 3.1.2. Prototypes of the Garden City Movement: Letchworth and Radburn ............ 25 3.1.3. Adaptations of the Garden City Model ........................................................... 30 3.2. City Beautiful Movement ....................................................................................... 34 3.2.1. Origins of the City Beautiful Movement: Haussmann’s Reconstruction of Paris and Olmsted’s Work ........................................................................................ 34 3.2.2. Major Prototypes: the World’s Columbian Exposition, the McMillan Plan and the Chicago Plan ....................................................................................................... 35 iv 3.2.3. Adaptation of the City Beautiful Movement .................................................. 39 3.3. Modern Urban Design Movement .......................................................................... 42 3.3.1. Formation of the Modern Urban Design Model: CIAM, the Athens Charter, and the Radiant City .................................................................................................. 42 3.3.2. Exemplary Prototypes of the Modern Urban Design Model .......................... 45 3.3.3. Adaptation of the Modernist City Model ........................................................ 49 3.4. Conclusions: Urban Design Movements from the Perspective of the MPA Framework .................................................................................................................... 53 3.4.1. Characteristics of Urban Design Models ........................................................ 53 3.4.2. Organization Building Efforts for the Promotion of the Movement ............... 55 3.4.3. Prototypes as a Diffusion Tool for the Model ................................................ 56 3.4.4. Evolution and Divergence of Urban Design Models ...................................... 57 3.4.5. Similar Design Principles for Different Urban Design Models ...................... 57 CHAPTER 4. AN URBAN DESIGN MOVEMENT AS AN INNOVATION- DIFFUSION PROCESS ................................................................................................... 59 4.1. Complement of the MPA Framework with Innovation-Diffusion Theory to Explain “Why” ............................................................................................................................ 59 4.2. Major Factors Influencing Diffusion of Innovations: Actors, Innovations, and Communication Channels ............................................................................................. 61 4.2.1. Classification of Actors ................................................................................... 62 4.2.2. Perceived Attributes of Innovations ................................................................ 65 4.2.3. Communication Channels ............................................................................... 68 4.3. Diffusion and Adaptation Process in the MPA Framework ................................... 69 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 ................................................................................................................ 72 CHAPTER 5. EMPIRICAL CASE STUDY DESIGN..................................................... 77 5.1. Purpose and Scope of the Case Study .................................................................... 77 5.2. History of the New Urbanism Movement .............................................................. 79 5.2.1. New Urbanism and the Charter of the New Urbanism ................................... 79 5.2.2. Prototypes of New Urbanism .......................................................................... 81 5.2.3. Criticism of New Urbanism and Adaptations ................................................. 87 v 5.3. Urban Design Model for Case Study: Neighborhood Scale New Urbanism Principles ....................................................................................................................... 92 5.4. Case Selection: Matched Prototype-Adaptation Pair Cases ................................... 95 5.4.1. Preliminary Selection of Candidates for Prototypes and Adaptations ............ 97 5.4.2. Preliminary Prototype-Adaptation Pair Matching .......................................... 98 5.4.3. Finalization of Prototype-Adaptation Pairs .................................................. 104 5.5. Research Questions, Propositions and Hypotheses .............................................. 106 5.5.1. Research Questions ....................................................................................... 106 5.5.2. Propositions ................................................................................................... 108 5.5.3. Hypotheses .................................................................................................... 109 5.6. Data