Strategic planning and urban development in New York City, Paris and Sao Paulo: 2001 – 2012 Bruno Lobo Submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy under the Executive Committee of the Graduate School of Arts and Sciences COLUMBIA UNIVERSITY 2018 ©2018 Bruno Lobo All Rights Reserved ABSTRACT Strategic planning and urban development in New York City, Paris and Sao Paulo: 2001 – 2012 Bruno Lobo This study examines the paradigm shift in urban planning towards a strategic spatial approach by investigating the effects of new strategic plans and policies on large-scale urban development projects (UDP’s). Specifically, it compares the impacts of new planning legislation and strategic local plans introduced in New York, Paris and Sao Paulo on three UDP’s in each city by evaluating the impacts on the development programs, implementation process and public benefits delivered from 2001 to 2012. The study provides an overview of the literature on strategic spatial planning theory and practice, comparative planning systems and large-scale urban public/ private developments to describe the overarching ‘spatial turn’ in planning and establish how different planning cultures influence plan-making and what the consequences are for public/ private development, focusing on the mechanisms of flexibility provided by strategic plans to address the planning and financing requirements of UDP’s. It argues that despite of the formal differences found between systems as legal constructs, there is a need to investigate if these consequences occur and how they are produced. It then presents the case studies of the Special Hudson Yards District in New York City, the ‘Zone d’Amenagement Concerte Clichy-Batignolles’ in Paris and the ‘Operacao Urbana Agua Branca’ in Sao Paulo, focusing on the reform of the local statutes, planning process and implementation using quantitative and qualitative data collected through planning documents, press articles, interviews, observation of public meetings and field research. Each case study is representative of a different planning model where each project was developed after a revision of the local planning statutes and introduction of a new strategic city plan. The study finds that despite the formal differences between strategic plans, UDP’s cause planning systems to converge towards a similar intermediate model where policy determination becomes bidirectional and final development programs are determined by both strategic plans and site- specific considerations. The variations found between projects are instead determined by the broader development models present in each case which determine the implementation capacity of cities and ability to capitalize public resources to capture part of the resulting increment in land values and deliver public benefits. The study concludes with proposed implications for planning research and suggestions of policy formulations aimed at improving the ‘public return’ generated by UDP’s. TABLE OF CONTENTS LIST OF TABLES………………………………………………………………………..iv LIST OF FIGURES……………………………………………………………………….v LIST OF ABBREVIATIONS………………………………………………………….viii CHAPTER 1. INTRODUCTION ........................................................................................ 1 1.1 Overview ........................................................................................................... 1 1.2 Aims and Research Questions ........................................................................ 13 1.3 The Relevance for Planning Practice and Research ....................................... 14 CHAPTER 2. LITERATURE REVIEW ......................................................................... 16 2.1 Overview ......................................................................................................... 16 2.2 Strategic Spatial Planning and Planning Theory ............................................ 17 2.3 Comparative Planning Systems ...................................................................... 35 2.4 Large-Scale Urban projects and public/ private development ........................ 54 2.5 Summary – Issues and Questions ................................................................... 66 CHAPTER 3. RESEARCH STRATEGY, DESIGN AND METHODOLOGY ............ 70 3.1 Research Strategy and Research Questions .................................................... 70 3.1.1 Case Study Selection....................................................................................... 85 3.2 Research Design............................................................................................ 118 3.2.1 Research Variables........................................................................................ 118 3.2.1.1 Independent variables ................................................................................... 118 3.2.1.2 Dependent variables ...................................................................................... 119 3.2.2 Data Sources and Data Collection ................................................................ 121 i 3.2.2.1 Interviews ...................................................................................................... 121 3.2.2.2 Archival Research ......................................................................................... 122 3.2.2.3 Observational evaluation .............................................................................. 122 3.3 Research Methodology ................................................................................. 123 3.3.1 Quantitative/ qualitative research methods ................................................... 123 3.3.2 Case Study Research .................................................................................... 124 3.3.3 Research Evaluation ..................................................................................... 126 3.4 Why Comparative Case Studies? .................................................................. 129 CHAPTER 4. PLANNING BY AMMENDMENTS: THE CREATION OF THE SPECIAL HUDSON YARDS DISTRICT, NEW YORK CITY, U.S.A. ........................................ 132 4.1 Overview ...................................................................................................... 132 4.2 New York Urban System .............................................................................. 133 4.3 Context and Planning Framework ............................................................... 133 4.4 The Planning Process of the Special Hudson Yards District ........................ 150 CHAPTER 5. REVISING THE PLAN: THE CREATION OF THE ZONE D’AMENAGEMENT CONCERTE ‘CLICHY-BATIGNOLLES’, PARIS, FRANCE188 5.1 Overview ....................................................................................................... 188 5.2 Paris Urban System ....................................................................................... 190 5.3 Background and Planning Framework.......................................................... 191 5.4 The Planning Process of the ‘Zone d’Amenagement Concerte’ Clichy Batignolles 202 CHAPTER 6. PLANNING BY EXCEPTIONS: THE CREATION OF THE ‘OPERAÇÃO URBANA ÁGUA-BRANCA’, SAO PAULO, BRAZIL ................................................ 241 6.1 Overview ....................................................................................................... 241 6.2 Sao Paulo Urban System ............................................................................... 242 ii 6.3 Background and planning framework ........................................................... 243 6.4 The Planning Process of the ‘Operação Urbana Água Branca’ .................... 253 6.5 Implementation: Jardim Perdizes – ‘The Best Planned Neighboorhoud in São Paulo’ 297 CHAPTER 7. COMPARISON AND EXPLANATION: LEARNING FROM THE CASES ...................................................................................................................... 304 7.1 Overview ....................................................................................................... 304 7.1.1 Comparison between model of special zoning districts ................................ 304 7.1.2 Role of Local Land-use Guidelines in the Planning Process ........................ 304 7.1.3 Instruments of Plan Implementation ............................................................. 316 7.1.4 Planning and Financing Incentives ............................................................... 326 7.2 Implemention of Special Zoning District models ......................................... 331 7.2.1 Variation in Zoning Regulations ................................................................... 331 7.2.2 Implementation ............................................................................................. 339 7.2.3 Provision of Public Benefits ......................................................................... 344 CHAPTER 8 ASSESSMENT, CONCLUSIONS AND DISCUSSION ........................ 349 8.1 OVERVIEW ................................................................................................. 349 8.2 SUMMARY OF FINDINGS AND ASSESSMENT .................................... 350 8.3 DISCUSSION ............................................................................................... 356 8.4 CONCLUSION ............................................................................................. 368 8.5 IMPLICATIONS FOR PLANNING POLICY AND RESEARCH ............. 371 8.5.1 Implications for Planning Policy .................................................................