Calhoun: The NPS Institutional Archive Theses and Dissertations Thesis Collection 1972 The urban planning process. Dames, Thomas Allan. Purdue University http://hdl.handle.net/10945/16420 m THE URBAN PLANNING PROCESS A Thesis Submitted to the Faculty of Purdue University by Thomas Allan Dames II In Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy August 1972 T148501 LIBRARY 1:L NAVAL POSTGRADUATE SCHOOS MOIJTERSY, £AJ*X1P< &334Q To Ursula Anne Ill ACKNOWLEDGMENTS With a deep sense of gratitude, the author wishes to personally thank Dr. William L. Grecco, Professor of Urban Planning and Engineering at Purdue University, for his enlightened leadership and counsel, not only during the conduct of this research, but throughout our warm and professional association. All that is worthwhile in this work was born of this association. To receive such counsel from Dr. Grecco is an unforgettable intellectual pleasure. For their interest, guidance, and reasoned criticism of this research, the author wishes to sincerely thank Professor Harold L. Michael, Head of Urban Planning and Engineering at Purdue, Professor Robert D. Miles of the School of Civil Engineering, and Dr. Colin L. Moodie of the School of Industrial Engineering. Their participation was most welcome and they constituted a most sympathetic audience for the early drafts of this material. I must also acknowledge a strong debt to my fellow officers in the Civil Engineer Corps, United States Navy, for altogether demonstrating a standard of professional excellence not exceeded elsewhere in my experience. With a sincere concern for the inequity of singling out one such officer, I must nonetheless note that Rear Admiral Spencer R, Smith afforded me the opportunity to observe this excellence at first hand, and never failed to encourage me to emulate it. To Dr. John F. McLaughlin, Head of the School of Civil Engineering at Purdue, and his staff, I owe a debt of thanks for the ease of reentry to the Academe. IV To my fellow students, past and present, I offer a warm thank you for a vibrant and stimulating environment of intellectual endeavor. I acknowledge the professional and personal counsel of Dr. Charles C. Schimpeler of Schimpeler - Corradino Associates, Louisville, Kentucky. Dr. Schimpeler' s unfailing enthusiasm and competence is a joy to experience. We are all, of course, the products of our experience and I must finally acknowledge the unrepayable debt to my parents and my family for providing environments conducive to intellectual persuit, often at considerable sacrifice. TABLE OF CONTENTS Page LIST OF TABLES ix LIST OF FIGURES x ABSTRACT xii INTRODUCTION 1 CHAPTER I. GOALS AND OBJECTIVES 6 Identifying the Community Influentials 12 The Development of Community Goals and Objectives 13 The Ordering of Community Goals and Objectives . 26 Notes 36 CHAPTER II. ORGANIZATION 38 A Conceptual Model of Planning Activity .... 38 The Use of the Model in Planning Organization . 44 The Use of the Model in Study Design 50 The Study Design Methodology 57 Notes 66 CHAPTER III. INVENTORY 67 A Data-Use Matrix 72 Land Data 83 Land Use 83 Ownership 84 Frontage and Area 84 Easements 84 Landmark 84 Number of Parking Spaces 84 Assessed Value of Land and Improve- ments 84 Real Estate Tax Revenue 84 Sale Price and Sale Data 85 Summary 85 Street Data 85 Intersection 85 Length of Segment, Right-of-way Width and Pavement Width 85 Functional Class 85 Structural Composition and Percent Grade 86 Average Traffic and Peak Hour Traffic. 86 Number of Accidents 86 Curb Parking 86 VI TABLE OF CONTENTS (cont.) Page Sidewalks and Street Lights 86 Number of Lanes and Loading Zone ... 86 Transit Route and School Route .... 86 Access Control 87 Condition 87 Utilities Sharing Right-of-way .... 87 Summary 87 Structural Data 87 Year Built and Type of Construction . 87 Building Condition 87 Number of Floors, Total Floor Area and First Floor Area 88 Number and Type of Building Code Violations 88 Rehabilitation Cost 88 Police Calls and Fire Calls 88 Utility Service 88 Summary 88 Dwelling Unit Data 89 Percent Vacant 89 Residents by Sex and Age Groups ... 89 Family Income 89 Family Education and Occupation ... 89 Vehicles Owned, Place of Work and Means of Transportation to Work . 90 Number and Types of Communicable Diseases 90 Rent 90 Summary 90 Non-Dwelling Unit Data 91 Peak Shift Employees, Number of Employees and Optimum Total Employment 91 Major Product Groups 91 Percent Sales Outside the Area .... 91 Summary 91 Some Concepts of Sampling 92 Sample Size 94 Sample Selection 95 Simple Random Sample 95 Stratified Random Sample 96 Systematic Sample and Stratified Systematic Sample 96 Cluster Sampling 97 Error 97 Accuracy and Precision 98 VL1 TABLE OF CONTENTS (cont.) Page Urban Information Systems 101 Information Hierarchy 102 Levels of System Sophistication 102 System Development 102 Summary 105 Notes 105 CHAPTER IV. ANALYSIS 106 The Use of Models 109 The Strategy and Tactics of Modeling . 110 An Example 113 The Use of Systems Analysis 117 General Systems Theory 117 Urban Systems Analysis 121 CHAPTER V. FORECASTING 125 The Forecasting Model 126 Substance 126 Area 134 Procedure 135 Forecasting Techniques 136 Economic Activity Forecasts 136 Population Estimates and Forecasts .... 145 Land Use Forecasts 147 Transportation Forecasts 149 Summary 158 CHAPTER VI. DESIGN 159 Considerations of Form 161 Considerations of Quality 169 Operational Considerations 176 An Example 179 Summary 183 Notes 183 CHAPTER VII. EVALUATION 184 The Conceptual Model of the Evaluation Phase . 186 Substantive Scope 186 Areal Scope 188 Procedural Scope 190 Evaluation Steps 190 Evaluation Roles 190 Evaluation Strategies Summary 191 Vlll TABLE OF CONTENTS (cont.) Page Evaluation Techniques ..... 192 Intuitive Methods 193 Monetary Valuation Methods 194 The Equivalent Uniform Annual Cost Method 194 The Present Worth of Costs Method . 195 The Equivalent Uniform Annual Net Return Method 195 The Net Present Value Method 195 The Benefit/Cost Ratio Method .... 196 The Rate of Return Method 196 Social Accounts Valuation Methods 198 Utility Value Methods 199 Goal Achievement Methods 201 Psychological Valuation Methods 205 Summary 206 A Note on Practice 207 Conclusions 211 Notes 211 CHAPTER VIII. IMPLEMENTATION 213 The Conceptual Model of the Implementation Phase 215 Substantive Scope 215 Areal Scope 219 Procedural Scope 221 Operational Considerations 223 A Note on Federal Assistance 233 Summary 234 Notes 235 CONCLUDING REMARKS 236 BIBLIOGRAPHY 238 General References 247 VITA 258 IX LIST OF TABLES Table Page 1-1 Sample Community Goals and Objectives .... 15 II-l Sample Work Item Resource Assignment 62 III-l Descriptive Data Showing a University Level of Service 70 III-2 Sample Land Use Plan Objectives and Data Items 73 V-l Cents Worth of Input per Dollar Output .... 138 V-2 Input Requirements in Dollars 139 V-3 Allocation of Sales by Percent 140 V-4 Allocation of Sales by Percent Direct and Indirect 141 VI-1 Site Features/Design Considerations: Steeply Sloped Site 171 VII-1 Conceptual Payoff Matrix 199 VII-2 The Goals -Achievement Matrix 202 VTI-3 Historical Evaluation Technique Emphases . 210 VIII-1 Methods of Implementing Environmental Policies, by Land Form 229 LIST OF FIGURES Figure Page 1-1 A Conceptual Visualization of the Client Constituency 10 II-l A Conceptual Model of Planning Activity ... 39 II-2 A Conceptual Elemental Event in the Planning Model 41 II-3 The Community Land Use Forecast in the Model . 43 II-4 The Organization Phase in the Conceptual Model of Planning Activity 45 II-5 Conceptual Demand Curves . 47 II-6 The Use of the Conceptual Model in Planning Organization 52 II-7 Four Conceptual Staffing Schemes 54 II-8 Sample Parking Study Flow Diagram 58 II-9 Sample School Study Flow Diagram 59 11-10 Sample Organization Phase Flow Diagram .... 61 III-l The Inventory Phase in the Conceptual Model of Planning Activity 68 III-2 A Sample Data-Use Matrix 78 III-3 The Relationship Between Sampling and Non- sampling Error 99 III-4 The Relationship Between Accuracy and Precision 100 III-5 Logic Diagram for Coding Information to Land Parcel 104 IV-1 The Conceptual Model of Statewide Recreational Travel to State Parks 114 V-l The Forecasting Phase in the Conceptual Model of Planning Activity 127 V-2 A Conceptual Forecasting Model 128 XL LIST OF FIGURES (cont.) Figure Page V-3 Conceptual Forecasted Outcomes 132 VI-1 Example Demand Curves, Golf and Swimming . 180 VII-1 The Evaluation Phase in the Conceptual Model of Planning Activity 187 VIII-1 The Implementation Phase in the Conceptual Model of Planning Activity 216 X1L ABSTRACT Dames, Thomas Allan. Ph.D., Purdue University, August, 1972. The Urban Planning Process. Major Professor: William L. Grecco. The precept central to this work is that there is a methodology common to urban planning over the entire ranges of such planning from the most comprehensive to the most limited and from the greatest in areal extent to the smallest. This common methodology is considered as a process with a definable beginning, a definable end and requisite intermediate steps. The beginning occurs with a need to plan perceived by the client constituency of the planner and refined through the formulation of a set of goals and objectives of this constituency. This procedure, as well as necessary administrative requirements, occurs in the organization phase of the planning process. The planning process continues sequentially through a series of steps or phases to investi- gate and institute proposals deemed desireable and feasible based upon the enunciated goals and objectives. The phases have been designated as that of organization, inventory, analysis, forecasting, design, evaluation, and implementa- tion. The distinctions among the phases are both conceptual and operational, not withstanding due regard given to feed- back and feedforeward elements.