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PLANNING AND URBANDESIGN STANDARDS

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PLANNING ANDURBAN DESIGNSTANDARDSSTUDENT EDITION

FREDERICK STEINERKENT BUTLERUniversity of Texas at Austin

AMERICAN PLANNINGASSOCIATION

EMINA SENDICHGraphics Editor

JOHN WILEY & SONS, INC.

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Library of Congress Cataloging-in-Publication Data:Planning and urban design standards / American Planning Association.— 1st ed.

p. cm.Includes index.ISBN-13: 978-0-471-47581-1 (cloth) ISBN-13: 978-0-471-76090-0 (student version)ISBN-10: 0-471-47581-5 (cloth) ISBN-10: 0-471-76090-0 (student version)

1. Building—Details—Drawings. 2. Building—Details—Drawings—Standards. I. American PlanningAssociation.

TH2031.P55 2006711—dc22

2005016319

Printed in the United States of America

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Foreword viiiPreface ixAcknowledgments x

Part 1PLANS AND PLAN MAKING 1

PLAN MAKING 3Plan Making 3

TYPES OF PLANS 6Comprehensive Plans 6Urban Design Plans 10Regional Plans 14Neighborhood Plans 16Transportation Plans 18Housing Plans 22Economic Development Plans 25Parks and Open-Space Plans 27Critical and Sensitive Areas Plans 30

PARTICIPATION 32Role of Participation 32Stakeholder Identification 35Surveys 37Community Visioning 39Charrettes 41Public Meetings 43Public Hearings 46Computer-Based Public Participation 47

Part 2ENVIRONMENTAL PLANNING AND MANAGEMENT 49

ENVIRONMENTAL MANAGEMENT OVERVIEW 51Environmental Planning Considerations 51

AIR 53Air Quality 53Air Sheds 55Heat Islands 57

WATER 59

Hydrologic Cycle 59

Watersheds 61

Aquifers 63

Rivers and Streams 65

Floodplains and Riparian Corridors 68

Wetlands 72

Beach and Dune Systems 74

Estuaries, Flats, and Marshes 77

LAND 79Slope, Relief, and Aspect 79Soils Classification and Mechanics 81Habitat Patches, Corridors, and Matrix 83Biodiversity Protection 85

HAZARDS 87Flood Hazards 87Erosion and Sedimentation 90Hurricanes and Coastal Storms 93Landslides 95Sinkholes and Subsidence 98Earthquakes 100Wildfires 103Hazardous Materials 105Tsunamis and Seiches 108Noise and Vibration 110

Part 3 STRUCTURES 117

BUILDING TYPES 119Residential Types 119Single-Family Detached 123Single-Family Attached 124Multifamily Low-Rise 125Multifamily Mid-Rise 126Multifamily High-Rise 127Manufactured Housing 128Office Buildings 130Elementary, Middle, and High Schools 134Medical Facilities 138

CONTENTS

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vi Contents

TRANSPORTATION 143Sidewalks 143Hierarchy of Streets and Roads 150Street Networks and Street Connectivity 153Vehicle Turning Radii 157Traffic Calming 159Pedestrian-Friendly Streets 163Parking Lot Design 166On-Street Bikeways 170Multiuser Trails 172Transit Systems 176

UTILITIES 182

Waste Management 182Wastewater 184Stormwater Runoff and Recharge 186Water Supply 190Wireless Infrastructure Overview 192

PARKS AND OPEN SPACE 194

Types of Parks 194Greenways and Trails 200Conservation Areas 204Playgrounds 207

FARMING AND FORESTRY 212Farms 212Feedlots 215Forestry 217

Part 4PLACES AND PLACEMAKING 221

REGIONS 223Regions 223

PLACES AND DISTRICTS 227Neighborhoods 227Neighborhood Centers 230Historic Districts 233Waterfronts 237Arts Districts 242Industrial Parks 244Office Parks 246Main Streets 248

DEVELOPMENT TYPES 251Mixed-Use Development 251Transit-Oriented Development 254Conservation Development 257Infill Development 260

DESIGN CONSIDERATIONS 262Environmental Site Analysis 262Urban Analysis 265Scale and Density 270Safety 274Walkability 280Leadership in Energy and Environmental Design—LEED 283Streetscape 286

Part 5ANALYSIS TECHNIQUES 297

PROJECTIONS AND DEMAND ANALYSIS 299Population Projections 299Economic Base and Econometric Projections 303Housing Needs Assessment 305Parks, Recreation, and Open-Space Needs Assessment 308

IMPACT ASSESSMENT 310Environmental Impact Assessment 310Fiscal Impact Assessment 314Traffic Impact Studies 317

MAPPING 320Mapping Data Overview 320Aerial Photographs and Digital Orthophoto Quadrangles 322U.S. Geological Survey Topographic Maps 323Property Maps in Modern Cadastres 328Census Data and Demographic Mapping 329Remote Sensing and Satellite Image Classification 331Geographic Information Systems 333

VISUALIZATION 336Visualization Overview 336Montage Visualization 338Three-Dimensional Visualization 340Visual Preference Techniques 342

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Contents vii

Part 6IMPLEMENTATION TECHNIQUES 345

LEGAL FOUNDATIONS 347Planning Law Overview 347Property Rights, Police Power, Nuisance, and Vested Rights 348Due Process and Equal Protection 350Freedom of Religion and Expression 352Eminent Domain,Takings, and Exactions 355Federal Legislation 358State Enabling Legislation 362Zoning Regulation 364Subdivision Regulation 368Planned Unit Development 370Innovations in Local Zoning Regulations 372Sign Regulation 375

GROWTH MANAGEMENT 377Adequate Public Facilities and Concurrency Management 377Urban Growth Areas 379

Development Impact Fees 382Transfer and Purchase of Development Rights 383

PRESERVATION, CONSERVATION, AND REUSE 384Open-Space Preservation Techniques 384Farmland Preservation 386Land Evaluation and Site Assessment 389Viewshed Protection 390Historic Structures 395Brownfields 399

ECONOMIC AND REAL ESTATEDEVELOPMENT 401Capital Improvement Programs 401Tax Increment Financing 403Financing Methods and Techniques 406Financial Planning and Analysis:The Pro Forma 409

Resources 415Planning Resources 429Graphic Symbols and Drawing Annotations 430Index 431

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On behalf of the American Planning Association (APA) and our PlanningFoundation, and along with our partners, John Wiley & Sons, Inc., and theUniversity of Texas at Austin, we are delighted to see the publication of the first stu-dent edition of Planning and Urban Design Standards. This book, derived fromthe full edition of Planning and Urban Design Standards, published in January2006, contains information from that volume determined to be especially suited forplanning students.

What is a planning and urban design “standard”? Responding to this question wasa serious challenge for the contributors, editors, and advisors developing the book.According to the Merriam-Webster dictionary, a standard can be “the ideal in termsof which something can be judged: ‘they live by the standards of their community’”;or it can be “a basis for comparison; a reference point against which other thingscan be evaluated: ‘they set the standard for all subsequent work.’” This book strivesto do both—provide reference to the standards met by the profession and presentthe standards all should work to achieve. Moreover, the work embraces both stan-dards that are widely used, as well as those that are emerging.

The full edition of Planning and Urban Design Standards was the result of ahighly complex, three-year collaborative effort involving a broad array of plan-ning and urban design disciplines. With contributions from leading experts inprivate planning and urban design firms, academia, and public planning agen-cies across the United States, this book is by the profession for its futureprofessionals. We express our deep appreciation to these contributors, many ofthem APA members. They shared their wisdom and insights unselfishly for thebenefit of all who will use this work to develop their planning and urban designknowledge and skills.

The structure and content of Planning and Urban Design Standards would nothave been possible without the guidance of the gifted planners, designers, practi-tioners, and educators who served on our advisory board: Karen B. Alschuler, FAICP,SMWM, San Francisco; W. Paul Farmer, FAICP, Executive Director and CEO,

American Planning Association, Chicago; Jerold S. Kayden, Harvard University,Cambridge, Massachusetts; M. David Lee, FAIA, Stull & Lee, Inc., Boston; Diana C.Mendes, AICP, DMJM + Harris Planning, Fairfax, Virginia; John S. Rahaim,Department of Planning and Development, Seattle, Washington; Brenda C. Scheer,AICP, AIA, University of Utah College of Architecture and Planning, Salt Lake City;and Frederick R. Steiner, FASLA, University of Texas at Austin.

APA is a nonprofit education organization and membership association commit-ted to urban, suburban, regional, and rural planning. In 2003, APA celebrated thetwenty-fifth anniversary of the consolidation of two predecessor organizations: theAmerican Institute of Planners, founded in 1917, and the American Society ofPlanning Officials, established in 1934. Today, our 38,000-member organization has46 geographically defined chapters and 19 divisions devoted to specialized planninginterests. APA and its professional institute, the American Institute of CertifiedPlanners (AICP), advance the art and science of planning to meet the needs of peo-ple and society. Our involvement in creating Planning and Urban Design Standardsis the latest contribution to that goal. We hope you will find this volume, the fulledition of Planning and Urban Design Standards, and the revised editions that fol-low over the years to be the most comprehensive and useful quick references onessential planning topics available.

MEGAN S. LEWIS, AICPManaging Editor, Planning and Urban Design StandardsAmerican Planning AssociationChicago, Illinois

WILLIAM R. KLEIN, AICPExecutive Editor, Planning and Urban Design StandardsAmerican Planning AssociationChicago, Illinois

FOREWORD

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John Wiley & Sons, Inc., the American Planning Association (APA), and theCommunity and Regional Planning Program, School of Architecture, University ofTexas at Austin, are pleased to present this first edition of Planning and UrbanDesign Standards, Student Edition. We hope that students in planning and relatedfields will find this book a companion for their education. The student edition is notintended to serve as the primary text for introductory planning courses. Rather, itserves as a reference for a broad range of planning courses required in accreditedplanning program curricula. In addition, the student edition is meant to be a usefulreference for planning courses offered in architecture, landscape architecture, geog-raphy, civil engineering, environmental studies, and public administration programs.

To better understand the needs of planning curricula, we surveyed course mate-rials from 30 accredited planning programs. Some 150 course syllabi were reviewedand analyzed for content. We used 65 planning course keyword categories, rangingfrom “architecture” to “urban form.” Information about planning programs, coursedescriptions, and reading lists was collected and compiled in a database.

We found that planning programs offer a significant proportion of course curric-ula on environmental issues. These courses are not usually a part of the standard,required curriculum but do constitute a large share of types of courses offered. Thiscould reflect theoretical shifts in the profession and/or trends across changes in pri-mary concerns of society. We also found that required curricula tend to have similarlists of recommended readings whereas electives have a wider range of references.

The survey also indicated a need for more sources that address graphic commu-nication. In addition, we found this need especially important for courses related tophysical planning, urban design, environmental planning, and transportation.

This student edition is an abridgement of the first edition of Planning and UrbanDesign Standards, edited by Megan Lewis and William Klein of APA. The editors ofPlanning and Urban Design Standards made our task both easy and difficult. Theyproduced such a thorough, excellent book with comprehensive, detailed informa-tion, which eased our undertaking. Our task proved to be a challenge for the samereason. With this rich resource base, we were challenged to identify material to cull.Our survey helped with this task, as did the Student Edition Advisory Board.

Although the student edition is an abridgement of the larger, more comprehensivevolume produced by APA, it contains original pages whose content was guided bythe Student Edition Advisory Board: Timothy Beatley, University of Virginia; CherylContant, Georgia Institute of Technology; Ann Forsyth, University of Minnesota;Gary Hack, University of Pennsylvania; Jerold Kayden, Harvard University; G.Mathias Kondolf, University of California-Berkeley; Megan Lewis, APA; and JaniceCervelli Schach, Clemson University. In addition to planning educators, we includedfaculty involved in landscape architecture, architecture, and geography programs onthis advisory board.

We would like to express our deep appreciation to Paul Farmer, William Klein,Megan Lewis, and their APA colleagues for setting the stage for the student edition.They spent three years preparing Planning and Urban Design Standards. Theirwork was built on Wiley’s experience with the Graphic Standards series, which hasbeen led for more than 70 years by Architecture Graphic Standards, currently in itstenth edition with more than 1 million copies sold. The architecture standards bookhas been joined by similar volumes for interior design, landscape architecture, andplanning and urban design. Each of these larger volumes is accompanied by a stu-dent edition.

Planning is a profession and, even more, a way of thinking, which links the bestpossible information to choices facing communities and regions. As a result, planningis an academic discipline that overlaps with several other fields. Planning is also fun-damental to democracy, involving many citizens and elected officials. Students andfuture citizens are at the beginning of a lifetime of making choices about the futureof the built environment. Our hope is that Planning and Urban Design Standards,Student Edition will serve as both a launching pad and a touchstone for that journey.

FREDERICK STEINER, Ph.D. FASLAKENT BUTLER, Ph.D.Community and Regional Planning ProgramSchool of ArchitectureUniversity of Texas at Austin

PREFACE

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JOHN WILEY & SONS, INC.

Amanda MillerVice President and Publisher

Kathryn Malm BourgoineAcquisitions Editor

Rosanne KonevalSenior Editorial Assistant

Lauren PoplawskiEditorial Assistant

Fred BernardiSenior Production Manager

Jennifer MazurkieSenior Production Editor

Justin MayhewSenior Marketing Manager

Lucinda GeistDesigner

Janice BorzendowskiCopyeditor

STUDENT EDITION EDITORS

Frederick R. Steiner, Ph.D. FASLAExecutive Editor

Kent S. Butler, Ph.D. FASLAExecutive Editor

Kelly BeaversEditorial Assistant

AMERICAN PLANNINGASSOCIATION

W. Paul Farmer, FAICPExecutive Director and CEO

William R. Klein, AICPExecutive Editor

Megan S. Lewis, AICPManaging Editor

Lynn M. Ross, AICPAssistant Editor

James A. HecimovichEditorial Advisor

Editorial AssociatesKaren K. Lindblad, Associate AIAStuart Meck, FAICPJames C. Schwab, AICPStephen Sizemore, AICPSuzanne Sutro Rhees, AICP

InternsKathleen Lacey Courtney OwenSarah Wiebenson

Graphics EditorInfoDesign, Staten Island, New YorkEmina Sendich, PrincipalErin M. M. ConwellValerie E. Aymer

Illustration SupportURS Corporation, Minneapolis SMWM, San Francisco

Student Edition Advisory BoardAnn Forsyth, Ph.D.University of Minnesota Metropolitan Design CenterMinneapolis, Minnesota

Gary Hack, Ph.D.University of Pennsylvania School of DesignPhiladelphia, Pennsylvania

Jerold S. Kayden, J.D.Harvard UniversityCambridge, Massachusetts

Mathias Kondolf, Ph.D.University of CaliforniaBerkeley, California

Megan Lewis, AICPAmerican Planning AssociationChicago, Illinois

Janice Cervelli Schach, M.L.A. FASLAClemson UniversityClemson, South Carolina

Timothy Beatley, Ph.D.University of Virginia Charlottesville, Virginia

Cheryl Contant, Ph.D.Georgia Tech University College of ArchitectureAtlanta, Georgia

Text ContributorsKheir Al-Kodmany, Ph.D.Steven C. AmesAmericans for the ArtsLarz T. Anderson, AICPRandall G. Arendt, FRTPI ASLA (Hon.)Randall I. Atlas, Ph.D. AIA CPP

David L. Barth, ASLA AICP CPRPTimothy Beatley, Ph.D.Kelly A. BeaversJames F. Berry, J.D. Ph.D.David C. BierMia BirkL. Carson Bise II, AICPBrian W. BlaesserHendra BongAnthony J. BrazelJeanette Brown, P.E. DEEChris BurgerAndrea BurkKent S. Butler, Ph.D.David M. Bush, Ph.D.

Robert J. ChaskinRichard Claytor, PEElaine C. CoganHaven B. CookDonald G. Copper

Richard DagenhartThomas L. Daniels, Ph.D.Greg DiLoreto, P.E.David Dixon, FAIAHarry Dodson, ASLADonna Ducharme, AICPJames Duncan, FAICPTeresa Durkin, ASLA

James D. Ebenhoh, AICPAnn-Margaret Esnard, Ph.D.Maurice G. Estes, Jr., AICPMary E. Eysenbach

ACKNOWLEDGMENTS

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Acknowledgments xi

Lee A. Fithian, AIACharles A. Flink, FASLAStephen B. Friedman, AICP CRE

Dale GlowaJay S. GoldenMichelle Gregory, AICP

William R. Haase IV, AICPJulie HermanRichard Herring, AIA LEED APScott W. HorsleyCynthia L. Hoyle, AICPChristopher R. HugoRichard Hurwitz

Mark R. Johnson, AICP

Phillip R. Kemmerly, Ph.D.Peter J. Kindel, AIA ASLAWilliam R. Klein, AICPGerrit J. Knaap, Ph.D.G. Mathias Kondolf, Ph.D. John P. Kretzmann, Ph.D. Walter Kulash, P.E.

Megan S. Lewis, AICPKaren K. Lindblad, Associate AIAMichael K. Lindell, Ph.D.Anne Locke, AIAThayer Long

Alan Mallach, FAICPRichard D. Margerum, Ph.D.Larry McClennanJohn L. McKnightStuart Meck, FAICPDiana C. Mendes, AICP Roger M. Millar, PE FASCE AICPJennifer Morris, AICPMarya Morris, AICPJohn R. Mullin, Ph.D. FAICP

National Charrette InstituteNatural Lands TrustWilliam J. Neal, Ph.D.Arthur C. Nelson, Ph.D. FAICPMark E. Nelson, LEPNancy I. Nishikawa, AICP

Robert B. Olshansky, Ph.D. AICP

Robert Paterson, Ph.D.PICA — The Wireless Infrastructure Association

Bruce Ream, AIA EmeritusSuzanne Sutro Rhees, AICPLinda Cain Ruth, AIA

Ilaria Salvadori, SMWMHenry Sanoff, AIANancy Sappington David SchellingerJeffrey SchoenbauerJames C. Schwab, AICPKhaled Shammout, AICP

Geeti SilwalStephen G. Sizemore, AICPMary S. Smith, P.E.Ken SnyderDon SpringhettiFrederick R. Steiner, Ph.D. FASLAPeter Swift, P.E.

Kenneth R. TammingaStephen Tocknell, AICP

Sheila Vertino

William D. Wagoner, AICP PEMGregory A. Walker, AICPRachel N. Weber, Ph.D.Alan C. WeinsteinBetty Jo White, Ph.D.Jon D. Witten, AICP

Samuel ZimmermanPaul Zykofsky, AICP

Illustration Sources A. Nelessen Associates Inc.Albany County (NY) Airport AuthorityAlta Planning & DesignAmerican Planning AssociationRichard B. AndrewsAndropogon Associates, Ltd.Donald AppleyardARISherry ArnsteinARUP

Jon BellDeborah BowersBrauer & Associates, Ltd.Gary BrennimanAndrew BrookesBucher Willis and Ratliff Corporation

California Air Resources BoardCalifornia Department of TransportationCalifornia State Lands CommissionCamiros, Ltd.Campbell Tui Campbell, Inc.Center for Watershed ProtectionCHANCE Management Advisors, Inc.Chicago Metropolis 2020City of Austin, TXCity of Burnsville, MNCity of Des Moines, WACity of Miami Beach, FLCity of Navato (CA) Community Development

DepartmentCity of Pawtucket, RICity of Phoenix, AZCity of Platteville, WICity of Portland, ORCity of San Francisco, CACity of West Linn, ORCollier County (FL) Emergency ManagementContinuum Partners, LLCCSO ArchitectsCubellis, Inc.

Richard DagenhartHemalata C. Dandekar, Ph.D.Dane County, WIDefenders of Wildlife John J. DelaneyF.C. DennisDesign WorkshopDodson AssociatesConstantinos DoxiadesThomas Dunne

ECONorthwest Inc.Bartholomew EliasESRI

Federal Emergency Management AgencyFederal Highway AdministrationFederal Interagency Stream Restoration Working

GroupFederal Transit AdministrationLawrence S. FinegoldFitzGerald Associates ArchitectsFlorida Division of ForestryE.C. FreundFuturity, Inc.

Joel GarreauGas Technology InstituteGlatting JacksonGoody ClancyW.I. GoodmanRonald GoodsonGreenways Incorporated

William Hallenbeck Truman A. HartshornHillsborough County (Florida) City-County Planning

CommissionHoopa Valley TribeHorsley and Witten GroupEbenezer Howard

Idaho Association of Soil Conservation DistrictsIllinois Regional Transportation AuthorityIndiana Department of Natural ResourcesInstitute of Transportation EngineersIsland Press

Carolyn JohnsonBernie Jones

King County, WashingtonDavid Knox Productions, Inc.

Landrum & Brown, Inc.Luna LeopoldLMN Architects

Karl ManheimJerry MitchellPeter MustyMcGraw-HillMead and Hunt, Inc.Metcalf and EddyMetropolitan Design CenterMid-America Regional CouncilMontgomery County, MD

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xii Acknowledgments

Napa County (CA) Board of SupervisorsNational Agricultural Statistical ServiceNational Association of Home BuildersNational Capital Planning CommissionNational Charrette InstituteNational Hurricane CenterNational Interagency Fire CenterNational Oceanic and Atmospheric AdministrationNational Oceanic and Atmospheric AdministrationNational Park ServiceNaval Facilities Engineering CommandNoise Control Engineering JournalNorth Carolina Division of Coastal ManagementNorth Carolina Sea Grant

Gregory OhlmacherOregon Department of TransportationOWP/P ArchitectsFrederick Law Olmsted

Arthur PalmerPatrick Engineering, Inc.Perkins and WillPhillips Swager AssociatesPima County (AZ) Clerk of the BoardPortland Metro

Rich PoirotSteve Price

Reed Construction DataRegional Plan Association

Mel ScottSkidmore, Owings & Merrill LLPSoutheast Michigan GreenwaysSoutheastern Pennsylvania Transportation AuthorityState of New Jersey Pinelands CommissionPaul Sullivan

The Consensus Building HandbookTransportation Research BoardTri-Met

U.S. Army Corps of EngineersU.S. Census BureauU.S. Department of AgricultureU.S. Department of Agriculture, Economic Research

ServiceU.S. Department of CommerceU.S. Department of EnergyU.S. Department of Housing and Urban DevelopmentU.S. Environmental Protection Agency

U.S. Fish and Wildlife ServiceU.S. Forest ServiceU.S. Geological SurveyU.S. Geological Survey, Northern Wildlife Prairie

Research CenterU.S. Government Printing OfficeU.S. Green Building CouncilUnited PropertiesUrban Design Associates

Vanasse Hangen Brustlin, Inc.Calvert VauxVirginia Marine Resources CommissionVR Marketing, Inc.

Walker Parking ConsultantsWashington Metropolitan Area Transit AuthorityWater Environment Research FoundationW.J. WeberWilliamson County, TNKaren S. WilliamsonWinston AssociatesWisconsin Department of Transportation

Xtra-Spatial Productions, LLC

Thomas R. Zahn and Associates

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Part 1

PLANS AND PLAN MAKING

Plan Making

Types of Plans

Participation

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Plan Making 3

PLAN MAKING

A plan is an adopted statement of policy, in the formof text, maps, and graphics, used to guide public andprivate actions that affect the future. A plan providesdecision makers with the information they need tomake informed decisions affecting the long-rangesocial, economic, and physical growth of a commu-nity. This section provides an overview of plan makingas applied to a wide variety of plan types.

PURPOSES AND APPLICATIONSOF PLANS

Plans are used when making decisions concerningthe future of an area or of a specific topic under con-sideration. For example, a plan may be used toidentify:

• Housing needs—and recommend a program tomeet them

• Transportation needs—and propose alternative sys-tems and modes to meet them

• Open-space preservation areas—and present mech-anisms to protect these areas permanently

• Priority investment areas—and recommend pro-grams to stimulate growth

• Strategies for a specific area, such as a downtown,corridor, or neighborhood

Some specific applications of plans include:

• Providing residents, local officials, and others withan interest in the area with an overview and pro-jection of development and conservation in theplanning area, along with a summary of trends andforecasts.

• Serving as the basis for the local government enact-ing and administering regulatory measures, such aszoning and subdivision laws, and establishingurban growth boundaries.

• Serving as the basis for making budget allocationsfor capital improvements, such as parks, utility sys-tems, and streets.

• Serving as the basis for many other public programs,such as those relating to growth management, historicpreservation, economic development, transportationsystems, and open-space preservation, for example.

PLAN AUTHORITY

Plans may be expressly authorized or required bystatute or administrative rule, depending on the type ofplan and the state in which the community is located.For example, every state has its own planning statutes,one part of which authorizes or requires communitiesto prepare a comprehensive plan, referred to in somestates as general or master plans. The statute specifieswhich elements are included in the plan and theprocess required for developing and adopting it. Statesalso often use their administrative rule-making powersto further specify, refine, and interpret the statute.

In addition to state planning statutes, federal andstate programs established by law sometimes require

PLAN MAKING

PLAN MAKING

Larz T. Anderson, AICP, Santa Rosa, CaliforniaWilliam R. Klein, AICP, American Planning Association, Chicago, IllinoisStuart Meck, FAICP, American Planning Association, Chicago, Illinois

The process of plan making should be viewed as a continuous cycle.There are interrelationships among the phases ofthe planning process. Information gained at a later phase can inform the outcome of an earlier phase. It is important torecognize the iterative nature of planning and to allow for continuous cycling to occur.

THE PLANNING PROCESS Reprinted with permission from Guidelines for Preparing Urban Plans, copyright 1995 by the American Planning Association, Suite1600, 122 South Michigan Avenue, Chicago, IL 60603-6107.

1. Identify Issuesand OptionsIdentify New Issues 2. StateG

oals, Objectives

andPriorities

ReviseO

bjectives

andPriorities

3. Collect

andInterpret

Data

Collect

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Revise

Plans

4. Prep

arePla

nsRevise Draft of

5. Draft Programs for

Implementation Program

Plan Implementation

Evaluate Impacts of

6. Evaluate Impacts

Revised Plans and Programsof Plans and

Implementation Programs

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9.Administe

r Implementation

Programs

Eval

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Basic Cycle of the Planning Process

Recycling Steps That Are Frequently Added to the Planning Process

EXAMPLES OF PLANS AUTHORIZED OR REQUIRED BY STATE OR FEDERAL STATUTEPLAN TYPE STATUTE JURISDICTION Conservation Element Florida Statutes Sec. 163.3177(6)(d) FloridaEconomic Development Element R.I. Gen. Laws Sec. 45-22.2-6(4) Rhode IslandHazard Mitigation Plan 42 U.S. Code Sec. 5133 Federal Emergency Management Agency (FEMA)Housing Assistance Plan Cal. Gov’t. Code Secs. 65580 to 65589.8 CaliforniaHousing Element N.J. Statutes Annotated Sec. 52:27D-310 New JerseyLand Use Element Kentucky Rev. Statutes Sec. 100.187(3) Kentucky Transit-Oriented Development Plan Cal. Gov’t Code Secs. 65460 to 65460.10 CaliforniaTransportation Improvement Program 49 U.S. Code Sec. 5304 U.S. Department of Transportation

Source: American Planning Association, 2004.

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4 Plan Making

PART 1 PLANS AND PLAN MAKING

and relationships that appear to have a direct rele-vancy to the subject of the plan, hence to the strategy.Consequently, these plans are more focused and canusually be completed more quickly and with fewerresources.

Community InvolvementThe issues, findings, and recommendations of a planshould take into account the knowledge and concernsof existing residents, businesses, and other interests inthe planning area, and the anticipated concerns ofthose interests in the future. Issues to consider arethose with a connection to local, regional, statewide,and even global matters. Consequently, an importantscoping task is the creation of a legitimate and effec-tive process for involving a wide variety of interests inthe preparation of a plan. Successful public involve-ment processes are designed to fit the unique contextof the plan.

In-House versus OutsourcingWho should prepare a plan? Choices typically includein-house staff, outside consultants, community-basednongovernmental organizations (NGOs) or volun-teers, or a combination. The best mix results from arealistic assessment of in-house staff capacity in termsof hours and expertise available, funds available foroutside consultant services, and the capacity to trainand lead an NGO or volunteer effort.

Binding Plans are officially adopted or endorsed by a govern-mental body and thereby become a statement of itspolicies. Depending on the state and type of local orregional governance structure, the governmentalbody may be the local legislative body, the planningboard or commission, a council of governments, orregional planning agency. Occasionally, plans areadopted by nonprofit regional planning organizationsfor the benefit of the public they serve, such as theregional plans prepared by the Regional PlanAssociation for the New York metropolitan area orChicago Metropolis 2020 for the Chicago region.

BASIC PLAN STRUCTURE

The structure of a plan usually consists of two basiccomponents: a core, followed by a number of ele-ments. The specific contents of a plan depend uponnumerous factors, such as the type of plan being pre-pared, the purpose of the plan, and the scope beingaddressed. Consult the chapter on types of plans forinformation on plan contents for specific types ofplans.

The Plan CoreThe core includes the following:

• A statement of authority to prepare and adopt plan • Background data, including area history, existing

conditions and trends, and data projections• Documentation of stakeholder interests and stake-

holder involvement process• A vision statement or statement of goals and objec-

tives for future conditions• An evaluation of plan and design alternatives• A program of implementation

The Plan ElementsThe elements of a plan consider, specifically, the plan’svarious topics. The elements that must be includeddepend upon the plan’s purpose. For a comprehensiveplan, the land use, transportation, housing, and com-munity facilities elements are considered essential—theyform the foundation of the comprehensive plan. Otherelements are added as considered to be appropriate,based on the plan’s scope and as required by state law.

Elements frequently included in a comprehensiveplan or often prepared as separate functional plansinclude the following:

• Economic development• Historic preservation • Natural hazards• Farmland preservation• Parks, recreation, and open space• Urban design

GOALS, OBJECTIVES,ANDASSUMPTIONS

Universal to all plans is an identification of the goals,objectives, and assumptions of the plan. Reachingconsensus on these three components is often quitedifficult, if not impossible. Sometimes, agreement canbe reached only in the broadest of terms; often, par-ticipants reach “incremental” agreement usingnegotiation and compromise. Intensive communica-tion between those preparing the plan and thestakeholders is required here.

Goals A goal is a statement that describes, usually in gen-eral terms, a desired future condition.

Objectives A set of measurable objectives should accompany thegoals established for the plan. An objective is a state-ment that describes a specific future condition to beattained within a stated period of time. Typically,these objectives are more numerous than the goals,and they are organized according to the topics in thegoals statement.

Several questions can be asked at the outset of theplanning process to determine the objectives of thecommunity. Examples of such questions include:

• What type of development pattern do the stake-holders want?

• What type of transportation system and networkdoes the community want?

• What forms of housing do stakeholders want in thecommunity?

• What program of uses do stakeholders want for thedowntown area?

The effort to create and evaluate objectives foreach of the broader goals can be instructive for com-munities and planners, helping all to understand theimplications of goal setting as applied in a planningand implementation process.

Assumptions An assumption is a statement of present or futureconditions describing the physical, social, or eco-


that plans of a certain kind be prepared as a condi-tion for participation in the program. The table hereincludes examples of plans authorized or required bystate or federal statute.

For the most part, however, many types of plansare not expressly authorized or required in state orfederal statutes. Examples include many types of areaplans, such as neighborhood plans, corridor plans,and downtown plans, and some types of functionalplans, such as parks and open-space plans, bikeroute plans, and urban forest plans. The content andformat of these plans, and many others like them, areguided primarily by professional planning practice.They also represent the kinds of plans for whichthere is a great deal of variation in form and content.

PLAN INNOVATION

Although state planning statutes and federal and stateregulations provide general guidance about plan con-tent and process for some plans, plans can varygreatly from the prescribed themes. In recent years,planners have begun to break away from tradition byreinventing what plans look like and do, shaping theform of plans to fit the unique content and processrequirements of the community.

Moreover, some of the most exciting and effectiveplans in recent years take advantage of new ways ofthinking about what a plan should contain and how itcan be presented. Interactive electronic participation,benchmarking, Web-based plans, scenario analysisand modeling, and visualization techniques are a fewof the new components and techniques found inplans today. Many of these innovations are featured inthe plans described in the first part of this book.

An essential first step of any planning effort is todetermine the plan’s content, format, and process.The degree to which a planner crafts a plan to meetthe unique needs of a situation, time, and place willdetermine whether a plan results in positive out-comes in the real world. An appendix to this bookprovides a list of award-winning plans to illustrate thebreadth and scope of innovative plan making today.

SCOPING CONSIDERATIONSThe subsections to follow comprise a general check-list of some of the most basic considerations to keepin mind when determining the scope of any plan.

Time FrameWhat is the time period covered by the plan? Plansalmost always cover a time span of longer than ayear, and usually address a period between 5 yearsand 20 years. The time period may be determined bystatute or by the subject matter and process.

COMPREHENSIVE VERSUS STRATEGIC

Are all topics covered or just those important to thechosen strategy? Plans that employ a comprehensiveapproach consider a broad range of topics related tothe area or function of the plan, even if some topicsare only relevant in a minor way. Plans with a com-prehensive orientation are sometimes more generalin their treatment of a wide variety of subjects, pro-viding depth only when needed. Alternatively, planswith a strategic approach consider only the topics

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PLAN MAKING

DOCUMENT STRUCTURE

Whether published on paper, as a series of posters,or on the Web, it is important to create a clear, usableplan document. When creating a plan document,consider the reader’s needs. The document shouldclearly reflect the planning process and serve as auseful tool for future users.

Name of the PlanIdentify a name for the plan that is simple, sensible,and incorporates the planning area or topic name.

Table of ContentsProvide a table of contents so that readers find theplan easy to use and can go directly to a topic of par-ticular interest. Include tables and figures in the tableof contents.

Time FrameProvide the dates of all pertinent planning milestones,such as initiation of the planning process, completionof the first draft, and when certain benchmarks mightbe achieved. This information gives readers a senseof the plan’s progression, shows investment in theplanning process, and provides the plan’s full timespan. Include the plan adoption date on the frontcover or title page.

AcknowledgmentsInclude an acknowledgments page that lists thenames, titles, and affiliations of individuals who con-tributed to the production of the plan.

Glossary/Terminology KeyA glossary can explain technical or local jargon andacronyms, and describe unfamiliar places.

See also:Analysis TechniquesImplementation TechniquesParticipation Types of Plans

GOALS AND OBJECTIVES FOR BALANCEDGROWTH: NANTUCKET, MASSACHUSETTS

Goal A: Open Space AcquisitionTo establish and manage a communitywide net-work of publicly and privately held open spacesintended to protect critical land and waterresources, habitat, and scenic vistas, while afford-ing reasonable access consistent with a policy ofwise stewardship.

Goal B: Protection of Water ResourcesTo protect the quality and quantity of the commu-nity’s groundwater and surface water resources.

Goal C: Growth ManagementTo better manage the design, location, and rate ofnew residential and commercial development in amanner that: protects important natural and cul-tural resources; encourages development in ornear village centers; promotes and preserves thevitality of the downtown; is compatible with thecommunity’s historic character; minimizes depen-dence on the automobile; and creates opportunitiesfor affordable housing.

Goal D:TransportationTo provide a transportation system that will movepeople and goods to, from, and through the com-munity in a way that is safe, convenient,economical, and consistent with the community’shistoric, scenic, and natural resources.

Goal E:Affordable HousingTo promote the development and retention ofaffordable housing for families, individuals, andthe elderly.

Goal F:The EconomyTo strengthen and diversify the local economy.

Goal G: Energy and UtilitiesTo provide energy and utility services to the com-munity in a manner that is affordable, efficient,effective, and environmentally safe.

Goal H: Human ServicesTo facilitate, sustain, and improve the health, edu-cation, and well-being of all persons in thecommunity by providing those public and privatehuman services that will improve the quality of lifefor all age groups.

Source: Nantucket Planning and Economic DevelopmentCommission, 1990.

TYPICAL DATA NEEDS FOR PLANPREPARATIONMAPS AND IMAGESBase maps Aerial photographsGIS map layers

NATURAL ENVIRONMENTClimate TopographySoilsVegetationWater featuresHabitat areasNatural hazards

EXISTING LAND USESResidentialCommercialIndustrialInstitutional Open-space landsVacant urban landsFarmlands

HOUSINGInventory of housingHousing conditionVacancy rateAffordability

TRANSPORTATIONStreet networkStreet capacityTraffic flow volumesParking supply and demandTransit facilities by modeBicycle networksPedestrian networks

PUBLIC UTILITIESWater supplyWastewater disposalStormwater managementSolid waste managementTelecommunication services

COMMUNITY SERVICES Administrative centersEducation facilitiesParks and recreation facilitiesHealth servicesPublic safety facilities

POPULATION AND EMPLOYMENTPopulation size Population characteristicsVital statisticsLabor force characteristics

LOCAL ECONOMYEmploymentRetail salesCost of living

SPECIAL TOPICSHistoric sites and buildingsArchaeological sitesUrban design featuresExisting zoning

nomic setting within which the plan is to be used. Atthe outset of the process, it is necessary to identify thebasic assumptions concerning the planning area.

On the local level, these can include the acceptedboundaries of urban growth, the probable rate ofgrowth, and the desired general character of thecommunity, for example. At a larger scale, it is alsousually desirable to state assumptions concerningnational and regional economic trends. Where cur-rent research data are not available, it can be essentialto state and obtain agreement on a set of workingassumptions for the particular planning effort.

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6 Comprehensive Plans


The comprehensive plan is the adopted official state-ment of a local government’s legislative body forfuture development and conservation. It sets forthgoals; analyzes existing conditions and trends;describes and illustrates a vision for the physical,social, and economic characteristics of the commu-nity in the years ahead; and outlines policies andguidelines intended to implement that vision.

Comprehensive plans address a broad range ofinterrelated topics in a unified way. A comprehensiveplan identifies and analyzes the important relation-ships among the economy, transportation,community facilities and services, housing, the envi-ronment, land use, human services, and othercommunity components. It does so on a community-wide basis and in the context of a wider region. Acomprehensive plan addresses the long-range futureof a community, using a time horizon up to 20 yearsor more. The most important function of a compre-hensive plan is to provide valuable guidance to thosein the public and private sector as decisions are madeaffecting the future quality of life of existing andfuture residents and the natural and built environ-ments in which they live, work, and play.

All states have enabling legislation that eitherallow, or require, local governments to adopt com-prehensive plans. In some states, the enablinglegislation refers to them as general plans(California, Maryland, and Arizona, for example), ormaster plans (Colorado). Most state-enabling legisla-tion describes generally what should be included ina comprehensive plan. However, several states,including Oregon and Florida, detail the content ofplans through administrative rules promulgated by astate agency.

REASONS TO PREPARE ACOMPREHENSIVE PLAN

Local governments prepare comprehensive plans fora number of reasons, which are described in the fol-lowing subsections.

View the “Big Picture” The local comprehensive planning process providesa chance to look broadly at programs on housing,economic development, public infrastructure andservices, environmental protection, and natural andhuman-made hazards, and how they relate to oneanother. A local comprehensive plan represents a“big picture” of the community related to trends andinterests in the broader region and in the state inwhich the local government is located.

Coordinate Local Decision MakingLocal comprehensive planning results in the adoptionof a series of goals and policies that should guide thelocal government in its daily decisions. For instance,the plan should be referred to for decisions aboutlocating, financing, and sequencing public improve-ments, devising and administering regulations such as

zoning and subdivision controls, and redevelopment.In so doing, the plan provides a way to coordinatethe actions of many different agencies within localgovernment.

Give Guidance to Landowners andDevelopersIn making its decisions, the private sector can turnto a well-prepared comprehensive plan to get somesense of where the community is headed in termsof the physical, social, economic, and transporta-tion future. Because comprehensive planningresults in a statement of how local governmentintends to use public investment and land develop-ment controls, the plan can affect the decisions ofprivate landowners.

Establish a Sound Basis in Fact forDecisionsA plan, through required information gathering andanalysis, improves the factual basis for land-use deci-sions. Using the physical plan as a tool to inform andguide these decisions establishes a baseline for pub-lic policies. The plan thus provides a measure ofconsistency to governmental action, limiting thepotential for arbitrariness.

Involve a Broad Array of Interests in aDiscussion about the Long-Range FutureLocal comprehensive planning involves the activeparticipation of local elected and appointed officials,line departments of local government, citizens, thebusiness community, nongovernmental organiza-tions, and faith-based groups in a discussion aboutthe community’s major physical, environmental,social, or economic development problems andopportunities. The plan gives these varied interests anopportunity to clarify their ideas, better envisioningthe community they are trying to create.

Build an Informed Constituency The plan preparation process, with its related work-shops, surveys, meetings, and public hearings,permits two-way communication between citizensand planners and officials regarding a vision of thecommunity and how that vision is to be achieved. Inthis respect, the plan is a blueprint reflecting sharedcommunity values at specific points in time. Thisprocess creates an informed constituency that can beinvolved in planning initiatives, review of proposalsfor plan consistency, and collaborative implementa-tion of the plan.

PLAN ELEMENTS

The scope and content of state planning legislationvaries widely from state to state with respect to itstreatment of the comprehensive plan. The AmericanPlanning Association has developed model stateplanning legislation in its Growing SmartSM LegislativeGuidebook (2002).

Required and Optional ElementsThe guidebook suggests a series of required elementsand optional elements. Required elements include:

• Land use • Transportation• Community facilities (includes utilities and parks

and open space)• Housing• Economic development• Critical and sensitive areas• Natural hazards• Agricultural lands

Optional elements addressing urban design, publicsafety, and cultural resources, for instance, may alsobe included. Moreover, the suggested functional ele-ments are not intended to be rigid and inflexible.Participants in the plan process should tailor the for-mat and content of the comprehensive plan to thespecific needs and characteristics of their community.

According to the guidebook, comprehensive plansshould include two “bookend” items: an issues andopportunities element at the beginning in order to setthe stage for the preparation of other elements, andan implementation program at the end that proposesmeasures, assigns estimated costs (if feasible), andassigns responsibility for carrying out proposed meas-ures of the plan. The level of detail in theimplementation program will vary depending onwhether such actions will be addressed in specificfunctional plans.

Issues and Opportunities ElementThe issues and opportunities element articulates thevalues and needs of citizens and other affected inter-ests about what the community should become. Thelocal government then interprets and uses those val-ues and needs as a basis and foundation for itsplanning efforts.

An issues and opportunities element should con-tain seven items:

• A vision or goals and objectives statement• A description of existing conditions and character-

istics • Analyses of internal and external trends and forces• A description of opportunities, problems, advan-

tages, and disadvantages• A narrative describing the public participation

process • The legal authority or mandate for the plan • A narrative describing the connection to all the

other plan elements

Vision or Goals and Objectives StatementThis statement is a formal description of what thecommunity wants to become. It may consist solely ofbroad communitywide goals, may be enhanced bythe addition of measurable objectives for each of thegoals, or may be accompanied by a narrative or illus-

Stuart Meck, FAICP, American Planning Association, Chicago, Illinois

TYPES OF PLANSCOMPREHENSIVE PLANS

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TYPES OF PLANS

tration that sets a vision of the community at the endof the plan period.

Existing Conditions and CharacteristicsDescriptionThis description creates a profile of the community,including relevant demographic data, pertinent histori-cal information, existing plans, regulatory framework,and other information that broadly informs the plan.Existing conditions information specific to a plan ele-ment may be included in that element’s within the plan.

Trends and Forces DescriptionThis description of major trends and forces is what thelocal government considered when creating the visionstatement and considers the effect of changes forecastfor the surrounding region during the planning period.

Opportunities, Problems,Advantages, andDisadvantages The plan should include a statement of the majoropportunities, problems, advantages, and disadvan-tages for growth and decline affecting the localgovernment, including specific areas within its juris-diction. This is often referred to as a SWOTanalysis—a description of strengths, weaknesses,opportunities, and threats.

Public ParticipationThis summary of the public participation proceduresdescribes how the public was involved in developingthe comprehensive plan.

Legal Authority or MandateThis brief statement describes the local government’slegal authority for preparing the plan. It may includea reference to applicable state legislation or a munic-

ipal charter. Summaries of past planning activitiesmay be included here (if not included in existing con-ditions discussion).

Connection to Other ElementsThe implications of the local government’s vision onother required and/or optional elements of the local

comprehensive plan, including the potential changesin implementation measures, should be described inthis concluding section.

The Land-Use ElementThe land-use element shows the general distribution,location, and characteristics of current and future landuses and urban form. In the past, comprehensiveplans included color-coded maps showing exclusiveland-use categories, such as residential, commercial,industrial, institutional, community facilities, openspace, recreational, and agricultural uses.

Many communities today use sophisticated land-useand land-cover inventories and mapping techniques,employing Geographic Information Systems (GIS) andnew land-use and land-cover classification systems.These new systems are better able to accommodatethe multidimensional realities of urban form, such asmixed-use and time-of-day/seasonal-use changes.Form and character are increasingly being used asimportant components of land-use planning, integrat-ing the many separate components into an integratedland-use form.

One example of a process that can be used to cre-ate such multidimensional mapping is the system ofLand-Based Classification Standards (LBCS), devel-oped by the American Planning Association (APA).This system creates a current land-use map using anumber of data sources, including orbital and subor-bital remotely sensed data, tax assessor records, U.S.Geological Survey quadrangle maps, soils maps, andother county or state mapping data, which are field-checked on the ground.

Future Land-Use MapFuture land uses and their intensity and density areshown on a future land-use map. The land-use allo-cations shown on the map must be supported byland-use projections linked to population and eco-nomic forecasts for the surrounding region and tiedto the assumptions in a regional plan, if one exists.Such coordination ensures that the plan is realistic.The assumptions used in the land-use forecasts, typ-ically in terms of net density, intensity, otherstandards or ratios, or other spatial requirements orphysical determinants, are a fundamental part of theland-use element. This element must also showlands that have development constraints, such as nat-ural hazards.

Land-Use Projections The land-use element should envision all land-useneeds for a 20-year period (or the chosen time framefor the plan), and all these needs should be designatedon the future land-use plan map. If this is not done,the local government may have problems carrying outthe plan. For example, if the local government receivesapplications for zoning changes to accommodate usesthe plan recognizes as needed, the locations wherethese changes are requested are consistent with whatis shown on the land-use plan map.

The Transportation ElementThe modern transportation element commonlyaddresses traffic circulation, transit, bicycle routes,ports, airports, railways, recreation routes, pedestrianmovement, and parking. The exact content of a trans-portation element differs from community tocommunity depending on the transportation context


EconomicDevelopment

Critical andSensitive Areas

AgriculturalLands

Issues andOpportunities Implementation

NaturalHazards

LandUse Housing Community

FacilitiesTransportation

ComprehensivePlan

OptionalElements

COMPREHENSIVE PLAN ELEMENTSSource: American Planning Association.

SAMPLE VISION STATEMENT:OAKLAND, CALIFORNIA

The Vision for OaklandIn the year 2015, Oakland will be a safe, healthy,and vital city offering a high quality of life through:

• a dynamic economy that taps into Oakland’sgreat economic potential and capitalizes on itsphysical and cultural assets;

• clean and attractive neighborhoods rich in char-acter and diversity, each with its own distinctiveidentity, yet well integrated into a cohesiveurban fabric;

• a diverse and vibrant downtown with around-the-clock activity;

• an active and accessible waterfront that is linkedto downtown and the neighborhoods, and thatpromotes Oakland’s position as a leading UnitedStates port and a primary regional and interna-tional airport;

• an efficient transportation system that serves theneeds of all its citizens and that promotesOakland’s primacy as a transportation hub con-necting the Bay Area with the Pacific Rim andthe rest of the United States; and

• awareness and enjoyment of Oakland’s magnif-icent physical setting—hills, views, water,estuary—in every district and neighborhood.

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8 Comprehensive Plans


of the community and region. Proposals for trans-portation facilities occur against a backdrop offederally required transportation planning at the stateand regional levels.

The transportation element considers existing andcommitted facilities, and evaluates them against a setof service levels or performance standards to deter-mine whether they will adequately serve futureneeds. Of the various transportation facilities, the traf-fic circulation component is the most common, and amajor thoroughfare plan is an essential part of this. Itcontains the general locations and extent of existingand proposed streets and highways by type, function,and character of improvement.

Street Performance In determining street performance and adequacy,planners are employing other approaches in additionto or instead of level-of-service standards that morefairly measure a street’s performance in movingpedestrians, bikes, buses, trolleys, and light rail, andfor driving retail trade, in addition to moving cars.This is especially true for urban centers, where sev-eral modes of travel share the public realm across theentire right-of-way, including adjacent privatelyowned “public” spaces. Urban design plans for theentire streetscape of key thoroughfares can augmentthe transportation element. In addition, it is becomingincreasingly common for the traffic circulation com-ponent of a comprehensive plan to include a streetconnectivity analysis. The degree to which streetsconnect with each other affects pedestrian movementand traffic dispersal.

Thoroughfare PlanThe thoroughfare plan, which includes a plan map, isused as a framework for roadway rehabilitation,improvement, and signalization. It is a way of identi-fying general alignments for future circulationfacilities, either as part of new private development oras new projects undertaken by local government.Other transportation modes should receive compara-ble review and analysis, with an emphasis on needsand systems of the particular jurisdiction and onmeeting environmental standards and objectives forthe community and region. Typically, surface andstructured parking, bikeways, and pedestrian waysshould also be covered in the transportation element.

TransitA transit component takes into consideration bus andlight rail facilities, water-based transit (if applicable),and intermodal facilities that allow transportationusers to transfer from one mode to another. The typesand capacities of future transit service should belinked to work commute and nonwork commutedemands as well as to the applicable policies and reg-ulations of the jurisdiction and its region.

The Transportation/Land-Use RelationshipThe relationship between transportation and landuse is better understood today and has become adominant theme in the transportation element. Forinstance, where transit exists or is proposed,opportunities for transit-oriented developmentshould be included; where increased densities areessential, transit services might need to beimproved or introduced. This would also be cov-ered in the land-use element.

The Community Facilities ElementThe term “community facilities” includes the physicalmanifestations of governmental or quasi-governmen-tal services on behalf of the public. These includebuildings, equipment, land, interests in land, such aseasements, and whole systems of activities. The com-munity facilities element requires the localgovernment to inventory and assess the conditionand adequacy of existing facilities, and to propose arange of facilities that will support the land-use ele-ment’s development pattern.

The element may include facilities operated bypublic agencies and those owned and operated byfor-profit and not-for-profit private enterprises for thebenefit of the community, such as privately ownedwater and gas facilities, or museums. Some commu-nity facilities have a direct impact on wheredevelopment will occur and at what scale—water andsewer lines, water supply, and wastewater treatmentfacilities, for example. Other community facilities mayaddress immediate consequences of development.For example, a stormwater management system han-dles changes in the runoff characteristics of land as aconsequence of development.

Still other facilities are necessary for the publichealth, safety, and welfare, but are more supportivein nature. Examples in this category would includepolice and fire facilities, general governmental build-ings, and elementary and secondary schools. A finalgroup includes those facilities that contribute to thecultural life or physical and mental health and per-sonal growth of a local government’s residents. Theseinclude hospitals, clinics, libraries, and arts centers.

Operation by Other Public AgenciesSome community facilities may be operated by pub-lic agencies other than the local government. Suchagencies may serve areas not coterminous with thelocal government’s boundaries. Independent schooldistricts, library districts, and water utilities are goodexamples. In some large communities, these agenciesmay have their own internal planning capabilities. Inothers, the local planning agency will need to assistor coordinate with the agency or even directly serveas its planner.

Parks, Open Space, and Cultural ResourcesA community facilities element may include a parksand open-space component. Alternatively, parksand open space may be addressed in a separate ele-ment. The community facilities element willinventory existing parks by type of facility and mayevaluate the condition of parks in terms of the pop-ulation they are expected to serve and the functionsthey are intended to carry out. To determinewhether additional parkland should be purchased,population forecasts are often used in connectionwith population-based needs criteria (such as arequirement of so many acres of a certain type ofpark within a certain distance from residents). Othercriteria used to determine parkland need mayinclude parkland as a percentage of land cover or aresident’s proximity to a park.

Open-space preservation may sometimes beaddressed alone or in connection with critical andsensitive areas protection and agricultural and forestpreservation. Here the emphasis is on the ecological,scenic, and economic functions that open space pro-vides. The element may also identify tracts of open

land with historic or cultural significance, such as abattlefield. The element will distinguish betweenpublicly held land, land held in private ownershipsubject to conservation easements or other restric-tions, and privately owned parcels subject todevelopment.

The Housing ElementThe housing element assesses local housing condi-tions and projects future housing needs by housingtype and price to ensure that a wide variety of hous-ing structure types, occupancy types, and prices (forrent or purchase) are available for a community’sexisting and future residents. There may currently bea need for rental units for large families or the dis-abled, or a disproportionate amount of income maybe paid for rental properties, for example. Becausedemand for housing does not necessarily correspondwith jurisdictional boundaries and the location ofemployment, a housing element provides for housingneeds in the context of the region in which the localgovernment is located. In some states, such asCalifornia, New Hampshire, and New Jersey, theremay be state-level or regional housing plans thatidentify regional needs for affordable housing, andthe local housing element must take these needs intoaccount as part of a “fair-share” requirement.

Jobs/Housing BalanceThe housing element can examine the relationshipbetween where jobs are or will be located and wherehousing is or will be available. The jobs/housing bal-ance is the ratio between the expected creation ofjobs in a region or local government and the need forhousing expressed as the number of housing units.The higher the jobs/housing ratio, the more jobs theregion or local government is generating relative tohousing. A high ratio may indicate to a communitythat it is not meeting the housing needs (in terms ofeither affordability or actual physical units) of peopleworking in the community.

Housing Stock The housing element typically identifies measuresused to maintain a good inventory of quality housingstock, such as rehabilitation efforts, code enforce-ment, technical assistance to homeowners, and loanand grant programs. It will also identify barriers toproducing and rehabilitating housing, includingaffordable housing. These barriers may include lackof adequate sites zoned for housing, complicatedapproval processes for building and other develop-ment permits, high permit fees, and excessiveexactions or public improvement requirements.

The Economic Development ElementAn economic development element describes thelocal government’s role in the region’s economy;identifies categories or particular types of commer-cial, industrial, and institutional uses desired by thelocal government; and specifies suitable sites withsupporting facilities for business and industry. It hasone or more of the following purposes:

• Job creation and retention • Increases in real wages (e.g., economic prosperity) • Stabilization or increase of the local tax base • Job diversification (making the community less

dependent on a few employers)


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A number of factors typically prompt a local eco-nomic development program. They include loss orattraction of a major employer, competition from sur-rounding communities or nearby states, the beliefthat economic development yields a higher quality oflife, the desire to provide employment for existingresidents who would otherwise leave the area, eco-nomic stagnation or decline in a community or partof it, or the need for new tax revenues.

An economic development element typicallybegins with an analysis of job composition andgrowth or decline by industry sector on a national,statewide, or regional basis, including an identifica-tion of categories of commercial, industrial, andinstitutional activities that could reasonably beexpected to locate within the jurisdiction. It will alsoexamine existing labor force characteristics and futurelabor force requirements of existing and potentialcommercial and industrial enterprises and institutionsin the state and the region in which the local gov-ernment is located. It will include assessments of thejurisdiction’s and the region’s access to transportationto markets for its goods and services, and its natural,technological, educational, and human resources.Often, an economic development element will havetargets for growth, which may be defined as numberof jobs or wages, or in terms of targeted industriesand their land use, transportation, and labor forcerequirements.

The local government may also survey owners oroperators of commercial and industrial enterprises,and inventory commercial, industrial, and institutionallands within the jurisdiction that are vacant or signif-icantly underused. An economic developmentelement may also address organizational issues,including the creation of entities, such as nonprofitorganizations, that could carry out economic devel-opment activities.

The Critical and Sensitive Areas ElementSome comprehensive plans address the protection ofcritical and sensitive areas. These areas include landand water bodies that provide habitat for plants andwildlife, such as wetlands, riparian corridors, andfloodplains; serve as groundwater recharge areas foraquifers; and areas with steep slopes that are easilyeroded or unstable, for example. They also caninclude visually, culturally, and historically sensitive

areas. By identifying such areas, the local governmentcan safeguard them through regulation, incentives,purchase of land or interests in land, modification ofpublic and private development projects, or othermeasures.

The Natural Hazards ElementNatural hazards elements document the physicalcharacteristics, magnitude, severity, frequency,causative factors, and geographic extent of all naturalhazards. Hazards include flooding; seismic activity;wildfires; wind-related hazards such as tornadoes,coastal storms, winter storms, and hurricanes; andlandslides or subsidence resulting from the instabilityof geological features.

A natural hazards element characterizes the hazard;maps its extent, if possible; assesses the community’svulnerability; and develops an appropriate set of mit-igation measures, which may include land-usepolicies and building code requirements. The naturalhazards element may also determine the adequacy ofexisting transportation facilities and public buildingsto accommodate disaster response and early recoveryneeds such as evacuation and emergency shelter.Since most communities have more than one type ofhazard, planners should consider addressing themjointly through a multihazards approach.

The Agriculture ElementSome comprehensive plans contain agriculture andforest preservation elements. This element focuses onthe value of agriculture and forestlands to the localeconomy, although it can also include open space,habitat, and scenic preservation. For such an element,the local government typically inventories agricultureand forestland, and ranks the land using a variety ofapproaches, such as the U.S. Department ofAgriculture’s Land Evaluation and Site Assessment(LESA) system. It then identifies conflicts between theuse of such lands and other proposed uses as con-tained in other comprehensive plan elements.

For example, if an area were to be preserved foragricultural purposes, but the community facilitieselement proposed a sewer trunk line to the area, thatwould be a conflict, which if not corrected wouldresult in development pressure to the future agricul-tural area. Implementation measures might includeagricultural use valuation coupled with extremely

large lot requirements (40 acres or more), transfer ofdevelopment rights, purchase of development rights,conservation easements, marketing programs to pro-mote the viability of local agricultural land, andprograms for agricultural-based tourism.

IMPLEMENTATION

A local comprehensive plan must contain an imple-mentation program to ensure that the proposalsadvanced in the plan are realized. Sometimes referredto as an “action plan,” the implementation programincludes a list of specific public or private actionsorganized by their scheduled execution date—short-term (1 to 3 years), medium-term (4 to 10 years), andlong-term (11 to 20 years) actions. Typical actionsinclude capital projects, changes to land developmentregulations and incentives, new programs or proce-dures, financing initiatives, and similar measures.Each listed action should assign responsibility for thetask and include an estimate of cost and a source offunding.

Some communities produce comprehensive plansthat are more broadly based and policy-driven. Theseplans will require a less detailed implementation pro-gram. The individual functional plans produced as aresult of the comprehensive plan address the assign-ment of costs or specific tasks.

REFERENCE

Meck, Stuart (gen. ed.). 2002. Growing SmartSM

Legislative Guidebook: Model Statutes for Planningand Management of Change, 2 vols. Chicago:American Planning Association.

See also:Critical and Sensitive Areas Plans Economic Development PlansHousing PlansMapping Parks and Open-Space PlansParticipationPlan MakingProjections and Demand AnalysisRegional PlansTransportation PlansUrban Design Plans


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10 Urban Design Plans


Urban design is the discipline between planning andarchitecture. It gives three-dimensional physical formto policies described in a comprehensive plan. Itfocuses on design of the public realm, which is createdby both public spaces and the buildings that definethem. Urban design views these spaces holistically andis concerned with bringing together the different disci-plines responsible for the components of cities into aunified vision. Compared to comprehensive plans,urban design plans generally have a short time horizonand are typically area or project specific.

Key elements of an urban design plan include theplan itself, the preparation of design guidelines forbuildings, the design of the public realm—the openspace, streets, sidewalks, and plazas between andaround buildings—and the “public interest” issues ofbuildings. These include massing, placement, andsun, shadow, and wind issues.

Urban design plans are prepared for various areas,including downtowns, waterfronts, campuses, corridors,neighborhoods, mixed-use developments, and specialdistricts. Issues to be considered include existing devel-opment, proposed development, utility infrastructure,streets framework, open space framework, environ-mental framework, and sustainable developmentprinciples. Urban design plans require interdisciplinarycollaboration among urban designers, architects, land-scape architects, planners, civil and environmentalengineers, and market analysts. The central role of theurban designer is to serve as the one who can oftenintegrate the work of a diverse range of specialists.

REASONS TO PREPARE AN URBANDESIGN PLAN

An urban design plan must respond to the circum-stances under which the project will be conducted,including the goals of the sponsors of the plan, thepolitical or social climate in the community, andfinancial and marketing realities. Below are a fewexamples of reasons to prepare an urban design plan.

Forging VisionsUrban designers are often asked to provide a visionfor communities to attract investment and coordinatemany disparate and even discordant interests. Byproviding such a vision, urban designers can bringindividual efforts together to create a whole that isgreater than the sum of its parts. Creating such avision needs to be a public process, to cultivate wide-spread enthusiasm for the vision and build a“bandwagon” of support.

Devising StrategiesIn addition to an overall vision, an urban design planmust also include a strategic implementation plan,with both short- and long-range initiatives. To keepthe momentum going, it is also important to assignspecific tasks or projects to groups conducting imple-mentation.

Creating Good LocationsMany projects begin with sites that are compromisedor deteriorated. An urban design plan illustrates howa site is linked to surrounding strengths, and it canshow how the site can become a great location.

Marketing Sites or AreasUrban design plans often work to transform an area,creating a new image for an area once overlooked orblighted. Urban design documents, illustrations, andpublicity around the process all become part of theoverall marketing effort to attract development andresidents.

Forming “Treaties”Urban design plans are sometimes born as a result ofa conflict; for example, a proposed redevelopmentproject may result in displacing existing businesses orresidents. An urban design document can serve as a“treaty,” to bring about a truce among warring parties.By focusing on the issues, presenting thoughtfulanalysis, and urging parties to come forward withtheir concerns and ideas, urban designers can use anurban design plan to help resolve problems in a non-confrontational way.

THE URBAN DESIGN PLANNINGPROCESS

An urban design planning process has much in com-mon with a comprehensive planning process; bothinclude basic elements such as data collection and

analysis, public participation, and involvement of otherdisciplines. However, urban design differs in the use ofthree-dimensional design tools to explore alternativesand communicate ideas. Below are the essential attrib-utes of an urban design planning process.

Public OutreachBecause urban design plans usually involve multiplestakeholders, public participation in the planningprocess is essential. A representative steering com-mittee is one mechanism to ensure involvement of across section of interests. Among the various publicoutreach techniques used are focus groups and pub-lic meetings. Input from the public informs the urbandesign team about assets, liabilities, and visions forthe project area.

Involvement of Major StakeholdersIn addition to the public outreach process, one-on-one meetings with key representatives of the majorstakeholders, such as elected officials, communityleaders, and major institutions, are important for bothsides—the urban design team gains insight into thestakeholders’ concerns and goals, and the majorstakeholders develop confidence in the team and theplanning process.

URBAN DESIGN PLANS

Don Carter, AICP FAIA, Urban Design Associates, Pittsburgh, Pennsylvania; Raymond L. Gindroz, FAIA, Urban Design Associates, Pittsburgh,Pennsylvania

Features such as waterways and adjacent land features influence street grid orientation.

EXISTING STREET PATTERNSSource: Urban Design Associates.

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learn about the strengths and weaknesses of the proj-ect area and the community’s vision for the future.The issues and opportunities that arise from thesemeetings are summarized in the report, in both nar-rative and diagrams.

Development ProgramMarket studies, forecasting demand for residentialand commercial development, are frequently doneconcurrently with the urban design planning process.These studies are summarized in the urban designplan. If such studies were not commissioned, theclient’s development program is described in thedevelopment program.

Urban Design PlanThe urban design plan is a color rendered plan show-ing existing and new buildings, parking, streets, trails,and landscape planting. The urban design plan pres-ents a two-dimensional vision of the final projectbuild-out.

Streets Framework Plan and StreetSectionsThe streets framework plan identifies existing andnew streets. It includes cross sections of streets indi-cating sidewalks, parking, travel lanes, and medians.

Open Space Framework PlanThe open space framework plan illustrates parks;trails; “green streets,” which are streets designated forenhanced landscape planting and pedestrian ameni-ties; plazas; public space; and the connectionsbetween them.

Perspective DrawingsThree-dimensional perspective drawings are essentialin conveying the sense of place of an urban designplan. Often the general public cannot easily interpretplan drawings; however, eye level and bird’s eye viewperspectives are often more readily understandable.

Design GuidelinesUrban design plan reports often contain a section ondesign guidelines, including massing, height, buildingsetbacks, architectural style, parking, streetscapes,signage, materials, and sustainable design.

Implementation and Phasing PlanThe implementation section details the mechanismsto make the plan a reality. Among the tools typicallyincluded are public and private partnerships, fundingsources, regulatory issues, conceptual budgets, and aphasing plan with early action and long-range proj-ects described.

Don Carter, AICP, FAIA, Urban Design Associates, Pittsburgh, Pennsylvania; Raymond L. Gindroz, FAIA, Urban Design Associates, Pittsburgh,Pennsylvania

Block patterns of an area, presented here as a figure ground map, show the building coverage of a site.

BUILDING COVERAGESource: Urban Design Associates.

Multi-Disciplinary TeamUrban design is a collaborative process involvingurban designers, architects, planners, and landscapearchitects. However, other disciplines are usuallyrequired, such as transportation planners and engi-neers, civil and environmental engineers, residentialand commercial market analysts, construction costconsultants, and public/private finance consultants.When such a team has been assembled, the individ-ual consultants should be coordinated so that theirexpertise permeates the planning process frombeginning to end.

Focus on ImplementationUrban design projects are often complicated planswith multiple projects and participants.Implementation can be difficult, even when all theforces are aligned properly. The process should beginwith implementation in mind. Develop a plan that istied to the realities of receiving funding, obtainingapproval, and getting the project built.

Design as a Tool for Decision-Making By exploring alternatives—the “what ifs” of a site ordistrict—the design process allows for speculation,brainstorming, and innovative thinking. Alternativescan be tested against various factors, including phys-ical constraints, regulatory controls, the market,overall costs and benefits, economic feasibility, prop-erty valuation, phasing, public input, and experienceelsewhere. The consensus vision will then reflectthose realities.

COMPONENTS OF AN URBANDESIGN PLAN REPORT

As a general rule, an urban design report should belight on text and heavy on graphics. Diagrams, charts,rendered plans and sections, and perspective draw-ings are often the most effective communicators ofthe plan’s elements. Below are brief descriptions ofthe typical sections of an urban design plan report.

Executive SummaryKey images from the body of the report and summarytext can convey the “big ideas” of the plan in just afew pages.

Existing ConditionsAssemble all existing conditions data related to theproject area, including streets, building coverage,land use, topography, vacant buildings and land, andenvironmental constraints. This information is docu-mented in the report as the existing conditions“portrait” of the area.

Analysis DrawingsAnalysis drawings can be some of the most influen-tial materials of an urban design initiative. Creatingthese drawings involves professional review of exist-ing conditions data and mapping, to translate thisinformation into findings that will influence the plan.More information on analysis drawings can be foundin The Urban Design Handbook (2003).

Summary of IssuesDuring the planning process, involve citizens andstakeholders in focus groups and public meetings to

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12 Urban Design Plans


THE ROLE OF URBAN DESIGN INIMPLEMENTATION

By translating general planning policies into three-dimensional form, urban design makes theconnection between planning and architecture, thismakes it possible to test the feasability of projectsthrough a variety of mechanisms, described below.

Public Support

If the community perceives the various images andthree-dimensional form of a development to be con-sistent with its goals and policies, then gainingsupport for the various public approvals needed forthe development will be strengthened. Developingthe urban design for a project in an open publicforum helps to facilitate this outcome.

Zoning Enforcement and RegulatoryApprovalsUse vivid and explicit representations of the proposeddevelopment to assist the various agencies responsiblefor zoning enforcement and regulatory approvals tosupport implementation. In many communities thereare a number of agencies, with different mindsets,involved in administering the approval and implemen-tation process The urban design plan, especially if

developed in a process that engaged the approval agen-cies as a group, can provide a common frameworkwithin which governmental decisions can be made.

Investment and FinanceUrban designs are often developed to a level of detailsufficient to determine the amount of space beingbuilt and to develop conceptual cost estimates forbuildings and public improvements. Therefore, theeconomic feasability and fiscal impact of develop-ments can be effectively evaluated.

MarketingA project’s feasibility is directly related to the effec-tiveness of its marketing program. The character andquality of its address is one factor in how successfullya development can capture the market potential of anarea. The products of an urban design project areoften used in marketing programs to communicatethe new image of the place and to promote the devel-opment.

Framework for Implementing AgenciesAn urban design project often serves as a “road map”for the implementing agencies. It becomes a standardreference for developing budgets, setting priorities,funding projects, and granting regulatory approvals.

EXAMPLES OF URBAN DESIGNPLANS

Described below are three of the most commonlyproduced urban design plans: neighborhoods, down-towns, and mixed-use developments.

Neighborhood PlansOn the neighborhood scale, urban design plans oftenaddress the location and design of infill housing, newparks, and community institutions; main street revi-talization; housing rehabilitation guidelines; andstreet reconfiguration. Sponsors of neighborhoodplans include cities, community development organi-zations, foundations, and private developers.

Downtown PlansDowntown urban design plans are usually part of alarger economic development strategy focused onattracting jobs, residents, and visitors to a downtown.The development scale is relatively dense and multi-story, which requires sensitive treatment of the publicrealm for pedestrians. Topics covered in downtownurban design plans include mixed-use buildings, his-toric preservation, adaptive reuse, height and density,setbacks, views, parking strategies, transit corridorsand nodes, streetscapes, waterfronts, street networks,highway access, redevelopment policies, zoning over-lays, incentive districts, new stadiums and conventioncenters, and entertainment and cultural districts.

Cities, downtown organizations, business improve-ment districts, and regional agencies all may sponsordowntown urban design plans.

Mixed-Use DevelopmentsMixed-use developments are typically one-owner,site-specific projects. Among the various types areinfill projects in downtowns, brownfield reclamationprojects, lifestyle centers (also called specialty retailcenters), and office/technology developments.Office, retail, and housing are among the typical usesin mixed-use developments. Project sizes can rangewidely, from a few acres to hundreds of acres. A cen-tral goal is to develop a pedestrian-friendly place tolive, work, and play. Sponsors of mixed-use devel-opments are often private developers, redevelopmentagencies, and large institutions, such as universitiesand medical centers.

KEY AND EMERGING ISSUES

Housing DensityAs the smart growth movement and rising housingcosts have become determining forces in residentialplanning and development, density has emerged as amajor issue. While there is still the great Americandesire for the single family home and the cul-de-sacsubdivision, regulatory controls and environmentalrestrictions have begun to limit available land forsuch development. Smaller lot sizes, attached hous-ing, and multi-family housing have becomecontentious issues in many communities. Urbandesign planning processes can help test different res-idential densities in the context of a holistic solutionthat includes housing, amenities, and place making.

Recognizing the Value of Urban DesignUrban design is a strong strategic planning tool.However, many cities and developers approach

Don Carter, AICP FAIA, Urban Design Associates, Pittsburgh, Pennsylvania; Raymond L. Gindroz, FAIA, Urban Design Associates, Pittsburgh,Pennsylvania

The street framework is upgraded to follow the patterns that the existing street patterns, building coverage, and open spaceframework define for the place.

STREET FRAMEWORKSource: Urban Design Associates.

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development on a project-by-project basis, often inisolation from adjacent uses and without a compre-hensive view of all the forces impacting or impactedby the project. While urban design plans are notalways regarded as essential pre-development proj-ects, experience in the field has demonstrated that thenew ideas and approaches that emerge from anurban design planning process can add significantvalue to a development and appreciably ease andshorten the public approval process.

Urban Design EducationBecause of the three-dimensional building designand the physical transformation of the public realmaspect of urban design practice, an urban designershould have an architecture degree. Ideally, an urbandesigner has either received a master of architecturedegree in urban design or has completed an intern-ship in an urban design firm.

RESOURCE

Urban Design Associates. 2003. The Urban DesignHandbook: Techniques and Working Methods. NewYork: W.W. Norton and Co.

See also:Places and PlacemakingViewshed Protection

Don Carter, AICP, FAIA, Urban Design Associates, Pittsburgh, Pennsylvania; Raymond L. Gindroz, FAIA, Urban Design Associates, Pittsburgh,Pennsylvania

The open space of a site shows the green network that helps define a place.

OPEN SPACE FRAMEWORKSource: Urban Design Associates

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14 Regional Plans


Regional plans cover geographic areas transcendingthe boundaries of individual governmental units butsharing common characteristics that may be social,economic, political, cultural, natural-resource-based, ordefined by transportation. They often serve as theskeleton or framework for local government plans andspecial district plans, supplying unifying assumptions,forecasts, and strategies. The information that followsis adapted from the American Planning Association’sGrowing SmartSM Legislative Guidebook (2002).

DEFINING THE REGION

The following factors may define a region:

• Geographic and topographic features, especiallywatersheds

• Political boundaries, especially county boundaries• Transportation patterns, especially those related to

the journey to work• Region-serving facilities, such as hospitals, airports,

trail terminals, and wastewater treatment plants• Interrelated social, economic, and environmental

problems• Population distribution• Existing intergovernmental relationships, usually

expressed in the form of written agreements • Metropolitan area or urbanized area boundaries as

identified by the U.S. Census Bureau • Boundaries of existing regional or multijurisdic-

tional planning or service provision organizations,such as regional sewer districts

REGIONAL FUNCTIONAL PLANS

Regional planning agencies may prepare regionalfunctional plans to cover specific topics such as parksand open space, bikeways, water, sanitary sewerageand sewage treatment, water supply and distribution,solid waste management, airports, libraries, commu-nications, and others. For example, a regional sewerplan is a device used to ensure that disputes can beresolved over which jurisdiction will provide sewersand sewage treatment facilities to developing areas.The most typical regional functional plan is a regionaltransportation plan; see Transportation Plans in thischapter for more information.

The Regional Housing Plan A number of states, including California and NewHampshire, require the preparation of regional hous-ing plans. In general, regional planning agenciesprepare these plans to assess present and prospectiveneed for housing at the regional level, particularlyaffordable housing. Typically, they establish numeri-cal housing goals to be included in local governmentplans.

In New Jersey, regional housing planning is theresponsibility of a state agency, the Council onAffordable Housing, which prepares “fair-share”housing allocations for affordable housing for eachlocal government. Under New Jersey law, local gov-ernments then have an obligation to identify sites foraffordable housing and take necessary steps toremove barriers in order to provide a realistic oppor-tunity that such housing can be built or rehabilitated.

THE REGIONAL COMPREHENSIVEPLAN

The regional comprehensive plan is intended toaddress facilities or resources that affect more thanone jurisdiction and to provide economic, popula-tion, and land-use forecasts to guide local planning,so that local plans and planning decisions are madewith a set of common assumptions. Consequently, aregional comprehensive plan will propose a moreschematic pattern of development than provided in alocal comprehensive plan.

For example, in a regional comprehensive plan,the land-use pattern is generally simple, demarcatingland into urban and rural, with a general indication ofa hierarchy of activity centers. Such centers may betargets for more intensive residential, office, commer-cial, and industrial developments, supported bytransit, that are intended to serve a substantial portionof the region. Here, the intent is to use the regionalplan as an device to direct both public and privateinvestment to ensure that such development occurs.

Both public agencies and private organizationsmay prepare regional plans. Indeed, private groupsprepared the first true regional plans, one in 1909 forthe Chicago area and a second in 1929 for the NewYork City area. The Chicago plan was the work ofplanners Daniel Burnham and Edward Bennett, withfunding by the Commercial Club. The Committee forthe Regional Plan of New York and Its Environs, aprivate group whose efforts were funded by theRussell Sage Foundation, produced a multivolumeregional plan for the New York metropolitan area,beginning in 1929.

Regional Comprehensive Plan Elements

Typical Plan Elements State statutes usually define which elements arerequired in a regional comprehensive plan. The fol-lowing list is for guidance only; to determine whichelements are required, consult state legislation.

• A narrative of planning assumptions, and their rela-tionship to state and local plans

• Population trends and projections• Regional economy• Existing land use • A transportation system overview • Regional housing trends and needs• Community facilities and services • Natural features and cultural assets• Agricultural lands• Natural hazards• Regional density study• Public involvement• Urban growth areas • Regional growth policy statements• Implementation recommendations

Urban Growth AreasSome regional plans delineate urban growth areas,which are land areas sufficient to accommodate pop-ulation and economic growth for a certain period,typically 20 years, and which will be supported byurban-level services. The purpose of an urban growtharea is to ensure a compact and contiguous develop-

ment pattern that can be efficiently served by publicservices while preserving open space, agriculturalland, and environmentally sensitive areas not suitablefor intensive development.

Special Resource AreasA regional comprehensive plan also identifies specialresources areas, such as farmland, aquifers, and majorwetlands. It may propose strategies for a particularwatershed or basin to ensure that groundwater andwatercourses are protected as supplies of potablewater. The plan can also include actions to protectareas of biodiversity. Depending on the nature of theregion, it may also identify the general location ofnatural hazard areas, such as earthquake zones orareas prone to wildfires.

Regional FacilitiesThe plan may contain proposals for new orupgraded regional facilities, such as multimodaltransportation centers, new highways, transit, air-ports, hospitals, and regional parks or open spacesystems that link together. Functional plan elementsmay examine details of such proposals, such as roadwidening, highway safety improvements, and opera-tional changes to mass transit systems, or the exactlocations of regional wastewater facilities and majortrunk lines.

Descriptive and Analytical StudiesIn order to prepare a regional comprehensive plan,the regional planning authority or other suitableauthority must undertake a series of descriptive andanalytical studies. Such studies may cover the follow-ing topics:

• The economy of the region, which may includeamount, type, general location, and distribution ofcommerce and industry within the region; the loca-tion of regional employment centers; and trendsand projection of economic activity, both in termsof income growth and changes in the number andcomposition of jobs

• Population and population distribution within the

REGIONAL PLANS


SAMPLE TABLE OF CONTENTS:THE METROPOLIS PLAN: CHOICES FOR THE CHICAGO REGION

Introduction: The Metropolis PlanPurpose of The Metropolis PlanBuilding The Metropolis Plan

The Metropolis Plan: Key ThemesOpportunities Close to Home: Housing Choices

for AllRegional Cities and CentersA Robust Transportation SystemGreat StreetsNature’s Metropolis

Implementing the Metropolis Plan How We Got HereGetting from Here to There

Source: Chicago Metropolis 2020, 2003

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TYPES OF PLANS

region, as well as its local governments, includingprojections and analyses by age, education level,income, employment, or similar characteristics

• Natural resources, including air, water, forests andother vegetation, and minerals

• Amount, type, quality, affordability, and geographicdistribution of housing among local governmentsin the region correlated with projected job andpopulation change

• Identification of features of significant statewide orregional architectural, scenic, cultural, historic, orarchitectural interest, as well as scenic corridors andviewsheds

• Amount, type, location, and quality of agriculturallands

• Amount, type, intensity or density, general locationof industrial, commercial, residential, and other landuses, and projections of changes in land use, corre-lated with projected job and population change

MAP COMPONENTS

The regional comprehensive plan provides a visualrepresentation of the plan’s objectives. The compo-nents of the map may include the following:

• Location of urban growth area boundaries• Existing and proposed transportation facilities • Other public facilities and utilities of extrajurisdic-

tional or regionwide significance• Potential areas of critical state concern (such as

areas of significant biodiversity, scenic beauty, his-toric significance, or archaeological value, or areasaround major facilities, such as military bases, air-ports, or national or state parks)

• Natural hazard areas• Urban and rural growth centers

• Any other matters of regional significance that canbe graphically represented.

THE IMPLEMENTATION PROGRAM

A long-range implementation program for theregional comprehensive plan may include the fol-lowing components.

An Implementation Schedule The implementation program may include a scheduleof development for proposed transportation andother public facilities and utilities of extrajurisdictionalor regionwide significance. The schedule mayinclude a description of the proposed public facilityor utility, an identification of the governmental unit tobe responsible for the facility or utility, the year(s) thefacility or utility is proposed for construction or instal-lation, an estimate of costs, and sources of public andprivate revenue for covering such costs.

Development CriteriaThe program may include development criteria foruse in local government and special district plans.Performance benchmarks may be defined to measurethe achievement of the regional comprehensive planby local governments and special districts.

Monitoring and EvaluationA statement may be included to describe the criteriaand procedures the agency creating the plan will use inmonitoring and evaluating the plan’s implementationby local governments, special districts, and the state.

CoordinationThere may also be a statement of measures describ-ing the ways in which state and/or local programs

may best be coordinated to promote the goals andpolicies of the regional comprehensive plan

Legislative ChangesThe program may also include proposals for changesin state laws to achieve regional objectives, such asregional tax-base sharing or procedures to reviewlarge-scale developments with multijurisdictionalimpacts or to consolidate existing planning organiza-tions to improve services and coordination. Regionalplanning agencies may also propose interjurisdic-tional agreements to clarify responsibility for theprovision of urban services.

REFERENCES

Burnham, Daniel H., and Edward H. Bennett. [1909] 1970.Plan of Chicago. Reprint, New York: DaCapo Press.

Chicago Metropolis 2020. 2003. The Metropolis Plan:Choices for the Chicago Region. Chicago: ChicagoMetropolis 2020.

Committee for the Regional Plan of New York andIts Environs. 1929. The Regional Plan of New Yorkand Its Environs. The Graphic Plan. Vol. 1. NewYork: The Committee.

Meck, Stuart (gen. ed). 2002. Growing SmartSM

Legislative Guidebook: Model Statutes for Planningand Management of Change. 2 vols. Chicago:American Planning Association.

See also:Housing PlansPopulation ProjectionsRegionsTransportation PlansWatersheds


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16 Neighborhood Plans


A neighborhood plan focuses on a specific geo-graphic area of a local jurisdiction that typicallyincludes substantial residential development, associ-ated commercial uses, and institutional services suchas recreation and education. Many of the same topicscovered in a local comprehensive plan are covered ina neighborhood plan.

REASONS TO PREPARE A NEIGHBORHOOD PLAN

The neighborhood plan is intended to provide moredetailed goals, policies, and guidelines than those inthe local comprehensive plan. Neighborhood plansoften emphasize potential partnerships among gov-ernment agencies, community groups, school boards,and the private sector—partnerships that can act toachieve neighborhood goals. These plans are oftendeveloped through highly collaborative processesinvolving citizens, business, nongovernmental organ-izations (NGOs), and the local government of theneighborhood.

Neighborhood plans describe land-use patterns inmore detail than do comprehensive plans. They mayeven approach the specificity required for amend-ments to a zoning district map or street classificationsystem. These descriptions and maps can be used forgreenfield or developing areas in a manner similar tothat used in sector or specific plans, an approachused in Florida and California.

These plans also often propose a program ofimplementation shorter in duration than is proposedin a comprehensive plan. For an established neigh-borhood, the plan may emphasize issues that can beaddressed in one to two years. They may includeactions to be taken by the local government, othergovernmental agencies, school boards, nonprofitorganizations, or for-profit groups. In many respects,this reflects the nature of the neighborhood planningprocess itself, which often focuses on visible andpoliticized problems that can be resolved quickly,such as trash cleanup, park improvements, or specificcode enforcement issues. For newer neighborhoods,the plan’s content may be more far-reaching andfunctional.

Neighborhood planning succeeds when theprocess is cyclical, small successes are emphasized,and the issue of identifying neighborhood leadersand legitimacy is addressed at the onset.

PLAN ELEMENTS

The American Planning Association conductedresearch in the mid-1990s that identified more than 36elements in neighborhood plans. This group of ele-ments, which appeared in various combinations,suggests a realm of possibilities for a particularneighborhood plan. While no definitive recommen-dation can be made about which specific elements aneighborhood plan should contain, the plan’s contentshould result from a process that assesses the neigh-borhood’s specific needs, resources, and ideals.

While there is no definitive list of required ele-ments for neighborhood plans, certain elementsappear to be common and essential. They can begrouped into five categories, based on their relative

purpose and sequence in the planning process:

• General housekeeping: Organizational items thatmake the plan readable and usable, and serve toencourage further involvement in the planningprocess

• Planning process validation: Elements thatdemonstrate the legitimacy of the research andconsensus-building processes that led to the devel-opment of the plan

• Neighborhood establishment: Elements that serveto create a community image or identity distinctfrom the jurisdiction as a whole

• Functional elements: Substantive items that mayvary widely from plan to plan (e.g., safety element,housing element)

• Implementation Framework: The goals, programs,actions, or schedules used to implement the plan

General HousekeepingThe elements in this category are used to create aclear, usable plan document. Because neighborhoodresidents may not be familiar with planning, this ele-ment is particularly important to include. Moreinformation on this element is covered in the PlanMaking section of this book.

Planning Process ValidationStakeholder participation is critical at the neighbor-hood planning level. Planning information must beaccessible and comprehensible to all involved parties.Certain information should be made public through-out the planning process. In addition, placing someof that information directly in the plan allows othercitizens to participate in the planning process moreintelligently at a later time. This makes the plan aworking reference document and validates theprocess that culminated in the plan.

The Neighborhood Organizational Structureand Planning ProcessAn important part of plan validation is how the plan-ning process is initiated and carried out. Flow chartsare often used to illustrate the sequence of events.This section may also reference the ordinance thatadopts the plan, the community feedback that sup-ported it, or the background information about whythe process was initiated. Many jurisdictions require aformal neighborhood organization to be in place as acondition for planning assistance or plan adoption.Neighborhood leadership should be made clear in aplan or at least emerge out of the planning process.A legitimate, publicly accessible power structuregives the neighborhood-city relationship credibility,encourages neighbors to act responsibly with publicresources, and facilitates a leadership developmentmechanism within the community.

The Mission/Purpose StatementThe mission/purpose statement establishes theimportance of the neighborhood planning process. Itshould convey that the process is all-inclusive and inaccordance with policies set forth in the jurisdiction’scomprehensive plan, if one exists. The statement canalso be linked to the municipal code or city charter.

The Participation ProclamationThis section documents the participation process as itactually happened for the plan. It should be locatedat the beginning of the plan, setting the stage for thepolicies and recommendations that follow. Localownership of the planning process must be evident.Both positive and negative feedback is important toinclude. Meeting minutes, survey results, or localnewspaper articles can document feedback.

Needs AssessmentA needs assessment for services and facilities is a fun-damental component of neighborhood planning,especially when it identifies underserved neighbor-hood groups. Needs assessments can measure socialservices, physical conditions, commercial resources,and cultural amenities. When assessing needs, it isimportant to take stock of existing communityresources. Evaluating the positive aspects of a neigh-borhood can reveal unexpected opportunities fordealing with the negatives.

Defining the Neighborhood In addition to securing the future, neighborhoodplans fortify the present by defining the neighbor-hood.

Boundary DelineationThe neighborhood and the city departments shouldagree to, or at least accommodate, each party’s per-ception of neighborhood boundaries. Boundaryidentification should involve representatives from thecommunity, pertinent city departments, and, if possi-

NEIGHBORHOOD PLANS

Michelle Gregory, AICP, Soapbox Enterprises, Portland, Oregon

Boundary

0 .25 .5

Miles

NEIGHBORHOOD BOUNDARYDELINEATIONSource: Adapted from Upper Boggy Creek Neighborhood Plan,City of Austin,TX, 2002.

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