What is the Future of Utica? Alternative Futures and Design Opportunities for a Rust-belt Community
A Prospectus Submitted to the Faculty of the Industrial Design Department In Partial Fulfillment of the Requirements for the Degree of Masters of Fine Arts By
Krista Siniscarco Savannah, GA March 2012
TABLE OF CONTENTS
3
Abstract
4
Background
6
Problem Statement
6
Opportunity Statement
7
Research Questions
7
Design Problem
8
Annotated Bibliography
14 Methodology 16 Plan of Work 16
Research Design
17
Schedule and Milestones
18 Appendix 18
Timeline Visualization
19
Literature Map
20
Mind Map
21 Glossary 23 References 24 Biographical Statement
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ABSTRACT What Is the Future of Utica? Alternative Futures and Design Opportunities for a Rust-belt Community
Krista Siniscarco March 2012
Many of the United Statesʼ once booming industrial communities have been devastated by the migration of manufacturing out of the Northeast and Midwest. The cities of the US rust belt—spanning from Central New York State, through parts of Pennsylvania, Ohio, Michigan, Indiana and Illinois—are heading down the path to a bleak future. This thesis will focus on a case study of one such rust belt city, Utica, NY as a way to examine the unique past, present and future problems and opportunities of these communities. The concept of wicked problems will be used as a conceptual framework for the study and the research will take a holistic approach to framing issues and designing solutions. This study will use participatory design methods as a way of collecting data and employ scenario planning tools to craft alternative future scenarios. These scenarios will be the foundation for discovering design opportunities for the Utica area. The results of the study will include media-based narratives of alternative futures and recommendations and a timeline for implementation of design solutions.
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BACKGROUND
Utica is a small city located in the geographical center of New York State (Figure 1). The city was settled in 1773 and incorporated in 1798. The city is located along the Mohawk River and was a known spot along a popular trading route in New York. The Erie Canal, which opened in 1821 and spans New York State from the Hudson River in Albany to Lake Erie in Buffalo, also runs directly through the city of Utica. Uticaʼs location on the Erie Canal stimulated it industrial development, economic growth, and rapid population increase. Utica was the halfway point of the Canal. With the addition of the railroad and Chenango Canal, the City became a transportation hub and commercial center.
Figure 1. Map of New York State
Stages of Industrialization In 1807, the US government passed an Embargo Act cutting off English textile production. Local investors in the Utica area saw this as an opportunity and started investing in local textile manufacturing, which th
soon became a booming industry. In the mid-late 19 century, textile manufacturing began to move from the Northeast to the American South. The textile factories in Utica turned from textiles to tool and die th
manufacturing. In the early 20 century, Utica saw a dramatic increase in its population with many Italian immigrant settlers. By the 1950s, Uticaʼs population peaked at 100,500 (Bottini and Davis, 2007).
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Post-Industrialization th
In the later part of the 20 century, manufacturing began to leave Utica and large companies like General Electric and Lockheed Martin closed their doors. The city has seen a steady population decline over the st
last 50 year, which now stands at 62,000. In the 21 century, the city experienced a new wave of refugee immigrants (Pula, 1994). However, the city has an increasingly high unemployment rate and close to 25% of the population is living under the poverty line (2010 US Census). Utica has become a rust-belt city.
The Rust Belt A rust-belt community is a once heavily industrialized area containing older factories, particularly those that are marginally profitable or that have been closed. In the United States, the rust belt runs from Central New York through Western Pennsylvania, Ohio, Southern Michigan and parts of Indiana and Illinois. It includes cities such as Buffalo, Cleveland, Cincinnati, Detroit and Chicago (Figure 2). The problem of the rust-belt community is widespread and with the economic crash of 2008 and its hardship on the American automotive industry, the situation is only getting worse. These cities are becoming neglected communities riddled with joblessness and economic depression. This downward spiral needs to stop and opportunities found to turn the situation around.
Figure 2. Map of US Rust Belt (Jennings)
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PROBLEM STATEMENT
We are living in a post-industrial age. For many communities in the US that grew from dependence on manufacturing and industrialization, the utopian state of the 1950s is a distant dream or forgotten memory. Once thriving communities have turned into depressed cities riddled with abandoned factories, condemned buildings, poverty and unemployment. They are filled with jobless, skilled laborers and have little opportunity for those with professional skill and education. What is the future of the growing numbers of rust-belt cities in the United States? Too often, we turn our backs on these communities and dismiss them as being beyond saving. But there is rich population, history and culture worth preserving and opportunity in these communities for revitalization; we need to partner with the citizens to seek them out and make the changes necessary to grow and move into the future.
OPPORTUNITY STATEMENT The purpose of this study is to address the growing number of rust-belt communities by conducting a case study on the city of Utica, located in Upstate New York. This inquiry will look at the history of the city as well as global and local trends and use scenario-planning tools to propose alternative futures for the community. The study will also examine opportunities for growth and design solutions for revitalization.
During the course of this study a partnership will be built between the researcher and a group of young creative professionals in the Utica area. Through the local chapter of AIGA (American Institute of Graphic Arts) connections will be made to creative professionals, active in the community, who will be invited to collaborate on research and design opportunities. Outreach and communications will also be made to the Rust2Green NYS initiative working at Cornell University. The mission of the group is to “identify and design innovative ways to assist New York's rust belt cities in realizing their potential to become green, livable and resilient places.” In October 2011, the city government voted to adopt a “Mater Plan” document, which will be assessed and discussed during ethnographic interviews.
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RESEARCH QUESTIONS •
What is the rust belt?
•
Where are there opportunities for economic growth and revitalization in rust-belt communities, specifically Utica?
•
How have changing demographics shaped the history, culture and community of Utica? o
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How can this change affect the future of the city?
Given current global and local trends and forces, what possible alternative futures could exist for Utica?
DESIGN PROBLEM For citizens, politicians and stakeholders of rust belt cities who wish to revitalize and rebuild their communities, this study will provide design solutions and recommendations for growth and opportunities for social innovation.
We do this by partnering with citizen through the use of participatory design methods along with implementing scenario-planning tool to craft alternative futures with the goal of discovering opportunities and creating a vision for the future.
Unlike other research addressing rust belt revitalization, which often takes a singular focus and point of view, this study will use the concept of wicked problems as a theoretical framework and lens through which to view the issues in the rust belt communities. The research process, synthesis and analysis will take a holistic approach to finding innovative solutions and empowering community members.
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ANNOTATED BIBLIOGRAPHY
Baggs, Moses Mears. Memorial History of Utica, N.Y. : From Its Settlement to the Present Time. Syracuse, NY: D. Mason, 1900. This text provides a early history of the Utica area. The text was written by a local historian in the early twentieth century.
Bottini, Joseph P., and James L. Davis. Utica. Arcadia Publishing, 2007. This text discusses the early history and settlement of Utica as a stopover and trade location along this Erie Canal.
Buchanan, Richard. “Wicked Problems in Design Thinking.” Design Issues 8, no. 2 (Spring 1992): 5-21. This text builds on Rittel's concept of "wicked problems" from the perspective of design thinking. The article will be useful to frame the issues of rust-belt cities and in finding design solutions.
Buxton, Bill, and William Buxton. Sketching user experiences: getting the design right and the right design. Morgan Kaufmann, 2007. This text focuses on mapping out and modeling user experience with a chapter focusing on participatory design methods and collaboration with users.
Coughlan, Reed, and Judith Owens-Manley. Bosnian Refugees in America: New Communities, New Cultures. Illustrated. Birkhäuser, 2006. This text talks about the Bosnian refugee population that has settled in Utica. The book tells the stories of families during their time in Bosnian and subsequent resettlement in the US. The experience of the Bosnians as they adjust to their new life and the cultural impact they have on Utica, is viewed through a sociological lens.
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Creswell, John W. Research Design: Qualitative, Quantitative, and Mixed Methods Approaches. 3rd ed. Sage Publications, Inc, 2008. This text will be used as reference as research data collection and analysis methods are design for this study.
Edwards, Evelyn R. Around Utica. Arcadia Publishing, 2007. This text provides a visual history of the city of Utica in the early 1900s. The book consists of photographic postcards, featuring historic buildings and event, integral to the city's history.
Friedman, Robert E. “Entrepreneurial Renewal in the Industrial City.” Annals of the American Academy of Political and Social Science 488 (November 1, 1986): 35-46. This text discusses the concept of entrepreneurial renewal and the role it might plan in the revitalization of industrial cities.
Gerometta, Julia, Hartmut Haussermann, and Giulia Longo. “Social Innovation and Civil Society in Urban Governance: Strategies for an Inclusive City.” Urban Studies 42, no. 11 (October 1, 2005): 2007 2021. This text explores the role of civil society in new urban governance arrangements in relation to the trends of social exclusion. The article also discusses experience mapping and participatory design methods.
Gittell, Ross. “Managing the Development Process: Community Strategies in Economic Revitalization.” Journal of Policy Analysis and Management 9, no. 4 (October 1, 1990): 507-531. This text considers community strategies for economic revitalization. The paper suggests frameworks for local economic development and guidelines for leading and managing a collaborative process.
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Goldsmith, Stephen, Gigi Georges, and Tim Glynn Burke. The Power of Social Innovation: How Civic Entrepreneurs Ignite Community Networks for Good. John Wiley and Sons, 2010. This text discusses the benefits of social innovation and methods for diffusing ideas and eliciting excitement and support from members of the community.
Hecht, Ben. “Revitalizing Struggling American Cities.” Stanford Social Innovation Review (Fall 2011): 2729. This text presents the idea of revitalizing American cities through building and ecosystem of people, organizations and support. The articles talks about an initiative called "Living Cities" which is currently working with 5 cities on strategic planning. Three of those cities fall within the rust belt.
Van der Heijden, Kees. Scenarios: The Art of Strategic Conversation. 2nd ed. John Wiley and Sons, 2005. This texts provides a framework for the scenario planning process along with case study examples from recent history.
Jacobs, Jane. The Death and Life of Great American Cities. Vintage, 1992. This text talks about the role of a city and all of it pieces and parts. The book is written from a urban planning perspective and provides a framework for the assessment of the vitality of a city.
Krebs, Valdis, and June Holley. “Building Smart Communities through Network Weaving”. Orgnet.com, 2006. http://www.orgnet.com/. This text discusses the concepts of network weaving and ways of building connected communities. The article talks about the roles of individuals in the network and how the network can create and identify areas of opportunity.
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Machi, Lawrence Anthony, and Brenda T. McEvoy. The Literature Review: Six Steps to Success. 1st ed. Corwin Press, 2008. This text will be used as reference through the literature search and writing of the literature review for this study.
Matthew E., Kahn. “The Silver Lining of Rust Belt Manufacturing Decline.” Journal of Urban Economics 46, no. 3 (November 1999): 360-376. This text discusses the increase in environmental quality that came with the post-industrial era and the impact that has had on rust-belt areas.
Miller, Blandina Dudley. A Sketch of Old Utica. Fierstine Printing House, 1913.
This text provides first-person accounts of the history and architecture in the City of Utica in the early 20th century. The book includes sketches and prints of building, many of which are still standing and are considered historic landmarks. The book also mentions person of influence who helped shape the city in its early years of development.
Pula, James S. Ethnic Utica. Ethnic Heritage Studies Center, Utica College of Syracuse University, 1994. This text discussion the population decline and shift within the city of Utica. The book talks about the various waves of immigrant and refugee settlement and the cultural influence on the city.
Ralston, Bill, and Ian Wilson. The Scenario-Planning Handbook: A Practitionerʼs Guide to Developing and Using Scenarios to Direct Strategy in Todayʼs Uncertain Times. Illustrated. The University of Calaifornia: Thomson South-Western, 2006. This text outlines strategies and techniques for discovering and analyzing trends through the process of scenario planning and crafting alternative futures.
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Rittel, Horst, and Melvin Webber. “Dilemmas in a general theory of planning.” Policy Sciences 4, no. 2 (1973): 155-169. This text is the first formal discussion of the term "wicked problems." In the article, Rittel and Webber coin the phrase and define its qualities. I plan to use wicked problems as a theoretical framework for the study and lens through which to view the issues in the rust belt communities.
Rogers, Everett M. Diffusion of Innovations, 5th Edition. Simon and Schuster, 2003. The text provides a definition, lists key attributes and outlines and process of innovation. The book also discusses adoption, diffusion and success of new concepts and ideas.
Safford, Sean. “Searching for Silicon Valley in the Rust Belt: The Evolution of Knowledge Networks in Akron and Rochester.” In Industry Studies Working Paper, 51, 2004. http://isapapers.pitt.edu/47/. This text discusses the building of knowledge networks in rust belt cities, with particular focus on Akron, OH and Rochester, NY. The paper lays out the process of forging relationship in a community through collaboration and a "forum" approach, building on the cities strengths and finding opportunities.
Saul, Jason. Social Innovation, Inc.: 5 Strategies for Driving Business Growth Through Social Change. John Wiley and Sons, 2010. This text provides a definition and attributes of social innovation. The book also includes several case studies of initiative by large corporations with evaluation of success and impact.
Schoemaker, Paul J. H. “When and how to use scenario planning: A heuristic approach with illustration.” Journal of Forecasting 10, no. 6 (November 1, 1991): 549-564. This text provides a step-by-step analysis of scenario planning weighing the benefits and draw backs of the process. The paper also discusses methods for assessing and integrating scenarios.
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Schuler, Douglas, and Aki Namioka. Participatory design: principles and practices. Psychology Press, 1993. This text explores the use of participatory design methods for research and development of technology and systems design. The book contains several case studies and best practices.
Schwartz, Peter. The Art of the Long View: Paths to Strategic Insight for Yourself and Your Company. Reprint. Currency Doubleday, 1996. This text discusses making strategic choices based on the analysis of economic, political, technological and socio-cultural trends. The book provides alternate scenarios for the future and examines the opportunities and potential problems that may exist.
Short, John Rennie, Lisa M. Benton, William Luce, and Judith Walton. “The Reconstruction of a Postindustrial City.” Journal of Architectural Education (1984-) 50, no. 4 (May 1, 1997): 244-253. This text examines the meaning of the postindustrial city. The article discusses the need to rebrand and construct a new image in order to attract investors and resources. The article particularly focuses on the city of Syracuse, NY.
Tomaino, Frank. History Just for the Fun of it Sketches of Uticaʼs Glorious Past. Good Times Pub, 1998. This text provides a light-hearted look at the city of Utica through the eyes of a local historian. The text includes several historical photographs and sketches of the city.
Wilson, David, and Jared Wouters. “Spatiality and Growth Discourse: The Restructuring of Americaʼs Rust Belt Cities.” Journal of Urban Affairs 25, no. 2 (May 1, 2003): 123-138. This text examines the communications surrounding growth of Midwestern, rust belt cities. The article looks at both global and local perspectives and the need for leadership and entrepreneurship in these communities.
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METHODOLOGY
Qualitative, quantitative and mixed method data will be collected during the course of this study. The data will be collected from current and former citizens of the city of Utica, NY.
Surveys Online surveys will be sent to current and former residents of the Utica area to collect demographic information and relational data on activities, investment and vision of the community. The sample of the survey will be as broad as possible with the goal of encompassing a large demographic set. The survey data will be attempt to gather a macro view of citizensʼ feelings on the current and future conditions of the city as well as informing directions for further research and exploration.
Interviews Face-to-face video recorded interviews will be conducted with newly elected local politicians to discuss the Cityʼs strategic plan and their own ties to the community and visions for the future. Interviews will also be conducted with current and former residents, and taken from a selection of survey responses. The interviews will serve as a way to gauge the leadership and political plans for the city and support for a recently approved strategic plan.
Focus Group Several activities will be conducted with a group of young creative professionals in the Utica area. These activities will include a SWOT Analysis, cultural mapping and future visioning exercises. Additional creative thinking exercises may be conducted in person or from a distance. The data collected from these sessions will provide the foundation for the creation of alternative future scenarios as a means for finding design solutions.
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Observations Community events will be attended and documented throughout the month of December to observe community attendance and interactions. Social network and news channels will also be monitored to observe the “buzz” around events and initiatives in the city. These observations will serve as a way to monitor the social activity and cultural interactions within the city.
Cultural Probes Cultural probes in the forms of diaries and/or photo journals may be incorporated in this study as a means to gather data on events, interactions and initiatives that the researchers cannot attend in person. These probes will serve as a means of observation of social interactions and activities as the researcher works at a distance from the context.
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PLAN OF WORK
RESEARCH DESIGN The majority of the ethnographic research for this study will be conducted in the city of Utica, NY during the month of December 2011. Through a connection to the President of the local chapter of AIGA, access will be gained to a sizable group of young creative professionals in the Utica area to participate in the focus group(s). Many of the members of this group are highly invested and active in the Utica community and interested in investigating avenues for economic renewal and development.
Through personal connections, the researcher can attempt to schedule meetings with various political leaders in the community. Surveys will be distributed through email and social media connections to members of the community. Various members of the community will also be invited to monitor and participate in the blog dedicated to this study. The progress of the study along with collected research will be broadcast through the blog. http://futureofutica.wordpress.com
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SCHEDULE AND MILESTONES September 12, 2011
Fall quarter begins Enroll in IDUS 763: Graduate Methodologies
November 4, 2011 November 17, 2011
45-hour Review Prospectus Draft Due Fall quarter ends
December 2011 December 2011-January 2012 January 4, 2012 January 2012 February 2012 March 13, 2012 March 2012
Begin writing Chapter 1: Introduction and Background Conduct ethnographic research in Utica Winter quarter begins Begin writing Chapter 2: Literature Review Thesis Review Winter quarter ends Begin writing on Chapter 3: Methodology Submit MFA Candidacy Application
March 26, 2012
Spring quarter begins Enroll in DMGT 790: MFA Thesis
April 2012
Thesis Review
May 31, 2012
Spring quarter ends
June 2, 2012
Commencement
August 2012
Complete writing on all thesis chapters Submit thesis for review Thesis defense
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APPENDIX TIMELINE VISUALIZATION
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LITERATURE MAP
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MIND MAP
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GLOSSARY
Economy – The wealth and resources of a country or region, esp. in terms of the production and consumption of goods and services.
Participatory Design – an approach to design that attempts to actively involve stakeholders in the design process.
Rust-belt Community – A once heavily industrialized area containing older factories, particularly those that are marginally profitable or that have been closed.
Scenario Planning – A strategic planning process of visualizing what future conditions or events are probable, what their consequences or effects would be like, and how to respond to, or benefit from, them.
Social Innovation – new strategies, concepts, ideas and organizations that meet social needs of all kinds and that extend and strengthen civil society improving the viability, sustainability and resilience of the entire system.
Wicked Problem – a phrase originally used in social planning to describe a problem that is difficult or impossible to solve because of incomplete, contradictory, and changing requirements that are often difficult to recognize. Moreover, because of complex interdependencies, the effort to solve one aspect of a wicked problem may reveal or create other problems (Rittel and Webber, 1973). According to Horst Rittel, who coined the term, there are ten characteristics of a wicked problem: 1. There is no definitive formulation of a wicked problem (defining wicked problems is itself a wicked problem). 2. Wicked problems have no stopping rule.
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3. Solutions to wicked problems are not true-or-false, but better or worse. 4. There is no immediate and no ultimate test of a solution to a wicked problem. 5. Every solution to a wicked problem is a "one-shot operation"; because there is no opportunity to learn by trial and error, every attempt counts significantly. 6. Wicked problems do not have an enumerable (or an exhaustively describable) set of potential solutions, nor is there a well-described set of permissible operations that may be incorporated into the plan. 7. Every wicked problem is essentially unique. 8. Every wicked problem can be considered to be a symptom of another problem. 9. The existence of a discrepancy representing a wicked problem can be explained in numerous ways. The choice of explanation determines the nature of the problem's resolution. 10. The planner has no right to be wrong (planners are liable for the consequences of the actions they generate).
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REFERENCES
2010 Demographic Profile Data - Utica, NY. Census Data. Utica, NY: US Census Bureau, 2010. http://factfinder2.census.gov/faces/tableservices/jsf/pages/productview.xhtml?src=bkmk.
Bottini, Joseph P., and James L. Davis. Utica. Arcadia Publishing, 2007.
Creswell, John W. Research Design: Qualitative, Quantitative, and Mixed Methods Approaches. 3rd ed. Sage Publications, Inc, 2008.
Jennings, B. “The Rust Belt of the United States and Outlying Cities”, 2010. http://paulhertneky.files.wordpress.com/2011/08/rust-belt-map1.jpg.
Machi, Lawrence Anthony, and Brenda T. McEvoy. The Literature Review: Six Steps to Success. 1st ed. Corwin Press, 2008.
Pula, James S. Ethnic Utica. Ethnic Heritage Studies Center, Utica College of Syracuse University, 1994.
Rittel, Horst, and Melvin Webber. “Dilemmas in a general theory of planning.” Policy Sciences 4, no. 2 (1973): 155-169.
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BIOGRAPHICAL STATEMENT
Krista Siniscarco was born and raised in Utica, NY. She attended the Rochester Institute of Technology to study graphic design and received her BA from the State University of New York, Empire State in Graphic Design and Multimedia Studies. After college, she began working as an Educational Technologist at Hamilton College in Clinton, NY. While at Hamilton, Krista focused on instructional design and media literacy and acted as the information technology liaison to the Arts. In 2010, she began work on her Masters of Fine Art in Design Management at the Savannah College of Art and Design. Krista is currently an MFA candidate actively working on her thesis. http://www.visual-thoughts.com
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