Rishikesh_Urbanism portfolio by Rishi G

URB ANISM PORTFOLIO

Contents

Introduction

Introduction to area of study

Existing structure of public domain

Inferences from analysis

Experience map and spatial SWOT

Demographic profile

Theory, Process and Principles of Place making

The vision and objectives

Inspiration and precedent study

Local precedents and their relevance

Global precedents and their relevance

Design ideas and proposal

Challenges and Potential at street level

Design interventions at street level

Site level - Measure what matters

Site level - Current state and issues

Site level - Design ideas and Precedents

Site level - Design proposal | eora square

Site level - Conceptual views

Introduction

Introduction to area of study

Study site - Redfern street

1:2500

Study site

Journey so far

Assessment 1 focused on a 715m stretch of Redfern street from Gibbons Street to Elizabeth street including 7 blocks. Redfern street sits at a 5km distance from the Sydney CBD, connected via Redfern Station located at the intersection of Gibbons & Redfern street. The street has a variety of destinations ranging from heritage sites, cafes, diners and a park.

Site analysis focused on examination of key characteristics of the street and structure of public domain. Interaction of users with urban amenities was the focal point of the analysis. We mapped our experience for different segments of the site through various site visits across different times of days and nights over several weeks. Urban structure was analyzed by mapping topography, subdivision pattern, green infrastructure, structure of public domain, heritage sites, setbacks, building heights and quality of built edges.

Legend Site analysis with additional literature studies informed a deeper understanding of the urban structure and user experience of the street. The analysis was concluded with a broad vision for the possible interventions supported by 6 objectives.

Study area Destinations

Assessment 2, firstly consolidates the analysis and inferences. Secondly, uses precedents to support design ideas and finally proposes a design intervention for the selected site that responds to the refined vision and objectives. eora square | Urban Design intervention on Redfern Street | Introduction to Urban design | Assessment 2 | 2019 |

Existing structure of public domain

25m

10 m 92 m

61 m

69 m

61 m 25 m

9 m

20 m

56 m

1 42 m

20 m

69 m 31 m

20 m

12 2 m

20 m A

62 m

66 m

30 m

142 m 715 m

25 m

66 m

56 m

61 m

20 m

27 m

91 m 151 m

305 m

Plan - Structure of Public domain

Built area (64%)

Public domain

20m wide Redfern street

Public domain

20m wide Redfern street

10m

7.5m

People

Cars

People

Cars

People

Roads + Pedestrian (36%)

20m wide Redfern street

Area of Intervention

1:2500

Public domain Redfern park

10m

305m

People

Cars

People

Section A - Condition 1 - With Parking | NTS

Green

10m wide street People + cars

Section B - Condition 2 - No Parking | NTS

Section C - Condition 3 - With Park | NTS

Section D- Arrival zone | NTS

Inferences from analysis

NTS

8m 3m

0m 715 m

Topography - Undulating topography ranges from 0-8m from Gibbons street to Elizabeth street.. A drastic slope takes people up the road from Gibbons street until Pitt street and slopes down toward the park.

Vegetation map - The first part of the street from Gibbons st. till George st has least plantations. The density and diversity of plantation increases towards the east side till Elizabeth st. Most of the trees have a medium foliage size upto 3m which do not provide plenty of shade for commuters.

Heritage map - The street has a lot of heritage and conservation sites. These sites add a historical character to the fabric of the street . Urban design intervention needs to consider their presence and retain their essence.

Setbacks and building height map - Height control ranges from 2 storeys to 6 storeys, with maximum allowable height along first section between Gibbons and regent street which is between 12-14 storeys.. There are approx. 30 houses with setbacks ranging from 3 - 6m.

Subdivision pattern map - Fine grain dominates the block size with 65 No.s along the road which allows for better variety of business and ownership. Typical medium and typical small are varying between 10-20 numbers. Redfern park forms the largest block size which breaks away from the patterns that dominate the street.

Built vs Unbuilt map - The map clearly indicates the dominant built form of blocks which vary in multiples of 60m. Unbuilt grid indicates transport network which is highly dominated by cars.

Landuse map - The zoning is dominated by Residential landuse (R1) both private and social housing. First half of the Redfern street from Regent St. to Pitt St. has been classified as B2 Local centre which accommodates various commercial activities such as cafés etc.

Actual landuse map - First half of the street (Gibbons St. to Pitt St.) has met the vision of LEP since it is dominated by various commercial activities when compared to the second half (Pitt St. to Elizabeth St.), which has a few commercial pockets interrupted by residences.

Connectivity map - Redfern st, George st. Pitt st, Chalmers st., Great buckingham st, walker st, Gibbons St. and Regent st. are the primary streets which divide the area in to large blocks of width ranging from 120-150m.

Experience map and Spatial SWOT

Multi modal transport connectivity

Perceived as an unsafe area for substance abuse and riots from the past. Unfair treatment of police towards indigenous communities exacerbated the issue A non interactive sculpture makes the street dull Wide pedestrian pathways can enhance public domain

Curate all the destinations using design elements for a holistic authentic experience and celebrate its uniqueness

Less focus on entertainment art and cultural offerings

S W O

O T

S S

O W Public park with historic significance

A public square has the potential to be a landmark for the street and bring the community together

Vehicular congestion in public squares due to rising car numbers

Authentic cafes and diners contribute to the active frontages adding to the destinations on street

Heritage sites add to the character of the street positively influencing its character

Enhance green infrastructure and contribute to habitat connectivity

Map shows the user experience and spatial SWOT

Badly lit areas raise safety concerns coupled with dead facades

Strengths

Weaknesses

Opportunities

Threats

1:2500

Grade A

Grade B

Grade C

Grade D

A large range of functions. No blind façades and few passive ones. Much depth and modelling in the building surface. Good quality materials and refined details

A moderate range of functions. Few blind or passive façades. Some depth and modelling in the building surface. Good quality materials and refined details

Little or no range of functions. Predominantly blind or passive façades. Little depth and modelling in the building surface. Few or no details

No range of functions. Predominantly blind or passive façades. Flat building surfaces. No details and nothing to look at

Demographic profile

54.29 % Male

2.1 % Aboriginal and/or Torres Strait Islander people

12.2 % 65+ years

6.9 % 0-14 years

11.2 % One parent family

29.6 % Attending an educational institution

4% Other family

22.8 % 45-64 years 27.4 % 15-29 years 45.68 % Female

22.8 % Couple family with children

62 % Couple family without children

30.6 % 30-44 years

Total population of the area is 13,496 in an area of 120 hectares. Median age of a person - 35

4.9 % Secondary school

Age groups - Middle age group dominate the area

Family types - Couple families without children dominate the area

36.4 % Others

38.3 % Others Mandarin, cantonese, Spanish, Russian Greek

9.5 % Irish 20.8 % English

1.1 % Ireland

1.6 % USA 3.3 % 4.7 % New China Zealand

14.1 % Australian

Ancestry - English and Australians dominate the area

47.8 % Australians

61.7 % English

69.1 % Full time

5.1 % England

Country of birth - Diverse population while Australians dominate this segment

$810 Aboriginal and Torres Strait Islander people 42.4 % Professionals

11.3 % Clerical/Administrative works

5.5% Unemployed

21.7% Part- time

Languages - English is widely used for communication

Employment - 94.5% of the people are employed. Unemployment is 5.5% equalling the national rate

5.3 % Bi-cycle 47.2 % Technicians, sales,drivers, Labourers, cafe etc..

7.4 % Primary school

Education - Residents are educated and are dominated by people with tertiary and technical education

3.7% Away from work

6.3 % Scottish 7.2 % Chinese

41 % Tertiary or technical institution

0.8 % Separate house

18.7 % Walk

$1,821 Others

20 % Private Cars

1.9 % Other dwellings

29 % Semi-detached, row or terrace house, townhouse 33.1% Trains + Buses

68.3% Flats / Apartments

15.6 % Managers

Employment sector - Technicians and professionals dominate the area

Median household Income - Broadly affluent area (median household income is approx. $94,000 higher than the national average of $44,490). indigenous communities earn less than 50% of the area’s average income

Travel to work - Mode of transport Public transport is the most preferred mode of commuting followed by private cars and walking for work

Typologies of dwelling structure Flats/Apartments are preferred over terrace houses

Theory, Process and Principles of Placemaking Placemaking Place making is not only a urban renewal strategy but also a collaborative process in which the local community shapes the structure of the public domain based on their desires. Using the defined principles, ineffective spaces are reimagined to effective public spaces deepening the bond between people and places. Further, it “facilitates creative patterns of use, paying particular attention to the physical, cultural, and social identities that define a place and support its ongoing evolution.” (Pps.org, 2019). The design proposal is guided by the 11 principles of place making. These principles are informed by the work of the Project for Public Spaces, a NGO from New York “dedicated to helping people create and sustain public spaces that build stronger communities”(Pps.org, 2019).

Principles of placemaking

Data collection and Implementation strategies

The Community is the Expert

Before developing a vision, identify strengths and weaknesses of a community and site. Collect historical data and understand critical issues from old residents to inform the design. Visitor score card and informal interviews were used to inform the vision and design process.

Create a Place, Not a Design

Physical elements should be introduced,such as seating, landscaping, and also enhance the pedestrian circulation pattern. Establish relationships between active frontages and public spaces. Design strives to create sense of community

Look for Partners

Public private partnerships are critical to the sucess of public projects. Local institutions, museums, schools are few of the private institutions that can contribute and ensure design and implementation of such projects

You Can See a Lot Just By Observing

Through regular observations, it will be clear what kinds of activities are missing and what can be incorporated. And when the spaces are built, how to evolve and manage them over time is crucial.

Have a Vision

Essential to a vision of public space, is an idea of what activities might be happening and if the space is comfortable. Eora square aims to instil a sense of pride in the Aboriginal people who live and work in the surrounding area.

Start with the Petunias: Lighter, Quicker, Cheaper

Short term and long term plans are important for implementation and feedback strategies. Seating, outdoor cafes, public art, etc., are examples of improvements that can be accomplished in a short time.

Triangulate

In a public space, the choice and arrangement of different elements in relation to each other can put the triangulation process in motion (or not). Design strives to accommodate various functions in one p;ace to induce triangulation

They Always Say “It Can’t Be Done”

Creating good public spaces is inevitably about encountering obstacles, because no one in either the public or private sectors has the job or responsibility to “create places.”

Placemaking process Project for Public Spaces suggests a 5 step process to get more people involved in observing, planning, and shaping a place.

o1 o2

Define place and identify stakeholders

Evaluate space and identify issues

Place vision

Short-term experiments (Tactical urbanism)

Form Supports Function

Money Is Not the Issue

You Are Never Finished

On-going revaluations and Long term improvements

Source: (Pps.org, 2019)

Input from the community and potential partners, the understanding of how other spaces function, the experimentation, and overcoming the obstacles and naysayers provides the concept for the space. While implementing and seeing the change, people will have so much enthusiasm for the project that the cost is viewed much more broadly and consequently as not significant when compared with the benefits. Amenities wear out, needs change and other things happen in an urban environment. Being open to the need for change and having the management flexibility to enact that change is what builds great public spaces and great cities and towns.

The Vision and Objectives Vision - ‘eora‘ square A public square that redefines the identity of Redfern street as a place of opportunities, stories and celebration. The people-centric design emphasizes the uniqueness of the street using all its existing assets such as culture, heritage, location and aims to be an exemplar for good street design

Objectives

Create a Landmark This can be achieved by defining a public square as a spatial anchor to enhance the user experience of the street and creating a strong sense of arrival

1 / 5 | Current score

Street as a “ Network of Destinations” This can be achieved by curating the walk across the stretch using visual markers and prioritizing human scale. Wide walkways host various public amenities interacting with the active frontages targeting grades C & D. 2 / 5 | Current score

Pedestrian friendly street This can be achieved by enhancing the pedestrian and cycling networks for better connectivity and narrowing streets to slow down traffic 3 / 5 | Current score

Celebrate the Uniqueness This can be achieved by protecting the heritage sites and emphasizing their existence using flooring patterns adjacent to them inspired from indigenous art forms 1 / 5 | Current score

Diverse and safe Night time economy This can be achieved by implementing strategies and providing spaces that support artists, businesses such as restaurants, pubs, clubs and theatres of local communities. Appropriate lighting ensures safety 2 / 5 | Current score

Green infrastructure This can be achieved using the tools of Tactical urbanism. Increase in vegetation and biodiversity of the street will enhance the well being, reduce heat island effect and contribute to the vision of Green Grid 3 / 5 | Current score

Local precedents and their relevance

6 3 4 27

5 3

6 2

Micro scale 2.Angel Place - Footpath plaques (Hill, 2019). Innovative plaques can be used to commemorate the aboriginal elders and showcase their teachings

Macro scale 1.Angel Place (Travellingwithnikki.com, 2019). Bird cages have been used to create a false ceiling. Innovative ideas like these can enhance the user experience and induce human scale.

Macro scale 5.Urban canopy - Baptist street (Baptist St, 2019)- Trees with wide foliage enhance micro climate and add to street character

Micro scale

Key plan

NTS

Micro scale

3.Little hay street (Hill, 2019). Street furniture fused with paving can create interesting patterns. Aboriginal art can be used to create patterns and be fused with furniture

Macro scale

4.Edge of trees (Sydney.com.au, 2019). Interactive Aboriginal sculptures can enhance the experience of the street and educate younger generations through entertainment

Micro scale

6.Segregated Right of ways - George street - Enhance reserved cycling paths and their connectivity

7.Infographic with cultural significance - Redfern street Infographics on wall shows the evolving inclusive social fabric

Global precedents and their relevance Macro scale

Micro scale

5 14 6 2 3 7

1.Passey Place, London (Carmona, 2018) - Street has been paved with patterns to create an incidental space for shoppers to rest and for informal activities for street buskers.

2.Southbank, London (Carmona, 2018)- The sequence of spaces along the south bank have been transformed in recent years and now host a variety of ‘fun’ activities.

Key plan

NTS

Micro scale

Macro scale 3.Bermondsey Square, London (Carmona, 2018) - Houses a farmers market, an array of informal activities. Opening onto a supermarket, a hotel, a cafe´, a number of small shops which together create an effective public space Micro scale

6.Pavement parks in Seattle’s First Hill (Hudson, 2016)Temporary flooring patterns can induce fun and entertainment

Micro scale 4.Stand alone Signage, Barcelona (Pinterest, 2019)- These stand alone signages with lights add a vibrant character to the space

Macro scale

5.Movable planters, Paris (Street-design.com, 2019)movable planters with seating provision can provide flexibility for various functions in a space

Micro scale

7.St catherine street, Montreal (Shingler, 2019) - Car free street with active frontages provide human scale place

8.Stepped Seating, Crossrail Station, Canary Wharf (Pomery. co.uk, 2015), Open air theatre will enhance the public area

Challenges and Potential at street level

NTS

o1 Challenge 1: There is lack of a landmark, a sense of arrival and a entrance marker.

NTS

Challenge 2: Due to the lack of a common public place and a destination the human activities are dispersed across the street and used as a thorough fare

Potential: Prominent intersection has the capacity to be a landmark, creating a strong sense of arrival and a impressive front marker

NTS

Potential: Creation of a public square can attract the existing and new users. The high quality place will enhance options to eat, relax and entertain its users in both day and night eora square | Urban Design intervention on Redfern Street | Introduction to Urban design | Assessment 2 | 2019 |

Challenges and Potential at street level

NTS

2 min

4 min

6 min

8 min

10 min

o3 Challenge 3: Street’s rich heritage is hidden, its unique setting is not realised and there is a need to curate the walk across all sites. The Redfern station is the only destination drawing users on the street making it a thoroughfare

Potential: All the heritage sites, park and unique local cafes form a network of destinations contributing to the uniqueness of the street. The same can be emphasized with distinct flooring patterns and building information

NTS

P P

P P P

Challenge 4: Street is designed to prioritise access for vehicles, leaving alternate transport modes such as cycling uncompetitive. The intersections focus on vehicular movement creating segmented walkways

Potential: Design prioritises pedestrians and cycling paths, encouraging people to walk-cycle rather than drive. This will not only enhance the experience of the street but also positively impact the health of the residents eora square | Urban Design intervention on Redfern Street | Introduction to Urban design | Assessment 2 | 2019 |

Challenges and Potential at street level

NTS

Proposed street lights to enhance sense of safety Existing street lights Redfern police station Stores contributing to night time economy Encouraging additional stores to function in night time

Existing street lights Redfern police station Stores contributing to night time economy

Challenge 5: Lack of street lights at regular intervals creates dark patches on the street decreasing the sense of security across the entire street. Very few stores contribute to the Night time economy

Potential: Additional street lights will evenly distribute light across the street and enhance the sense of security. Encouraging new stores to offer services in the night will enhance night time economy

NTS

Existing public trees contributing to the green grid

Challenge 6: Lack of tree canopies in few sections of the street contributes to the heat island effect and disconnects habitat

NTS

Proposed additional public trees contributing to the green grid

Potential: Additional tree canopies on the street will enhance the micro climate and connects biodiversity while contributing to the street character eora square | Urban Design intervention on Redfern Street | Introduction to Urban design | Assessment 2 | 2019 |

Design interventions at street level

Creating a strong sense of arrival and enhancing human scale

Extension of pedestrian paths to host seating - plantations and slow down traffic

Parking retained to support retail and commercial uses

Addition of Bicycle paths along all the main roads enhancing connectivity

Addition of trees enhancing connectivity of habitat and green grid

Protection of park and green infrastructure

A B D

P P P C

Selected site for intervention due to the following reasons: - proximity to redfern station - spatial capapcity for public gatherings - increased visibility due to ntersection of prominent streets - vital zone due to commercial activities

Modular junction markers to accentuate the identity by merging vernacular materials

Building markers using plaques and different flooring, drawing attention to the heritage sites along the path

Proposed Site plan

1:2000

Proposed Public domain

10m wide

20m wide Redfern street 5m

Promenade

2.5m

People Cycle 6m

Section A- Arrival zone | NTS

Proposed Public domain 20m wide Redfern street

Proposed Public domain

Redfern park

7.5m

10m

305m

Cars

People

Cars

People

Section B - with Cycling track | NTS

30m wide Eora square 7m

7.5m

13.5m

People

Cars

cycle

People

Section C - Protection of Park and green infrastructure | NTS

Section D - Eora square - Open air theatre | NTS

Site level | Measure what matters

Challenge - Users across the street are dispersed using the junction only as a thoroughfare without interacting with either the art work or ecology due to a lack integration of space as one place

Potential - Using the tools of place making the segmented space across the junction can be integrated in to a place (eora square) by various design interventions

Challenge - The trees on the street are located in isolation without connectivity leading to loss of habitat and are adversely impacting the ecosystem

Potential - Using preservation and enhancing techniques, the green infrastructure will contribute to the Green Grid vision and enhance habitat connectivity eora square | Urban Design intervention on Redfern Street | Introduction to Urban design | Assessment 2 | 2019 |

Site level | Current state and issues T

Lack of a landmark The entry zone is obstructed by street light and bins

No sense of arrival Street light and bins obstruct the walkway

P P

Dead facade and space is active only in the morning to access Redfern station

Lack of an interactive sculpture

Street is dominated by cars

Lack of an integrated public space & public amenities such as waiting for day and night usage

Site level | Design ideas and Precedents Patterns in flooring giving the square an identity

Move bins and light away from entrance and walkway

Thoughts of Aboriginal elders 10m

False ceiling with art work changing it to human scale

Aboriginal art is used for flooring patterns

Reclaiming public space Width of walkway is increased to 6m

Planters with seaters will enhance the experience by allowing resting and interaction

5m 7m

9m Space for temporary interactive sculptures & indigenous art work

8.5m

Signage for eora square

6m Reclaiming public space Width of walkway is increased to 7m on left side and 8.5m on right side for seating etc.

Open air theatre + Multi functional space for community activities

B Tactical urbanism DIY planters can be managed by the local residents

+ 1:500

Site level | Design proposal | eora square

Signage for Redfern street

Quotes from Aboriginal elders embedded on copper plates along the way Street patterns indicating the start and end of eora square. This module can be replicated on other parts of the street

Arrival zone Flooring pattern indicating a nonlinear walkway with movable planters along the way

DIY planters screen the dead facade. Seasonal flower plantations will enhance the place inviting diverse habitat

Focal point of eora square A place for temporary interactive sculptures with eora square signage Open air theatre oriented towards the street and faces various activities

Additional tree plantations contributing to the green grid

Seating arrangement for interaction 4-6 seater tables for outdoor cafe seating

Colored flooring patterns inspired from aboriginal art forms frame the existing trees across the street Traditional games induce entertainment and learning in the public space Table tennis as a part of the park for the community

1:500

Site level | Conceptual views | Arrival zone

Site level | Conceptual views | Eora square | Front view

Site level | Conceptual views | Eora square | Rear view

Conclusion

The proposed intervention at Redfern street acknowledges and enhances existing destinations. Further, creates new destinations including a public square to elevate user experience and serve as a landmark. Placemaking through interventions at macro and micro scales, creates a new identity for the street, revives lost culture, and accomplishes the set vision and objectives.

o1 o2 o3 Proposed Site plan

NTS

o4 o5

Arrival zone

Eora square - Front view

Eora square - Rear view

Create a Landmark 5 / 5 | Revised score

Street as a “ Network of Destinations” 5 / 5 | Revised score

Celebrate the Uniqueness 5 / 5 | Revised score

Pedestrian friendly street 5 / 5 | Revised score

Diverse and safe Night time economy 5 / 5 | Revised score

Green infrastructure 5 / 5 | Revised score

Vision - ‘eora‘ square A public square that redefines the identity of Redfern street as a place of opportunities, stories and celebration. The people-centric design emphasizes the uniqueness of the street using all its existing assets such as culture, heritage, location and aims to be an exemplar for good street design

References Page 4 Source of all LEP maps - City of Sydney council (2019). NSW Legislation. [online] Nsw.gov.au. Available at: https://www.legislation.nsw.gov.au/#/view/EPI/2012/628/maps [Accessed 16 Oct. 2019]. ‌ Page 5 Matthew Carmona et al, 2003, Public Places, Urban Spaces: The Dimensions of Urban Design Page 6 Australian bureau of statistics, 2019,viewed 11 September 2019, https://quickstats.censusdata.abs.gov.au/census_services/getproduct/census/2016/quickstat/SSC13339?opendocument Page 7 Pps.org. (2019). Eleven Principles for Creating Great Community Places. [online] Available at: https://www.pps.org/article/11steps [Accessed 13 Oct. 2019]. Page 8 Source of all Icons - https://www.facebook.com/theflaticon (2019). Flaticon. [online] Flaticon. Available at: https://www.flaticon.com/search?word=man%20sitting [Accessed 15 Oct. 2019]. Page 9 Photographs supplied by authors with the exception of: Travellingwithnikki.com. (2019). The Birdcages in Angel Place – Sydney, Australia | Travelling With Nikki. [online] Available at: https://www.travellingwithnikki.com/2014/03/angel-place-sydney/ [Accessed 12 Oct. 2019]. Hill, M. (2019). Sydney laneway revival. [online] ArchitectureAU. Available at: https://architectureau.com/articles/sydney-laneways/#img-13 [Accessed 12 Oct. 2019]. Sydney.com.au. (2019). Museum of Sydney : sydney.com.au. [online] Available at: https://www.sydney.com.au/mos.htm [Accessed 12 Oct. 2019]. Baptist St. (2019). Baptist St. [online] Available at: https://www.google.com/maps/place/Baptist+St,+Redfern+NSW+2016/@-33.8941878,151.2120896,3a,75y,90t/data=!3m7!1e1!3m5!1suTJDBPVK-NkfgA1P_1WNnQ!2e0!6s%2F%2Fgeo3. ggpht.com%2Fmaps%2Fphotothumb%2Ffd%2Fv1%3Fbpb%3DCiwKKnNlYXJjaC5nd3MtcHJvZC9tYXBzL2xvY2FsLWRldGFpbHMtZ2V0Y2FyZBIgChIJ1yIRxOCxEmsRXZa2gkyc2U0qCg0AAAAAFQAAAAAaBAhWEFY%26gl%3DAU!7i13312!8i66 56!4m5!3m4!1s0x6b12b1e0c41122d7:0x4dd99c4c82b6965d!8m2!3d-33.8943928!4d151.2120638 [Accessed 12 Oct. 2019]. Page 10 Carmona, M. (2018). Principles for public space design, planning to do better. [online] Discovery.ucl.ac.uk. Available at: http://discovery.ucl.ac.uk/10074199/1/Carmona2019_Article_PrinciplesForPublicSpaceDesign.pdf [Accessed 12 Oct 2019]. Pinterest. (2019). Large stand alone stage foam letters by WeCutFoam www.wecutfoam.com | Large Foam Letters | Foam letters, Foam cutter, Magnetic knife strip. [online] Available at: https://www.pinterest.com.au/ pin/357332551683251652/?lp=true [Accessed 12 Oct. 2019]. Hudson, A. (2016). Pavement Parks in First Hill w/ Urban Design Forum. [online] Aiaseattle.org. Available at: https://www.aiaseattle.org/event/udf-feb-event/ [Accessed 12 Oct. 2019]. Shingler, B. (2019). Montreal to get 3 more pedestrian streets this summer | CBC News. [online] CBC. Available at: https://www.cbc.ca/news/canada/montreal/montreal-pedestrian-streets-2018-1.4509941 [Accessed 12 Oct. 2019]. Pomery.co.uk. (2015). Pomery Natural Stone - Crossrail. [online] Available at: http://www.pomery.co.uk/projects-crossrail.html [Accessed 12 Oct. 2019].

Source: Unsplash n.d.

What is principle-based planning? SID 490497874 | ARCH9092 | Urban Report

Table of contents I

Introduction

2.4 Theme 3: Use of principles in the NSW planning system

2.4.1 NSW LEC

1.2 Background

2.4.2 Principle-based policies and frameworks

1.3 Planning and policy signiﬁcance

2.4.3 NSW planning reforms

1.4 Recommendations

2.5 Summary of literature review

1.5 Limitations of the research

2.6 Critical analysis

2.7 Case studies

2.7.1 Case study 1- South Australian planning system (SAPS)

1.1 Research statement

Literature review

2.1 Methodology

2.2 Theme 1: Principles in premodern cities and shifts in

2.7.1.1 Structure

2.7.1.2 Development assessment

2.7.2 Case study 2- England planning system (EPS)

planning approaches

2.7.2.1 Structure

2.2.1 Principles in premodern cities

2.7.2.2 Development assessment

2.2.2 Shift towards a comprehensive approach

2.2.3 Statutory land-use planning

2.2.4 Shift towards a ﬂexible approach

2.3 Theme 2: Principle-based approach in the modern context

2.8 Comparative analysis of SAPS and EPS

Table of contents III

Principle-based planning system 3.1 Prerequisites 3.1.1 Nature of principles

List of tables

Table 1 Keywords and list of sources

Table 2 Comparison of principle-based planning in premodern and

3.1.2 Structure

3.1.3 Governance

modern contexts

Table 3 EPS - Planning authorities and their role

3.1.4 Planning and development management

Table 4 Principles under categories in the London Plan 2017

3.1.5 Roles and responsibilities of planners

Table 5 EPS - Assessment pathways

Table 6 Strengths and weaknesses of SAPS and EPS

Table 7 Transferable strategies and learning outcomes from the hybrid

Recommendations for NSW system

4.1 Nature of principles

4.2 Structure

4.3 Governance and development management

Conclusion

systems Table 8 Program logic for recommendations for NSWPS

List of Acronyms PBPS

Principle-based planning system

SAPS

South Australian planning system

EPS

England planning system

NSWPS NSW planning system

Bibliography

DPIE

Department of Planning, Industry and Environment

EPA&A Environmental Planning and Assessment Act 1979 1

List of ﬁgures Figure 1

Informal agency - Mutual agreements between neighbours

Figure 18 PBPS - Governance structure

Figure 2

Formal agency - Arrangement in land-use planning system

Figure 19 PBPS - Assessment pathways

Figure 3

Timeline of major NSW planning reforms in the last two decades

Figure 20 PBPS - Multi-disciplinary committee for assessment pathways

Figure 4

Evolution of planning approaches in the last two centuries

Figure 5

Difference in content of land-use zones and principles

Figure 6

Attributes associated with certainty and ﬂexibility

structure (right)

Figure 7

Relationships between attributes associated with certainty and

Figure 22 NSWPS detailed structure

Figure 23 NSWPS recommended governance structure

ﬂexibility Figure 8

Structure of SAPS

Figure 9

Principles of good planning and SPPs in SAPS

Figure 10 SPP 1 - Structure and principles

Figure 11 SAPS - Assessment pathways

Figure 12 SAPS - Community input based on the nature of development

Figure 13 SAPS - Consent authorities for development assessment

Figure 14 Structure of EPS

Figure 15 EPS - Principles in NPPF

Figure 16 PBPS structure

Figure 17 PBPS - Detailed structure

two and three Figure 21 The existing NSWPS structure (left) and the recommended

I Introduction 1

Source: Unsplash-Kewal n.d.

1 Introduction The NSWPS is undergoing transition, expressed in the growing

Further, the research presents the prerequisites required to make a

tendency to use a principle-based approach to planning. Possibly

principle-based system work in its pure form. Moreover, given the

inspired by planning in other countries which are increasingly drifting

prospects of transitioning to a principle-based system and the lack of

away from prescriptive codes towards a more principle-based

literature in the ﬁeld, the research goes beyond theoretical debates

approach (Alfasi 2017). This shift is justiﬁed to enhance ﬂexibility,

to address implementation realities and provides recommendations

certainty, and innovation in the planning system (NSW government

for the NSWPS.

2020), and Moroni (2014), deems this approach necessary to address the complexity of the built environment. Despite its popularity across both practice and theory in recent times, there is less literature on what principle-based planning entails and the prerequisites to make the system work. Further, principle-based policies in NSW, such as SEPP 65, have exposed challenges such as being susceptible to corruption and increasing development costs.

1.1 Research statement

1.2 Background The NSWPS has become the subject of sustained reform in the last decade, and Ruming & Gurran (2014) suggest that all reforms intend to facilitate a free ﬂow of economic activity, and the last major reform was a response to the Global Financial Crisis. Similarly, to mitigate the economic impacts of the COVID-19 pandemic, the NSW government (2020b) introduced the Planning System Acceleration Program.

The main argument of the research is that a principle-based approach to planning has the potential to achieve the aspirations of the NSW

In addition to addressing problems concerning the economic sphere

PS such as ﬂexibility and innovation, and certainty to an extent.

through multiple state policies and programs, the Minister for 2

1 Introduction Planning and Public Spaces, the Hon. Rob Stokes envisions a

Thirdly, the Terms of Reference of the NSW Productivity Commission

paradigm shift in the planning system. This includes moving towards a

makes recommendations to incorporate a principle-based approach

principle-based approach to address the existing code-based approach

to deliver infrastructure to support growth (NSW government

and dispersed policy framework (NSW government 2020e; O’Sullivan

2020c). Lastly, the Land and Environment Court uses planning principles

2020). The implementation of the new approach can already be seen

to address speciﬁc matters such as ‘adaptive re-use’ to maintain

in multiple frameworks and few of them have been mentioned below.

consistency within the system (NSW Department of Justice 2015). This suggests a growing uptake of this new approach in the NSWPS.

Firstly, the creation of a new state environmental planning policy (SEPP) - Design and Place SEPP, a principle-based planning instrument, aims to enhance the design quality of the built environment across scales by reducing prescriptive controls and encouraging certainty, ﬂexibility and innovation through key principles for design and place (NSW government 2020e). Secondly, the Priority Projects Criteria based on six principles was introduced to fast-track assessments of projects and boost productivity during the pandemic (NSW government 2020d).

1.3 Planning and policy signiﬁcance Understanding what principle-based planning means and knowing its conceptual foundation, can allow planners and academicians to understand what this approach entails and its shortcomings, and help with other relevant studies . Also, it is imperative to understand that more research is required to form an evidence base while establishing a comprehensive set of principles focused not only to be reactive to the planning concerns but also be proactive to achieve strategic goals and facilitate ecologically sustainable developments. 3

1 Introduction Further, it can be estimated that a foundational shift in the system

1.4 Recommendations

will change the existing administrative arrangements and the roles and responsibilities of planners (Jones 2002). Moreover, in practice,

Based on the research, it is recommended:

professional planners will have to continually update their

● To reduce statues in a system to a minimum to enhance ﬂexibility

understanding of various scenarios under which developments are

and innovation. While this will decrease certainty to some level, it

being approved and contemplate alternatives for new development

will enhance a greater degree of predictability and a clear line of

scenarios. Academically, cadet planners will have to develop a skill set

sight.

of viewing developments through multiple lenses as they would eventually work in interdisciplinary environments (Jones 2002).

● To use principles as regulatory devices instead of prescriptive mechanisms. ● Planning institutions need to adopt a principle-based planning

Theoretically, it is important to investigate if the new system is a

system in its pure form, particularly in the case of NSW, to realise

better alternative to the current NSWPS. Also, it is vital to know if

the full potential of principles.

this new approach will strengthen the role of the planning system to safeguard community interests or act as a mechanism to further deregulate the system to facilitate more development.

As the

research is based in the theoretical space, it seeks to be a starting point for future discussions.

● For NSW, ○ that it should embed ecologically sustainable development principles and a principle-based charter for community engagement in the EPA & A 1979, ○ streamline and consolidate the system using principles, ○ incorporate outcome-based targets and feedback loops across all levels 4

1 Introduction ○ devolve power to the local level ○ change perspective from development assessment to development management, ○ use single multi-disciplinary planning authority across state and local levels, and ○ conduct regular training programs for built environment professionals to deal with urban challenges.

● The nature of principles, their optimum number, their prioritisation and their impact on development costs and administrative arrangements, nature of socio-cultural values, and funding mechanism, are some of the aspects that have not been fully detailed. ● Detailed implementation and monitoring mechanisms, and changes required in other departments such as infrastructure

1.5 Limitations of the research The research has the following limitations: ● The research presents a generic framework with prerequisites for a pure form of PBPS with a lens that focuses only on ﬂexibility, certainty and innovation. Strategies required for it to be fully tailored to the speciﬁcities of planning systems and

have not been discussed. ● The methodology involves only a broad brush analysis of the case studies, and since they do not adopt a pure form of the principle-based planning system, it is difﬁcult to determine whether the desired outcomes in the planning system were a result of deploying principles.

environmental laws have not been detailed.

II Literature review

Source: Unsplash-Jamie Davies n.d.

2 Literature review This section includes the methodology, themes, summary, and critical analysis of literature and case studies. Further it provides a theoretical basis to build a framework for a PBPS. Moreover, the placement

principles,

implementation

and

development

assessment techniques have been borrowed from a broad-brush analysis of the case studies to establish the prerequisites of a PBPS.

The literature used for the review is primarily from academic research papers, books, and NSW government websites. A list of academic and non-academic articles was shortlisted based on keyword searches across websites such as Google Scholar, JSTOR, Further, a synthesis of qualitative

ﬁndings stemming from the research has been expressed using three themes: Principles in premodern cities and shifts in planning approaches, principle-based approach in the modern context, and use of principles in the NSWPS.

A brief history of the use of principles in premodern cities, and relevant debates and shifts in modern planning approaches have been discussed below.

2.2.1 Principles in premodern cities

2.1 Methodology

and ScienceDirect (table 1).

2.2 Theme 1: Principles in premodern cities and shifts in planning approaches

Until the 19th century, the development of the built environment was subject to abstract principles and codes derived from religious, cultural, and political practices (Alfasi 2017). This was observed in many societies across continents such as Europe, Africa and South America (Alfasi 2017). People created, shared, and obeyed, unwritten principles regarding the built elements, and some were occasionally explicit and speciﬁed spatial demands (Alfasi 2017). For instance, in Mediterranean cities, under the law of ﬁna, an owner could expand a house into the street provided the intervention did not disrupt any movement on the street (Hakim 2008).

2 Literature review Table 1: Keywords and list of sources (Data source: Author) Keywords

Principle-based planning, planning principles, statutory land-use planning, normative planning, ﬂexibility, certainty, innovation, and technocracy

Topics Principles-based planning and use of principles in premodern cities

Academic literature Principle-based planning as a means of facilitating development: The provisions of the Development Facilitation Act and the proposals of the Green Paper on Development and Planning The coding turn in urban planning: Could it remedy the essential drawbacks of planning?

Author

Type

Richard Jones

Research papers

Nurit Alfasi

Statutory planning

Planning Australia An Overview of Urban and Regional Planning, Chapter 5: Statutory planning

Peter Williams

Use of Planning principles in NSW

Australian Urban Land Use Planning: Principles, Systems, and Practice

Nicole Gurran

Book To what extent ‘an entirely new approach to how planning is done’? Tracing planning system reform in New South Wales

NSW Reforms

Flexibility versus Certainty: Unsettling the Land-use Planning Shibboleth in Australia

Wendy Steele & Kristian J. Ruming

The technocrat is back: Environmental land-use planning reform in New South Wales

Zada Lipman and Robert Stokes

Topics

Use of Planning principles in NSW

NSW Reforms

Kristian James Ruming & Peter John Davies

Non-academic literature NSW Land and environment court NSW Government Green Paper, a White Paper and the Planning Bill 2013

Author

Research papers

Type

NSW Department of Justice Department of Planning, Industry and Environment

Ofﬁcial website

NSW government

2 Literature review Mutual agreements were used as a mechanism for decision making,

Principles being place-based and ﬂexible evolved organically

which were discrete yet in accord with the principles (Alfasi 2017).

representing socio-cultural values (Alfasi 2017), and developed for

For example, in Italy, between the 10th-12th centuries, the fair use of

centuries (Akbar 1988). Therefore, a principle-based approach to

property was a principle discreetly agreed between neighbours and

planning as such, is not new and dominated as a planning approach in

an opposition post-agreement was considered invalid (Hakim 2014).

many societies. However, when viewed through a modern planning

Further, as per Abkar (1988), only those neighbours impacted by the

lens, the built environment produced using this approach can be

changes in the built environment were involved in the self-regulated

visually perceived as being disordered and uncontrolled, attributed

process and shared the related responsibilities (ﬁgure 1). Many

to its seemingly unplanned nature, and the absence of overarching

parties interpreted and applied principles to local circumstances

plans guiding developments.

simultaneously (Akbar 1988). This resulted in an order of the built environment that emerged spontaneously (Alfasi 2017). Direct discussion and negotiation between different parties who were impacted

2.2.2 Shift towards a comprehensive approach During the 19th century, rapid industrialisation and urbanisation led to the deterioration of the built environment, unsustainable urban growth and other livability issues (Alfasi 2017). Webber (1969) suggests that planners tried the orthodox approach of applying design standards to deal with clear-cut urban issues, an approach derived

Figure 1: Informal agency - Mutual agreements between neighbours Source: Adapted from Alfasi 2017

from established professions such as architecture. For instance, the cholera outbreak in English industrial cities led to 8

2 Literature review inquiries into sanitary conditions of housing developments and

2.2.3 Statutory land-use planning

uncovered a close correlation between the living conditions of workers and the disease (Gurran 2011). Consequently, the Public

Since then, statutory land use planning has been adopted in many

Health Act 1848 in the UK, mandated development standards for

countries including Australia, and the regulatory system uses

light, ventilation and drainage in new buildings (Gurran 2011).

land-use zoning maps as main regulatory devices (Alfasi 2017). In

Eventually, in the interest of public health, residential areas were

favour of this approach, Jones (2002) suggests that statutory plans

distanced from industrial areas, through land-use zoning.

provide certainty. Here, certainty applies more to the planning process than the outcome as it helps proponents consider whether

Likewise, to deal with the other urban issues, there was an upsurge of

their proposals ﬁt the planning framework, and also make decisions

modern planning ideas and a signiﬁcant one was that cities should be

to safeguard their assets. Increasing certainty leads to consistency,

centrally ordered by scientiﬁc approaches (Alfasi 2017). This form of

and guarantees fairness, which is vital in any property market, and is

rational planning rested on the notion of ideas that were proposed by

the case with Australia, as Bryan et al. (2017) suggest that

architects such as Le Corbusier, who associated the ideas of ‘order’

developments have become highly ﬁnancialised.

and ‘control’ with a plan (Faludi 1973). As a result, statutory land-use planning was seen as a comprehensive solution to regulate land uses

However, statutory land-use planning is a top-down blanket

and developments (Alfasi 2017).

approach to regulating the development of the built environment and side-lines place-based challenges. Further land-use plans assume that the future can be precisely determined (Jones 2002), and do not account for any form of societal or technical change over 9

2 Literature review time. Moreover, they are static and envision the planned areas as a

proposals (Jones 2002), through tick-box assessments (Gurran 2011).

closed system (Alfasi 2017). Consequently, land-use planning is seen

Moreover, technical experts operate via formal siloed agencies (Alfasi

as being restrictive (Jones 2002) and at odds with the idea of growth,

2017)(ﬁgure

despite alleviating externalities from developments. Likewise, Moroni

statutory land use planning has constantly been criticised as a

(2010) suggests that it orders the actions of developers by suggesting

technocratic exercise (Jones 2002).

without

community

consultation.

Therefore,

what to build and where to build. In this sense, any innovative development that fails to meet the rigid assessment framework runs the risk of being rejected. Planning instructions ﬂow down from technical experts and do not involve communities in all decision making processes

Therefore, in practice to make the system work, comprehensive plans are regularly circumvented and amended on a case by case basis (Alfasi 2017), through discretionary processes (Steele & Ruming 2012). For instance, spot-zoning (micro-scale), and unsolicited proposals (Rogers & Gibson 2020), (macro-scale) are prevalent ways of making planning ﬂexible in NSW, however, defeating the purpose of certainty. Further, since the developments need to be assessed only against the

Figure 2: Formal agency - Arrangement in land-use planning system

prescriptive controls, planners are mostly involved in assessing

Source: Adapted from Alfasi 2017 10

2 Literature review 2.2.4 Shift towards a ﬂexible approach In recent decades, multiple debates in planning theory have

2.3 Theme 2: Principle-based approach in the modern context

advocated a ﬂexible approach to planning, while recognizing

In the modern planning context, there is an increasing interest in the

technical and societal changes, and the role of community in the

role of codes and qualitative principles in urban planning, which is

decision-making process (Jones 2002). Further, Jones refers to

inﬂuencing both theory and practice (Alfasi 2017). Increasing use of

ﬂexibility as the room provided by instruments to accept change,

form-based codes in the US (Talen 2009), and consolidation of British

which implies that alternative forms of development are considered,

planning policies into the National Planning Policy Framework are

and Steele & Ruming (2012) suggest that it is an inherent aspect of a

few of the examples (Alfasi 2017).

planning system that provides the freedom to negotiate and make decisions.

The shift towards a principle-based approach is due to many reasons. First, Alfasi (2017), suggests that planning systems are possibly

In recent times, ﬂexibility has become a prerequisite in the urban

inspired by New Urbanism, as it is usually presented and discussed in

dynamics that promotes values such as innovation, and diversity

terms

(Alfasi 2017), and helps deal with place-based challenges. To achieve

neighbourhoods).

aspects such as ﬂexibility, comprehensiveness, certainty, and

predominantly created using principles, scholars show greater

innovation, multiple types of planning have emerged such as strategic

interest in the past experiences to understand the beneﬁts of this

planning (Faludi 2000), performance-based planning (Baker, Sipe &

approach (Carmona, Marshall & Stevens 2006). Third, Moroni (2014)

Gleeson 2006), and principle-based planning (Jones 2002).

argues that principles can be used to address the complexity of the

planning

principles

Second,

(e.g.

principle

premodern

walkable

societies

were

2 Literature review built environment and the evolution of spontaneous spatial order.

While reviewing these reforms, Jones (2002) argues that a

Lastly, Alfasi (2017) argues that this approach can overcome the

principle-based approach was adopted, rather than a normative

drawbacks of the regulatory zoning systems.

approach, based on the evidence that principles were introduced as regulatory devices in the policies, and as the approach did not fully

Additionally, principles are the tenet of this approach and Alfasi

meet the conceptual criteria of normative planning. The planning was

(2017) proposes they have four primary attributes: First, as

envisaged to work at the national level and the frameworks down the

regulatory devices they are enforceable, and they provide a

order were to conform with the principles set out in the DFA.

framework under which planning instruments can be authorised. Second, they are intended to prescribe the public realm and deal with

Further, Jones (2002) suggests that this system is based on the

relations between built elements while excluding certain aspects

interpretation of principles and not prescriptive mechanisms; and

such as ﬁre safety. Third, as they are applied at a broad scale, they are

that principles are derived from ideas of good planning. Also, to induce

abstract and a-spatial, as opposed to land-use zones. Lastly, principles

ﬂexibility, he proposes that the number of statutes affecting planning

reﬂect social values.

should be reduced and only merit-based assessments should be undertaken.

In the South African Planning context, reforms including the Development Facilitation Act (DFA)(1995) and the Green paper (1999) adopted a normative approach to planning, to enhance comprehensiveness, and reduce prescriptive controls (Jones 2002).

2 Literature review 2.4 Theme 3: Use of principles in the NSW planning system

Since the last few decades, the use of planning principles has been prevalent in the LEC to deal with matters excluded from the policies such as adaptive re-use of buildings and aesthetic considerations. To

This section focuses on the use of principles in the NSWPS, in particular, its use by the NSW Land and Environment Court (LEC), and its application in state policies. Further, since the NSW planning system has been a subject of sustained reforms in the last two decades (Gurran 2011), and has signiﬁcantly changed the way planning is approached, it is important to investigate if a principle-based approach is new to the system.

2.4.1 NSW LEC The LEC defines a planning principle as “a statement of a desirable outcome from a chain of reasoning aimed at reaching, or a list of appropriate matters to be considered in making, a planning decision” (NSW Department of Justice 2015). However, apart from this definition, there is no other definition of a planning principle in the NSWPS.

provide consistency in merit appeals, the court publishes and updates practice principles on its website. While principles are part of judicial procedures, LEC suggests that these are non-statutory and do not prevail over the planning instruments. This discretionary approach can be seen to have improved ‘ﬂexibility’ in the system as principles are derived from local circumstances, and in return, used to resolve disputes on a case by case basis.

2.4.2 Principle-based policies and frameworks SEPP 65 (State Environmental Planning Policy No 65 - Design Quality of Residential Apartment Development) legislated in 2002, was the ﬁrst principle-based instrument introduced to enhance the design quality of apartments (NSW government 2015a). It is supported by an Apartment Design Guide (ADG), which provides design criteria for proposals to achieve the design quality principles (e.g. context) 13

2 Literature review deﬁned in SEPP 65. Further, Design Review Panels, appointed by

Similar to SEPP 65, the NSW government (2020b) is currently

councils, advise on whether a proposal meets the design criteria and

drafting a Design and Place SEPP, which aims to enhance the overall

makes recommendations (NSW government 2015a). Through the

design quality of the built environment by setting a baseline for good

Design Veriﬁcation Statement, the proponent is mandated to

design, as opposed to SEPP 65. By creating principles and guidelines

demonstrate the relationship between the proposal and the

for design, it intends to reduce prescriptive measures to ensure

principles.

some

ﬂexibility and innovation. This approach is also adopted by other

recommendations made by Jones (2002) but is underpinned by

frameworks such as Greener Places 2020, which illustrates a recent

prescriptive requirements.

uptake of this approach in the NSW planning system.

However, SEPP 65 excludes other forms of developments (e.g.

2.4.3 NSW planning reforms

This

principle-based

approach

aligns

with

detached dwellings) and the principles reﬂect technical benchmarks and disregard socio-cultural preferences. Although ADG has a performance-criteria that is subjective and provides ﬂexibility, it has been criticised for being technocratic, and vulnerable to corruption (PIA 2014). Also, the demand for amenities through guidelines has increased the development costs on sites with low margins (Urban Taskforce 2017). Moreover, in the absence of review panels, council staff have occasionally rejected creative proposals as the staff lack

Reforms of 2008, 2013, and 2017 are considered important for this review as they brought significant shifts within the system (figure 3). These reforms including the ones in 2020 have been motivated by concerns about streamlining the system to enhance efficiency, and economic productivity, facilitate developments by cutting red tape, and reduce assessment timeframes (Ruming, K & Gurran, N 2014; NSW government 2020).

training to fully interpret and apply the guidelines (Hill Thalis 2014). 14

2 Literature review

2 Literature review In 2008, a technocratic and a prescriptive approach to planning was

Further, to achieve a clear line of sight, the White Paper proposed the

reinforced (following earlier reforms) by centralising planning powers

need for enshrining strategic principles in the legislation for them to

in the Minister and unelected expert panels (Lipman & Stokes 2008).

be reﬂected in planning policies and proposals. To streamline the

Although this helped increase certainty and consistency in the

planning process, reduce statues, and increase ﬂexibility - ten

system, it reduced local capacities, ﬂexibility (Ruming 2011a; Steele

(non-statutory) planning policies (NSWPPs) were to replace multiple

& Ruming 2012), and room for innovation. The reforms did not

SEPPs. It also introduced code assessable developments to fast track

consider any broader principles of strategic land-use planning and

developments. These proposed changes reﬂect the concept of

instead replaced the value system that focused on environmental and

principle-based planning as suggested by Jones. However, these

democratic principles with efﬁciency and professionalism (Lipman

concepts were not furthered in the Planning Bill 2013, which only

and Stokes 2008).

broadly mentions the identiﬁcation of principles for strategic and infrastructure plans (section 3.3 (2)), indicating that these reforms

To overcome the drawbacks of the previous reforms, the 2013

failed to demonstrate a detailed implementation mechanism.

reform moved towards a strategic approach by proposing a new planning system and legislation through the release of Green Paper

Though the 2013 planning reforms received criticism and were

2012, White Paper, and Planning Bill 2013 (ﬁgure 3). These reforms

overhauled, it paved the way for strategic planning and community

focused on the use of a principle-based approach, enhancing

participation through the 2017 reforms. Strategic planning is now a

community

core component of the planning framework, that is mandated

participation,

simplifying the system.

re-empowering

local

councils,

and

through the regional, district, and local strategic frameworks and the

2 Literature review role of communities has increased through Community Participation Plans (NSW 2017). Now in 2020, the Planning minister envisions a shift towards a principle-based approach (O’Sullivan 2020) to achieve similar goals of the 2013 reforms.

Table 2: Comparison of principle-based planning in premodern and modern contexts (Data source: Jones 2002, Alfasi 2017) Parameters of the principle-based approach

Socio-cultural values

Nature of principles

-Mostly ‘unwritten’ and few cases explicitly documented -Evolved naturally on a case by case basis -Non-comprehensive and informa

-Implicitly guide policies and legislation, and are recently made explicit in few frameworks -Formal

Immediate neighbours, community and religious leaders

Technocrats, politicians, architects

Process type

Democratic

Technocratic

Scale of application

Neighbourhood level

National/State level

-Informal ‘mutual agreements’ -Discretionary decision-making process -Self-regulated

-Both discretionary and non-discretionary decision making -highly regulated through planning legislation

Local-level

National and state levels

approach to planning is not new in both international and NSW planning contexts. Further, the approach adopted in the premodern context varies to that of the modern context (table 2). Moreover, to

Actors

deal with the complexities of the rapidly growing built environment there have been multiple shifts in planning approaches and have been summarised

ﬁgure

Although the move towards a principle-based approach is promoted

Modern Context

Content of principles

2.5 Summary of literature review Based on the above discussions, it is clear that a principle-based

Premodern context

Governance type

by Alfasi (2017), Jones (2002) and the NSW government (2020), due

Ideas of ‘good planning’

to its beneﬁts and potential, the term ‘principle-based planning’ has not been deﬁned clearly, and the workings of such a system in its pure

Governance level

form has not been explored. 17

2 Literature review 2.6 Critical analysis

Further, to address the gaps in the literature, there is a need to critically examine the approach to establish its role and investigate its

From the literature review, it can be seen that the rationale for

relationship with aspects such as ﬂexibility, certainty, and innovation. This will further provide grounds to formally deﬁne principle-based planning with these aspects and detail prerequisites to make the

planning has been a response to issues at household, neighbourhood and later urban and regional levels. With a shift in scale, the nature of issues also evolved from being clear cut (e.g. sanitation) to being

system work in its pure form to achieve the same.

highly complex (e.g. social equity). Consequently, the scope of planning has extended to social, economic and environmental Premodern context (until 19th century)

Modern context (from 19th century to present)

Flexible place-based arrangements. Need for comprehensiveness to deal with the vast urban crisis

Need for comprehensiveness, ﬂexibility, certainty, consistency and innovation

1. Principle based planning

2. Statutory land use planning

3. Strategic planning

4. Principle based planning (statutory + strategic components)

Figure 4: Evolution of planning approaches in the last two centuries Data source: Alfasi 2017; Source: Author 18

2 Literature review spheres, and there is a dire need for a planning system to deploy a regulatory device that can cater to the broad range of issues, and

Technical requirements (e.g. height restriction)

balance complex risks. Building on the premise set by Jones (2002) and Alfasi (2017), a fundamental advantage of using principles lies in their content (ﬁgure

Content of land-use zones

5), i.e. they can represent both socio-cultural values and ideas of good planning. Together, this makes them both abstract and technical. Also, being a-spatial and expressing the desirable outcome enables them to be comprehensive, as they can deal with a variety of aspects

Ideas of good planning

from different disciplines such as design and sustainability. Further, their dynamic quality can induce desired ﬂexibility as they can be interpreted differently to address challenges across scales and make

Socio-cultural values

decisions. Given the ability of principles, they qualify as a building block of a modern planning system and placing them at the apex i.e. in Content of modern principles

planning legislation as a regulatory device can help realise their full potential and be a common point of reference for all elements of the system.

Figure 5: Difference in content of land-use zones and principles Source: Author 19

2 Literature review Further, based on the debates in the relevant literature, the primary attributes associated with certainty and flexibility are shown in figure 6. Also, the relationships between these aspects have been illustrated in figure 7, indicatively.

Certainty

Statutory components

Innovation

Consistency

Diversity and pluralism

Top down control

Flexibility

Room for interpretation

Technocratic-non-discretionary processes

Democratic and discretionary processes

Prescriptive codes and tick-box assessments

Room for negotiation and allowance for alternate forms of development

Figure 6: Attributes associated with certainty and ﬂexibility Source: Author 20

2 Literature review Case 1 - More certainty, less ﬂexibility

Case 2 - Less certainty, more ﬂexibility

Technocratic

Democratic

Technocratic

Statutory instruments

Non-statutory instruments

Statutory instruments

Vision & Objectives

Built environment

Democratic Non-statutory instruments

Vision & Objectives

Built environment

Cone of possible developments

Certainty Consistency

Flexibility / interpretive Planning capacity for assessment

Cone of possible developments Certainty Consistency

Flexibility / interpretive Planning capacity for assessment

Figure 7: Relationships between attributes associated with certainty and ﬂexibility Source: Author 21

2 Literature review In ﬁgure 7, the black line running across the centre indicates a

An ideal approach would strive to balance and embrace both

planning system, which starts with a vision and objectives (left) and

ﬂexibility and certainty. This is challenging, however, as certainty

ends with the built environment (right). The red dot on the line

shares a negative correlation with ﬂexibility, thus increasing one

distinguishes the statutory components with the non-statutory ones.

would decrease the other. As the formal basis to planning has evolved

For instance, the statutory components (left of the red dot) is linked

to accept community participation in the decision-making process

with technocratic prescriptive codes, certainty and consistency. So,

and balance socio-cultural, economic, environmental, and

as the number of statutes increase in the system the associated

technical changes (Gurran 2011), ﬂexibility should take precedence

parameters increase with it.

to facilitate and implement strategic visions.

Based on this arrangement, emerges a cone of possible developments

Further, through ﬂexibility, a system should have provide room to

(indicated by the green dashed lines) that are acceptable by the

bear the subjective interpretation of the planning frameworks, as

system, and indicate the room for ﬂexibility, which in return shapes

opposed to the rational approach. This implies that alternative forms

the built environment. Figure 7, demonstrates that increasing the

of developments must be predicted, encouraged and considered. By

statues in a system would decrease ﬂexibility, innovation and the

estimating the outcomes in the built environment through

room for democratic decision making, and as a result, produce

predictability, the degree of ﬂexibility in a system can be controlled.

matchbox buildings. Whereas moving the red dot to the left, will

Therefore, more than certainty, predictability of a system should be

increase room for innovation and negotiation, and encourage

prioritised with ﬂexibility. Also, a higher degree of predictability will

alternate forms of developments based on their merits.

most likely ensure a moderate level of certainty.

2 Literature review 2.7 Case studies The South Australian and England planning systems have been

2.7.1 Case study 1- South Australian planning system (SAPS)

selected for the study. The rationale for their selection is threefold:

SA adopted a modern planning system in 2016, under the

ﬁrst the cases being a national and an international example

overarching planning legislation: Planning, Development and

respectively, helps explore principle-based approaches in different

Infrastructure Act 2016 (PlanSA 2020). It includes principles of good

jurisdictions which operate at different levels; second, their systems

planning under section 14 of part 2 and enables a planning and

have either embedded principles in their main planning legislation or

development system that is supported by a suite of statutory

the broader policy framework; third, the systems have undergone

instruments (PDI Act 2016). The seven principles provide a

major reforms in the last decade to consolidate and simplify the

framework and have a statutory function. However, since the source

system using principles.

of principles have not been mentioned it is difﬁcult to understand the value system as well as the conceptual framework of good planning on

Additionally, it was found that South Australia underwent major

which it is based. Also, the content of the principles is to an extent

reforms in the year 2016 (PlanSA 2020) for similar reasons to that of

prescriptive and inclined more towards technical aspects (e.g.

NSW reforms in 2013 and 2020 and is the only Australian state that

investment facilitation) than societal aspects. Further, as the new

has embedded principles in legislation.

system will only be fully operational this year, its impact on the development processes will only be known in the coming years.

2 Literature review 2.7.1.1 Structure

State Planning Policies (SPP) and Regional Plans

The structure of the SAPS (ﬁgure 8) comprises multiple elements

The SPPs framework also include categories of the Principles of Good

including statutory and strategic frameworks. In the descending

Planning which are then translated into objectives and policies (ﬁgure

order of power, the planning authorities include the planning

9). Further, the individual SPP’s include principles for the statutory

minister, State planning commission, Joint Planning Board and the

instruments. For instance SPP 1- Integrated planning includes seven

councils (PlanSA 2020). The governance structure is simpliﬁed due to

more principles (ﬁgure 10). Further, these together set the direction

the limited number of planning bodies, which were a result of the

for Regional Plans. For this study, only The 30-Year Plan for Greater

consolidation of multiple authorities under the new Act (PlanSA

Adelaide 2017 has been reviewed and includes 14 principles.

2020). However, local authorities are given the least amount of power which will affect the ﬂexibility of decision making.

Planning and Design Code (PDC) and Design Standards (DS)

Further, community participation is legislated through the Community

The PDC is the single source of planning policy for assessing

Engagement Charter (section 44 of PDI Act), a principle-based charter

development applications across the state and it sets out

that provides ﬂexibility to councils in choosing the right type of

comprehensive controls and classiﬁcations which are used by a

engagement method (PlanSA 2020). This indicates room for

relevant authority to assess developments (PlanSA 2020). The DS has

democratic decision-making in the system across levels (ﬁgure 8).

not been prepared yet; however it aims to support PDC by prescribing ways that the public realm or infrastructure should be designed using principles. 24

2 Literature review Overarching framework for South Australia’s planning and development system

State level State Planning Policies (SPP)

Sets out the overarching goals for the state and requirements for the planning system

16 SPPs Community engagement charter

Statutory land use planning Performance-based planning

Principle-based planning

Planning Development and Infrastructure Act 2016

Regional level

Regional Plans Eg: The 30 year plan for Greater Adelaide 2010

Provide the long term vision for regions or areas about the integration of land use, transport, infrastructure and public realm

11 Regional Plans Planning and Design Code

Statewide + local level

Statutory frameworks

Sets out the policies, rules and classiﬁcations for the purpose of development assessment and related matters for the state

Design Standards

Outline design principles, and speciﬁcations for infrastructure and the public realm. These can be linked to overlays in the Code or apply to infrastructure and/or offset schemes.

Practice Directions and Practice Guidelines

Assist with the interpretation, use or application of Planning and Building Rules; Assist in specifying procedural requirements or steps in connection to any matter arising

Statutory + Strategic frameworks

Strategic and statutory frameworks are integrated in the system

Guidelines

Figure 8: Structure of SAPS Data source: PlanSA 2020; Source: Author

2 Literature review This approach will simplify and streamline the system by replacing

the document as the basis for controls rather than fully relying on

the bulky development plans and provide a comprehensive

zoning. Broadly, this indicates a shift away from the prescriptive

framework for development while avoiding duplication of statues.

measures to performance-based outcomes making it a dynamic,

Further, it broadly focuses on the built form and uses policies across

consistent and semi-open system.

Principles of good planning SPPs based on the principles

Long-term focus

Urban Renewal

High-quality design

Activation and livability

Sustainability

Investment facilitation

Integrated delivery

Integrated Planning

Design Quality

Adaptive Reuse

Biodiversity

Climate Change

Housing Supply and Diversity

Cultural Heritage

Primary Industry

Employment Lands

Mineral and Energy Resources

Strategic Transport Infrastructure

Energy

Coastal Environment

Water Security and Quality

Natural Hazards

Emissions and Hazardous Activities

Figure 9: Principles of good planning and SPPs in SAPS Source: PlanSA 2020 26

2 Literature review SPP 1

As seen from the content of principles and policies in these ﬁgures, a

Integrated Planning

direct link between the overarching planning principles in the Act, SPPs, sub-principles and sub-policies in SPPs, and the principles in the Regional Plan has not been clearly established. Further, there is

Purpose

no mention of principles in the PDC. This lack of a line of sight and horizontal integration makes it difﬁcult to navigate the planning

Objective

system. Additionally, multiple principles at different levels can create confusion, making it difﬁcult to achieve one vision and balance

Policies (11)

Principles of Integrated Planning (7)

priorities, while reducing the weightage of principles in the Act. Principles for Statutory Instruments

Moreover, as principles are statutory, increasing them might perpetuate the cumbersome nature of the system as well as affect

Balanced decision-making, Intergenerational City shaping Support for infrastructure investment Certainty of land supply Adaptability Supporting population growth

Regional Plans

ﬂexibility. Also, like statutory instruments, Practice Directions and Guidelines are not tested against principles for compliance, reducing

The Planning and Design Code

the overall effect of principles.

Figure 10: SPP 1 - Structure and principles Source: PlanSA 2020 27

2 Literature review 2.7.1.2 Development assessment

ﬁt controls rather than the opposite. Consequently, the impact of principles is fully lost to this end of the system and thus limits

Under the PDC, the planning rules include zones, sub-zones, overlays

innovation.

and general development policies, and assessment pathways (ﬁgure

performance-based mechanism cannot be fully realised as it is

Also,

ﬂexibility

induced

the

principles

and

11). Further, the community input based on the nature of development is shown in figure 12. Assessment managers assess minor developments (e.g. adding entry porch), whereas, a Council Assessment Panel and in few cases, the planning minister assess large complex projects (e.g. port) against the Code (figure 13). As seen, the public input is restricted for all developments except a few including performance and impact assessed. A combination of prescriptive and performance-based assessment mechanisms has been undertaken to regulate developments. This can be considered a better alternative, as it induces a certain degree of consistency and flexibility, than having only the former which would make the system restrictive. However, only a few developments under “performance assessed” criteria are assessed on merits against the PDC and not principles, pushing developments to

Figure 11: SAPS - Assessment pathways Source: PlanSA 2020 28

2 Literature review curtailed by the large number of prescriptive measures that are seeking a top-down control. Moreover, the governance appears to have inclined more towards a technocratic approach, in which the need for public input is either decided by the authorities or the PDC.

Figure 12: SAPS - Community input based on the nature of development

Figure 13: SAPS - Consent authorities for development assessment

Source: PlanSA 2020

Source: PlanSA 2020 29

2 Literature review 2.7.2 Case study 2- England planning system (EPS)

common reference point and enhances a line of sight. However, the translation of the principles into making the policies to achieve

England adopts a plan-led discretionary system (Carmona et al. 2003),

desired outcomes is lost, due to the lack of grouping policies under

and primarily has two functions at the local level including

relevant principles. For instance, the principles of garden city (ﬁgure

plan-making, and development management (UK govt. 2015). The

15) seem independent of the policies, due to the lack of correlation of

legislation primarily comprises the Town & Country Planning Act

any of the broad policy categories. Hence, although the framework

(1990) and the Planning & Compulsory Purchase Act (2004), amongst

has embedded principles, it is not implemented effectively.

others (Friends of the Earth 2020). There are no planning principles embedded in these legislative documents, and the desired outcomes

Table 3 shows all the authorities involved in the planning system and

and the addressal of matters of national signiﬁcance remain

their role. Through the Localism Act 2011, the planning system is

unexplained.

designed to be applied by local planning authorities and communities

2.7.2.1 Structure The structure of the EPS is shown in ﬁgure 14. The NPPF sets out national policies based on principles such as design, transportation and sustainability and these principles trickle down to the other elements of the system (ﬁgure 15). This has helped consolidate multiple policy documents into a single document that acts as a

by legally enabling them to produce neighbourhood plans (UK govt. 2015). However, in the case of London, the Mayor and the Secretary of State have power to determine planning applications of potential strategic importance (UK govt. 2015) and can overrule local authorities, indicating a top-down approach. Moreover, using a Statement of Community Involvement (SCI), a local authority lay out conditions to engage with the public in preparing a plan, and how it will undertake consultation for planning applications. 30

2 Literature review European Law

European Directives and law directly inﬂuence UK land use, planning legislation and regulations,

Town & Country Planning Act (1990) Planning and Compulsory Purchase Act 2004

Primary UK legislation that enables the creation of planning instruments

Continental level

Plan-led discretionary planning Principle-based planning

National level

Regional/ subregional level

National Planning Policy Framework (NPPF)

Policies form a framework for producing localised plans and development orders, and are ‘material consideration’ in deciding planning applications.

Regional Plan / Spatial Development Strategy (e.g London Plan)

provide policy levers which borough councils must consider when formulating their Local Plans and when deciding planning applications Local Plans are the key documents through which local planning authorities can set out a vision and framework for the future development of the area

Local plan Local level (development plans) Neighbourhood plans

Statutory frameworks

Strategic and statutory frameworks are integrated in the system

communities can prepare plans with real legal weight and can grant planning permission for the development they wish to see through a ‘neighbourhood development order’.

Statutory + Strategic frameworks

Figure 14: Structure of EPS Data source: UK govt. 2015; Source: Author

2 Literature review A development plan (statutory) for an area can include Local and

All development plans embed strategic and statutory components

Neighbourhood Plans and, Joint Strategic Plan and Spatial

together, which would seemingly balance ﬂexibility and certainty

Development Strategy. Planning authorities may also produce

respectively. However, the statutory signiﬁcance of all the plans

non-statutory supplementary planning documents (SPDs), to address

suggests the role of a plan to be regulative than strategic. As a result,

certain matters, such as design or affordable housing (UK govt.

certainty, consistency and rigidity are the likely outcomes of this

2015).

approach.

Planning Principles in NPPF

National planning policies

Advocates design principles

Promoting sustainable transport

Principles for sustainable development

Garden City principles

Delivering a sufﬁcient supply of homes

Building a strong, competitive economy

Ensuring the vitality of town centres

Promoting healthy and safe communities

Promoting sustainable transport

Supporting high quality communications

Protecting Green Belt land

Meeting the challenge of climate change, ﬂooding and coastal change

Conserving and enhancing the natural environment

Conserving and enhancing the historic environment

Facilitating the sustainable use of minerals

Making effective use of land

Achieving well-designed places

Figure 15: EPS - Principles in NPPF Data source: UK govt. 2015; Source: Author 32

2 Literature review Table 3: EPS - Planning authorities and their role (source: UK govt. 2015)

Spatial Development Strategy (SDS)

Authorities (in order of power)

Role

The London Plan, an example of SDS, provides detailed policies and

Mayor

Planning applications of potential strategic importance, in particular, the London Plan

principles applicable to development plans and applications. Principles are included within multiple categories such as objectives and policies (two samples are shown in table 4). As opposed to the

Secretary of State

Planning Inspectorate

Decisions on Nationally Signiﬁcant Infrastructure Projects (NSIP) and a few locally signiﬁcant projects and development consent orders

Administration of applications for nationally signiﬁcant infrastructure projects on behalf of the Secretary of State and examination of the Local Plan and supporting documents. Also, appeals are made to and heard by the Planning Inspectorate who deals with appeals on behalf of the Secretary of State.

NPPF, the London Plan integrates principles under each policy making it a highly integrated framework which would result in integrated solutions at a city level.

Local Plans (LP) LPs and planning documents (e.g. Local Development Order (LDO)) provide a framework for guiding decisions on individual planning applications and include design guides and advice notes particular to contextual attributes (UK govt. 2015). These together contribute to

Local authorities - County councils, District, borough or city councils, Parish or town councils

Administers much of the planning system, preparing Local Plans, determining planning applications and carrying out enforcement against unauthorised development

enhancing certainty and have simpliﬁed the system for a developer. However, the principles under an LDO can be different as to SDS which can create duplication and affect the line of sight. 33

2 Literature review Table 4: Principles under categories in the London Plan 2017

Neighbourhood Plans (NP)

(source: Mayor of London 2015) Categories

(1.54) Objectives

POLICY 4.7 Retail and Town Centre Development

Principles

● “A city that meets the challenges of economic and population growth ● An internationally competitive and successful city ● A city of diverse, strong, secure and accessible neighbourhoods ● A city that delights the senses ● A city that becomes a world leader in improving the environment ● A city where it is easy, safe and convenient for everyone to access jobs, ● opportunities and facilities ● the scale of retail, commercial, culture and leisure development should be related to the size, role and function of a town centre and its catchment ● retail, commercial, culture and leisure development should be focused on sites within town centres, or if no in-centre sites are available, on sites on the edges of centres that are, or can be, well integrated with the existing centre and public transport ● proposals for new, or extensions to existing, edge or out of centre development will be subject to an assessment of impact”.

NP’s are created by town councils and in some cases the community itself to guide development in their neighbourhood (UK govt. 2015). These policies and principles under an NP (e.g. sustainable design) are created and customised specific to local attributes and provide communities with a unique opportunity of planning their neighbourhood based on their needs. Consequently, this induces significant flexibility at the local level for both decision-makers and proponents. However, a plan higher up the order can overrule an NP indicating hierarchy and top-down control. Further, communities and businesses can use Neighbourhood Development Orders (NDOs) and Community Right to Build Order to give automatic permission for the specific types of development that align with the set principles without the need for developers to submit a planning application (UK govt. 2015). This appears to be highly beneficial as the proponents save costs incurred due to assessment and highly flexible as communities

rely

mutual

agreement

and

discretionary

decision-making processes. 34

2 Literature review 2.7.2.2 Development assessment

Table 5: EPS - Assessment pathways (Data source: Friends of the Earth 2020)

The broader presumption set by the NPPF is that any application that

Type of development

aligns with the sustainable development principles are allowed (UK govt. 2015). Although all development applications are assessed based on merits, they are still subject to conditions and limitations

Minor developments

Consent Pathway

Process

Do not need planning Permitted developments permission locally and already are in line with the development plans

that control development impacts. Further, these applications have three pathways for consent (table 5). However, any application that contravenes the Development Plan is much more likely to be refused (UK govt. 2015).

Minor developments + include scope for material considerations

Prior approvals

Permitted developments that need to address other material considerations and negotiate to enable acceptable developments

Although the process at a broader level intends to permit most of the developments, it contrarily assesses all applications against the statutory plans. It can then be inferred that, despite the lack of prescriptive measures at the local level to assess developments, proposals being forced to conform to development plans can act as a restrictive mechanism.

Major Standard pathway developments and planning proposals

A planning committee makes decisions on applications against the development plans, the NPPF and other material considerations (if any) such as local design codes that include principles

2 Literature review 2.8 Comparative analysis of SAPS and EPS

principles are systematically integrated and can provide consistency, they can fail to induce the desired ﬂexibility for decision-makers.

To embrace both ﬂexibility and consistency, SAPS and EPS adopt a

Together, these systems fail to exploit the full potential of a

hybrid system. The ﬁrst half of SAPS inclines towards a

principle-based approach.

principle-based approach, whereas the second half towards statutory land use planning, and performance-based planning (ﬁgure 8).

The line of sight is lost for both policymakers and assessment

Whereas EPS adopts a combination of a principle-based approach,

managers due to multiple principles in policies and the absence of

statutory land use planning, and strategic planning, across the system

principles in the assessment mechanisms respectively. Additionally,

(ﬁgure 14). Both systems have various strengths and weaknesses

the ﬂexibility for both decision-makers and proponents is limited as

(table 6).

the power is retained at the state level and the majority of developments are assessed against the code. Also, both systems can

Further, both the systems have deployed large numbers of statutes

be considered mostly ‘rigid’ and less ‘adaptable’ as there is no

that affect planning, use plans and codes to regulate with a

mechanism to revise and update either the overarching principles or

hierarchical authoritative structure and prioritise certainty over

the PDC, based on changing global and local trends. Further, based on

ﬂexibility, and therefore qualify as ‘conforming’ systems. Moreover, in

the synthesis of the strengths and weaknesses of the hybrid systems,

the case of SAPS, although the reform focused on reducing red tape

a list of transferable strategies and learning outcomes have been

and streamlining the system, this mixed approach might be equally

formulated (table 7) that are further adapted in the prerequisites of a

cumbersome and difﬁcult to navigate like the previous approach. In

principle-based system and

the case of EPS, although multiple strategic policies and

system.

the recommendations for the NSW

2 Literature review Table 6: Strengths and weaknesses of SAPS and EPS (Data source: Author) Categories SAPS Strengths The entrenchment of principles in the main legislation

EPS The entrenchment of principles in the NPPF and consolidation of policies into themes A simpliﬁed governance structure with one planning authority at every Devolving certain power to local authorities and communities to create level neighbourhood plans and make decisions A community engagement charter spanning across levels SCI for community engagement at the local level Use of transition managers to help adopt the new system The system is adaptable at the local level through Neighbourhood Development Orders (NDOs) and Community Right to Build Order Both emphasise on merit-based assessment for non-conventional proposals Weaknesse There are too many prescriptive codes Multiple overarching legislation without principles and objectives fail to s provide a clear direction for the system Despite the implementation of the community charter, the approach It is a technocratic approach because, except the local level plans, inclines towards a more technocratic decision making communities are not involved in the plan-making and decision making processes The line of sight is lost for both policymakers and assessment managers The line of sight is lost due to the omission of principles in the legislation due to multiple principles in policies and absence of principles in the PDC and introduction of multiple policies and principles across levels and assessment mechanisms respectively The ﬂexibility for both decision-makers and proponents is limited as largely the power is retained at the state level and the majority of developments are assessed against the code or the development plans and not principles These systems can be considered mostly ‘rigid’ as there is no mechanism to revise and update either the overarching principles or policies, based on changing global trends

2 Literature review Table 7: Transferable strategies and learning outcomes from the hybrid systems (Data source: Author) Categories Source of principles Structure and placement of principles

Governance

Assessment mechanism Community engagement

Transferrable strategies Principles of good planning and sustainable development

Learning outcomes Clearly deﬁne the source, categories and role of principles

From SAPS- Entrenchment of principles in the main legislation to Principles should be entrenched in both overarching legislation and local guide the system. In all aspects of the planning system, principles must plans to retain a clear line of sight and cater to contextual attributes and be taken into consideration and thus have a statutory function community needs From EPS- Entrenchment of principles based on local attributes in the local/neighbourhood plans to full community needs EPS - Add sub principles to help narrow the focus of the overarching Balance the statues in the system by balancing the number of principles principles and guidelines to help decision-makers with interpretation while providing ﬂexibility From SAPS & EPS- Mechanism to adopt regional and local trends in Introduce a mechanism to make structure adaptable to both global and the plan- and decision-making local trends From SAPS - One planning authority at every level From SAPS- Transition managers at the local level to help adapt to the new system From EPS- Increase the room for democratic decision making by devolving power to local levels From EPS and SAPS - Merit-based assessment Assess the maximum number of developments on their merits and against principles, not codes or plans From SAPS - Principle-based charter to provide ﬂexibility to authorities to choose the right mode of engagement From EPS- SCI 38

Source: Unsplash-Raj n.d.

III Principle-based planning system

3 Principle-based planning system (PBPS) Based on the literature review, principle-based planning can be deﬁned as a formal process of managing land uses and the development of the built and natural environment, to achieve overarching principles. To facilitate and manage developments, a system that adopts this form

● Balance technocratic and democratic decision making across all levels of governance ● Be more adaptable by being responsive to the changing socio-cultural values and technical possibilities

of planning will use principles as the fundamental building block and rely on the interpretation of the principles to create policies, instruments and assess proposals. Besides, not all principles will apply to a context. Based on the scale of the project, applicable principles might be of differing importance and in cases be very generic requiring multiple interpretations to make planning

3.1 Prerequisites The prerequisites required for the successful implementation of principle-based planning in its pure form are grouped into subsections as follows:

decisions.

3.1.1 Nature of principles

Additionally, principle-based planning system seeks to:

Principles should:

● Focus on the means and the end (i.e. procedural aspects and outcomes), to respond to the urban complexities and produce the desired environment while ensuring ﬂexibility in the planning process

● be sourced from ideas of contemporary and indigenous planning practices, and global practices ● strike a balance between technical aspects of planning and socio-cultural values of the context ● be qualitative, abstract and a-spatial

3 Principle-based planning system (PBPS) 3.1.2 Structure

● At the apex of the system, the legislation hosts the overarching strategic vision and principles, as a common point of reference

The recommended structure of the PBPS is shown in ﬁgure 16. The key elements include:

for the creation and management of instruments (ﬁgure 17) ● Supporting the overarching principles, national/state strategic policies are based on scientiﬁc inputs and directly address

● The overarching planning legislation which enables the creation of key elements of the system such as principles, planning

matters of national/state signiﬁcance. They also provide outcome-based targets for instruments down the order

instruments, contribution schemes and guidelines. It is based on

● Strategic regional plans and city/district plans, host vision and

a value system that reﬂects environmental and democratic

policies for their respective geographic areas, targets, detailed

ideologies

plans, implementation and monitoring strategies with key

● Strategic elements form a core component of the planning

performance indicators

framework mandated through the legislation. Strategic and

● The content of strategic plans and guidelines should strike a

statutory elements should be combined under single holistic

balance between being too broad and too detailed to bear

policies (ﬁgure 17) to produce comprehensive solutions and

interpretation and accept change, which implies that alternative

provide a clear line of sight

forms of development and land uses will be considered. Also, the

● A principle-based charter for community participation is

strategic plans should demonstrate the relationship between the

entrenched in the legislation to provide ﬂexibility to authorities

land it applies to and the surrounding areas, as they would

at all levels to choose the right mode of engagement

inﬂuence each other

3 Principle-based planning system (PBPS) Global frameworks

Socio-cultural values

Planning legislation (principles) National / state level Planning Policies (PP)

Regional level

Regional Plans

City plan / district plan

Local level

Feedback loop to revise principles based on changes in local context

Strategic and statutory frameworks are integrated in the system

Local / suburb plan (sub principles)

Guidelines (baseline standards)

Figure 16: PBPS structure Source: Author

Strategic frameworks

Statutory + Strategic frameworks

Guidelines 41

3 Principle-based planning system (PBPS) Overarching vision Overarching principles (statutory) Embedded in the main planning legislation

National / state level

Policy themes (e.g. Liveability) Policies (strategic) Outcome-based Targets

Regional level

Vision for region Plans and detailed strategies Outcome-based Targets Vision for city / district Plans and strategies Outcome-based targets Vision for local area

Local level

Sub-principles (statutory) speciﬁc to local context Embedded in the local planning instruments Plans and detailed strategies Outcome-based targets Guidelines and baseline standards

Horizontal and vertical integration between principles and policies is prioritised for comprehensive strategic planning

Figure 17: PBPS - Detailed structure Source: Author 42

3 Principle-based planning system (PBPS) ● Local planning instruments host sub-principles that focus on

3.1.3 Governance

matters of local signiﬁcance and include similar components as city/district plans. These are supported with detailed guidelines to provide baseline standards for design and other aspects of the built environment. Guidelines should be considered as a

The recommended nature of governance is outlined below: ● In the order of priority, statutory principles, strategic policies and plans, and guidelines form the basis for decision-making

‘descriptive’ extension of the principles at the local level and must

● A strong distinction is set between the technocratic and

be place-based. These are further used to tailor principles to site

democratic parts of decision making. To make the system

and place characteristics, allowing decision-makers to make

competent

case-speciﬁc predictions

investigations, formulation of principles and targets, technical

deal

with

complexities:

research

and

● System reforms must be carried out at regular intervals to

interpretation of the relationships between principles, strategies

update the principles in the main planning legislation, based on

and proposals, and setting requirements for contribution

community

schemes comprise technocratic parts of decision making.

feedback

and

environmental,

economic

technological changes (eg. Airbnb) in the local context

and

Whereas, providing regular feedback for the formulation of policies and voting through public participation comprises the democratic part of decision making ● Adopt the principle of horizontal and vertical subsidiarity which implies devolving power to the local authority while maximising ﬂexibility for democratic decision-making (ﬁgure 18)

3 Principle-based planning system (PBPS) ● A single planning authority at each level is established with assigned functions to achieve policy integration and a clear line of sight, reduce duplication and dilatory effect ● Decision-making processes within each of those levels must be discretionary to provide room for negotiation ● Genuine public participation is a strong requirement for the State

successful implementation of this system

Power

● The system will be successful if reviewed regularly independent

Local Role Administration + Development assessment

Role - Administration + Policy making + Development assessment

of the political cycles to keep up with emerging trends and accommodate different development pressures

3.1.4 Planning and development management The

recommended

planning

and

development

management

guidelines are outlined below: ● All developments are managed based on their own merits within the established strategic vision

Figure 18: PBPS - Governance structure Source: Author

● proponents are required to demonstrate compliance with principles through design statements 44

3 Principle-based planning system (PBPS) ● The development rights are assigned as a non-binding policy

● The committee can create multiple planning panels based on the

reference that must be assessed in conjunction with the strategic

number of projects and assign relevant experts to each panel

framework

based on the nature of the project. It is mandatory to have

● Guidelines host recommended scenarios based on the character of a neighbourhood and are tailored to the nature of the

communities that are impacted as an integral part of the decision-making process

development. The scenarios are detailed based on form-based forms of developments must be predicted, encouraged and considered to promote innovation

1.Exempt developments

Minor developments

No consent required

● Three development management pathways are shown in ﬁgure 19. A list of minor developments within scenarios is published that do not need consent. Whereas for pathways two and three, proposals are to be assessed by a multi-disciplinary committee

2.Accepted developments

As per recommended scenarios

Consent required

(for each jurisdiction) which has the approval functions and makes decisions based on considerations while taking inputs from various parties as shown in ﬁgure 20

3.Principles assessed developments

Assessment of new scenarios

Consent required

Merit based / Assessed against principles

codes and recommended land uses. This implies that alternative

Figure 19: PBPS - Assessment pathways Source: Author 45

3 Principle-based planning system (PBPS) ● In cases where there is ongoing debate due to legal complexities,

● The performance criteria set within building codes have to be

a commissioner should be added to the planning committee to

met to receive a development consent. Also, consent conditions

resolve the issues. This removes the requirement of a separate

require the developer to upgrade the development every time

judicial body to solve planning issues

the benchmarks change. The resulting costs incurred by the developer due to these changes are considered as a form infrastructure contribution

Considerations

Other parties

Planning principles (local)

Proponents / developers

policies

Multidisciplinary Planning committee + Commissioner (in few cases)

Preceding decisions and interpretations

Neighbours + objections

Third parties (in few cases)

Figure 20: PBPS - Multi-disciplinary committee for assessment pathways two and three Source: Author 46

3 Principle-based planning system (PBPS) ● Undesirable forms of development should be assessed in the

3.1.5 Roles and responsibilities of planners

planning committee, where planners should defer the decision and help proponents produce alternatives that comply with

The change in roles and responsibilities of planners is set out below:

guidelines and principles. Also, provision must be made for an

● The fundamental difference to the past is that planners in local

applicant to demonstrate that a policy is outdated, because the

councils are required to plan and set strategic objectives aligned

shift in development trends will, in all probability, be faster to

with the overarching local principles and community needs

those of the policy review periods ● The committee should be directed to publish its reasons for the approval of an application, and in doing so, relate the decision

● Apart from assessing developments on merits, planners will be involved in interactive policy formulation, monitoring and review (Jones 2002).

taken to the interpretation of the plans and principles. This

● Moreover, in practice, professional planners will have to

results in establishing precedents based on various local

continually update their understanding of various scenarios

scenarios and will induce certainty and predictability to some

under which developments are being approved/deferred and

extent

contemplate alternatives for new development scenarios

● The committee discussions and agreements will reassure the

● Academically, cadet planners will have to be trained to develop a

validity of local principles and will make it possible to adjust the

skill set of viewing developments through multiple lenses as they

guidelines to speciﬁc circumstances and change, amend and

would eventually work in interdisciplinary environments (Jones

develop them with time

2002). ● Senior planners as transition managers will be required across levels to help adapt to the new system. 47

Source: Unsplash-Aakash n.d.

IV Recommendations for NSW system

4 Recommendations for NSW planning system (NSWPS) The program logic to achieve the desired outcomes for the NSWPS is

3.1.2 Structure

shown in table 8. The recommendations stated below are targeted to

● The existing structure has separate statutory and strategic

the NSW planning minister and state planning ofﬁcials to enable the

elements which are recommended to be integrated as seen in the

transition of the NSWPS into a pure form of the PBPS. Further, ideally

new structure (ﬁgure 21).

all the prerequisites are recommended for the NSWPS, however certain important aspects have been detailed below.

3.1.1 Nature of principles

● DPIE to ﬁrst group multiple SEPPs under single holistic SEPPs (e.g. Housing Diversity SEPP) and second, these holistic SEPPs must be grouped under broad strategic themes (e.g. liveability) accompanied with outcome-based targets. Feedback loops must

● The NSW Planning Minister and the Department of Planning,

be established at all levels and be informed by community, and

Industry and Environment (DPIE) to incorporate an overarching

environmental (e.g. climate change) and technological changes

strategic vision for NSW and principles in the Environmental

(e.g. Airbnb) (ﬁgure 22).

Planning and Assessment Act 1979 (EPA&A 1979) that reﬂect ecologically sustainable development, practices of indigenous communities (e.g. Aboriginal practices) and global frameworks such as sustainable development goals. ● DPIE to embed a principle-based charter for community engagement in the EPA & A 1979.

3.1.3 Governance and development management ● Planning reforms should be undertaken to shift power down the order from DPIE to local councils and the governance structure should be changed as shown in ﬁgure 23. ● Form-based codes and alternate forms of development must be added as predicted scenarios in the DCP. Approved scenarios should regularly be updated in the DCPs. 48

4 Recommendations for NSW planning system Table 8: Program logic for recommendations for NSWPS (source: Author) Program objective: Ensure a transition of NSW planning system in to a principle-based planning system to achieve desired ﬂexibility, certainty and innovation, and streamlining of the system

Problem statement

The current NSW planning system: - is inﬂexible and restricts innovation -lacks a clear line of sight

Inputs

People: Planning minister, State and local level senior and cadet planners, other qualiﬁed organisations such as PIA, Urban Taskforce and community groups. Research & evidence of principle based planning from other jurisdictions

Short-term outcomes 0-2 years

Medium-term outcomes 2-5 years

Review of existing Planning, planning instruments to minister,State and local integrate and planning ofﬁcers streamline the system

EPAA to include: -Ecologically sustainable development principles

Increase in development approvals that reﬂect principles and showcase innovation

Conduct research and training programs for planners to provide recommendations for the new system

Cadet planners, PIA, Urban Taskforce and other organisations

-Integration of statutory and strategic frameworks

Shortlist professionals to be a part of the committees

Professionals from all sectors such as economists, sociologists, planners

Outputs: Activities

Outputs: participation

Investigate the Commissioners Assumptions: Genuine participation from all stakeholders and the implications of communities, consistent delivery of the set goals, similar political climate, principles-based system dissolving the can LECaddress the complexity of the built environment and research in favour of PBPS

Long-term outcomes 5-7 years

Enhanced ﬂexibility in the decision making and development management

Built environment Trained planners who reflects innovative work as both policy developments makers and -Horizontal and vertical development managers Increased confidence in subsidiarity with most the planning system power to local councils Integrated frameworks with clear Streamlined and -Establish implementation and efficient planning multi-disciplinary monitoring strategies system committees at state and local levels Fully functioning External factors: Changing political cycles and demographics, community principle-based and developer opposition planning system

4 Recommendations for NSW planning system Aboriginal values Global frameworks (e.g. SDGs)

State level

EPA&A 1979

State Environmental Planning Policies Regional strategic plans

Regional / District level

Overarching principles

State Environmental Planning Policies

(SEPP)

Local level

EPA&A 1979

Feedback loop

Regional plans

Strategic policies with outcome based targets

City District Plans District plans

Local Environmental Plan

Local Strategic Planning Statements

Development Control Plan

Local level Strategies Statutory frameworks

Strategic frameworks

Statutory + Strategic frameworks

Local Environmental Plan

Sub principles Capturing local trends

Development Control Plan

Baseline standards and recommended scenarios

Guidelines

Figure 21: The existing NSWPS structure (left) and the recommended structure (right) Source: Author 50

4 Recommendations for NSW planning system Overarching vision in EPA &A 1979 Ecological sustainability development principles State level

Policy themes (e.g. Liveability) Holistic SEPPs (strategic) Outcome-based Targets (e.g. 30% social housing in 20 years)

Feedback loops

Vision for Greater Sydney Region Plans and detailed strategies

Regional level

Outcome-based Targets Vision for Eastern City district Plans and strategies Outcome-based targets Vision for City of Sydney area

Local level

Sub-principles (statutory) speciﬁc to local context Embedded in the LEP Plans and detailed place-based strategies Outcome-based targets Guidelines with baseline standards Embedded with the DCP

Figure 22: NSWPS detailed structure Source: Author 51

4 Recommendations for NSW planning system Existing arrangement Planning minister Approval for SSD/SSI

State level

DPIE Planning + Approval function Greater Sydney Commission (GSC)

Regional level

Local level

Community groups

Planning panels at regional, city and local levels

Planning function Local councils

Feedback

Approval + Administrative + planning function

Approval function

NSW LEC

Judicial function

New arrangement

State level

Less capacity and power

Local level

More capacity and power

Planning minister + DPIE + GSC

Community groups

Commissioners (if need for few projects)

Planning function

Commissioners (if need for few projects)

Approval + Administrative + planning function

State planning committee (multidisciplinary) Local councils (planning and development management panels)

Community groups

Local planning committee (multidisciplinary) Figure 23: NSWPS recommended governance structure Source: Author 52

V Conclusion

Source: Unsplash-Eggzy n.d.

5 Conclusion Literature shows that principles played an important role in the

the inherent dynamics of society. This is primarily attributed to the

development of premodern settlements for centuries across

abstract, qualitative, and a-spatial nature of principles.

continents such as Europe and Africa. Eventually, in the modern context, the approach was replaced with statutory land use planning,

It was found that by reducing the number of statutes in a system,

which was rational, comprehensive, and top-down to deal with urban

ﬂexibility and innovation can be achieved, but certainty would reduce

issues. However, it was criticised for being restrictive, inadequate in

due to its negative correlation with ﬂexibility. However, as there is

dealing with the complexities of the built environment and excluded

room for subjective interpretation of principles and acceptance of

communities from the decision-making process. Further, to overcome

alternative forms of development, it induces a higher degree of

its shortcomings and cater to the widening role of planning, different

predictability. Moreover, with principles being the only common point

planning

of reference at the apex of the system to guide and manage all

approaches

emerged.

elements of a system, a clear line of sight can be achieved. A principle-based approach to planning has re-emerged in the recent decades particularly in NSW, based on the assertion that it can

Further, the research claims that the potential of principles can be

overcome the drawbacks of the current system and achieve the

unlocked only if planning institutions implement a pure form of PBPS

desired ﬂexibility, certainty and innovation. The research shows that

with suggested prerequisites. Also, it requires the system to adapt to

principle-based planning has the potential to produce a sustainable

the changing socio-cultural and development trends rather than

built environment with a balanced decision-making mechanism and,

forcing them to ﬁt the set framework. Moreover, the perspective of

relink the planning mechanisms with the socio-cultural values and

managing developments rather than development assessment can

5 Conclusion help achieve the overarching principles, as every proposal can be

needs a major reversal of the role of planners who will be more

altered to meet all ends. Therefore, it can be a better alternative to

engaged in interactive policy formulation, monitoring and analysis

the current NSWPS, only if it is adopted in its pure form.

than in the appraisal of development applications. These challenges can be dealt with, by necessitating transitional managers and training

Although the NSWPS can achieve its desired goals and certainty to an

programs to enable a smooth transition. However, like any other

extent, until PBPS is fully implemented, there is an intrinsic risk that

system, PBPS comes with its limitations:

current statutes will lead to a principle-based approach being eroded to the undesirable prescriptive approach. Also, it can fail if the statutes are not reduced to a minimum. Reducing statues can be

● As it requires proponents and planners to work closely with no prescriptive requirements, it is susceptible to corruption

perceived as deregulation of the system to facilitate more

● Complex projects can take much longer to get an approval;

developments, only meeting economic goals, however, the new

therefore, assessment timeframes cannot be standardised. This

approach intends to equally meet the social and environmental

can lead to opposition, and reduction of conﬁdence in the system.

objectives.

● A transition might lead to a reduction in job opportunities for current planners, as only those who have high skill sets and the

A complex set of administrative arrangements will most likely

experience of working in multidisciplinary work environments

emanate from such radical changes and require the expansion of

can be a part of PBPS

planning capacities. Parallelly, as it is solely based on interpretation of principles to accommodate alternate forms of developments, it

5 Conclusion ● As it is highly subjective, it can be challenging to balance decision-making in committees, which can result in being a highly technocratic exercise reducing the voice of the community ● Alternate forms of developments proposed by the committee might increase development costs Theoretically, this research should only be considered a starting point for discourse within this ﬁeld of planning. This new approach has the potential to be a better alternative to current approaches and through further research, supporting evidence can help make a stronger case to fast track the implementation of PBPS and regain the community's conﬁdence in the planning systems.

VI Bibliography Source: Unsplash-Seb n.d.

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6 Bibliography Lipman, Z & Stokes, R 2008, The technocrat is back: Environmental land-use planning reform in New South Wales, www.parliament.nsw.gov.au, viewed 13 October 2020, <https://www.parliament.nsw.gov.au/committees/DBAssets/InquirySubmission/Summary/36267/Submission%2079%20(appendices).pdf>. Mayor of London 2015, The London Plan, London City Hall, viewed 5 March 2020, <https://www.london.gov.uk/what-we-do/planning/london-plan>. Moroni, S 2010, ‘Rethinking the theory and practice of land-use regulation: Towards nomocracy’, Planning Theory, vol. 9, no. 2, pp. 137–155. Moroni, S 2014, ‘Complexity and the inherent limits of explanation and prediction: Urban codes for self-organising cities’, Planning Theory, vol. 14, no. 3, pp. 248–267. NSW 2017, Environmental Planning and Assessment Amendment Act 2017 No 60, viewed 13 October 2020, <https://www.legislation.nsw.gov.au/view/html/inforce/current/act-2017-060>. NSW Department of Justice 2015, Planning principles, www.lec.justice.nsw.gov.au, viewed 9 September 2020, <http://www.lec.justice.nsw.gov.au/Pages/practice_procedure/principles/planning_principles.aspx>. NSW Electrol Commission 2020, State by-elections, Nsw.gov.au, viewed 9 September 2020, <https://www.elections.nsw.gov.au/Elections/Past-elections/State-elections>. NSW government 2020, Planning reforms, www.planning.nsw.gov.au, viewed 5 September 2020, <https://www.planning.nsw.gov.au/Policy-and-Legislation/Planning-reforms>. NSW government 2015a, Better apartments, Nsw.gov.au, viewed 13 October 2020, <https://www.planning.nsw.gov.au/Policy-and-Legislation/Housing/Better-Apartments>. NSW government 2020b, Planning System Acceleration Program, www.planning.nsw.gov.au, viewed 5 September 2020, <https://www.planning.nsw.gov.au/Policy-and-Legislation/Planning-reforms/Planning-System-Acceleration-Program>.

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6 Bibliography Rivolin, U 2008, ‘Conforming and Performing Planning Systems in Europe: An Unbearable Cohabitation’, Planning Practice and Research, vol. 23, no. 2, pp. 167–186. Rogers, D & Gibson, C 2020, ‘Unsolicited urbanism: development monopolies, regulatory-technical ﬁxes and planning-as-deal-making’, Environment and Planning A: Economy and Space, p. 0308518X2095242, viewed 15 October 2020, <https://journals.sagepub.com/doi/10.1177/03>. Ruming, K 2011a, ‘Creating Australia’s best planning system? Private sector responses to NSW planning changes’, Australian Planner, vol. 48, no. 4, pp. 257–269. Ruming, K 2011b, ‘Cutting red tape or cutting local capacity? Responses by local government planners to NSW planning changes’, Australian Planner, vol. 48, no. 1, pp. 46–57. Ruming, K & Gurran, N 2014, Australian planning system reform, viewed 5 September 2020, <https://www-tandfonline-com.ezproxy1.library.usyd.edu.au/doi/pdf/10.1080/07293682.2014.896065?needAccess=true>. State Planning Commission 2019, STATE PLANNING POLICIES FOR SOUTH AUSTRALIA Prepared by the State Planning Commission on behalf of the Minister for Planning, viewed 29 October 2020, <https://plan.sa.gov.au/__data/assets/pdf_ﬁle/0005/552884/State_Planning_Policies_for_South_Australia_-_23_May_2019.pdf>. Steele, W & Ruming, KJ 2012, ‘Flexibility versus Certainty: Unsettling the Land-use Planning Shibboleth in Australia’, Planning Practice and Research, vol. 27, no. 2, pp. 155–176. Talen, E 2009, ‘Design by the Rules: The Historical Underpinnings of Form-Based Codes’, Journal of the American Planning Association, vol. 75, no. 2, pp. 144–160. Tichelar, M 2019, ‘The new enclosure: the appropriation of public land in neoliberal Britain’, Contemporary British History. UK govt. 2015, January 2015 Department for Communities and Local Government Plain English guide to the Planning System.

6 Bibliography Unsplash n.d., Photo by Laura Cros on Unsplash, unsplash.com, viewed 12 November 2020, <https://unsplash.com/photos/KtJy7cZV5OQ>. Unsplash-Aakash n.d., Photo by Aakash Mehta on Unsplash, unsplash.com, viewed 30 November 2020, <https://unsplash.com/photos/e_fgCxhLmqU>. Unsplash-Eggzy n.d., Photo by Eggzy Pallet on Unsplash, unsplash.com, viewed 30 November 2020, <https://unsplash.com/photos/dyMfI-jeZ3c>. Unsplash-Jamie Davies n.d., Photo by Jamie Davies on Unsplash, unsplash.com, viewed 30 November 2020, <https://unsplash.com/photos/Hao52Fu9-F8>. Unsplash-Kewal n.d., Photo by Kewal on Unsplash, unsplash.com, viewed 30 November 2020, <https://unsplash.com/photos/TkEBaFrYJ_g>. Unsplash-Raj n.d., Photo by Road Trip with Raj on Unsplash, unsplash.com, viewed 30 November 2020, <https://unsplash.com/photos/J61Sh5YrQho>. Unsplash-Seb n.d., Photo by Seb Zurcher on Unsplash, unsplash.com, viewed 30 November 2020, <https://unsplash.com/photos/r5ibM0gMdIQ>. Urban Taskforce 2017, SEPP 65 and Residential Flat Design Code being reviewed, Urban Taskforce, viewed 13 October 2020, <https://www.urbantaskforce.com.au/sepp-65-and-residential-ﬂat-design-code-being-reviewed/>. Webber, MM 1969, ‘Planning in an Environment of Change: Part II: Permissive Planning’, The Town Planning Review, vol. 39, no. 4, pp. 277–295, viewed 12 October 2020, <https://www.jstor.org/stable/40102639?seq=1>.

PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI PLAN9049 Foundations of Informal Urbanism | ASSESSMENT 2 | SID 490497874

Image source: PLAN9049 S.W 2019

Question/Task 1: Using Lebak Siliwangi as a case study, define the dimensions of self-help housing and opportunities to support such processes and activities. Include in your answer an analysis of social, economic and physical/relationships, opportunities, constraints and limitations to upscaling/formalising self-help housing, actors involved, etc.

Indonesia

| Introduction and a brief background Self-help housing in Indonesia constitutes 80 percent of the total housing development (UNHRC 2013) and is closely linked to the Kampung (urban village) - a core component of informal urban settlements (Jones 2019). Using the case study of the Kampung - Lebak Siliwangi (figure 1, table 1), the essay analyses the nature, types and dimensions of self-help housing predominantly using John F.C Turner’s work. Moreover, it examines the socio-economic and physical inter-relationships, and concludes with opportunities to support these processes and limitations of upscaling and formalising them.

Bandung city Bandung zoo

Table 1: Details of case study area: Kampung Lebak Siliwangi (Data source: Jones 2019)

Site ITB

Irrigation channel

Site Location Area Neighbourhoods

North Bandung, Coblong district, Indonesia +/- 8.6 ha 4 neighbourhood units (RW 5,6,7,8)

Demography (2015) Population Households Sex ratio Occupations Nature of people Income groups

4,240 persons 1,080 0.97 (2,098 males, 2142 females) Home businesses, small scale businesses, street hawkers Migrant families and university students Medium and low-income groups

Cikapundung river Coblong district

Plesiran street

Figure 1: Case study area - Kampung Lebak Siliwangi Source: Adapted from group 3 work, 2020 PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

| Self-help Housing Self-help housing is a process in which houses are built by the dwellers themselves with no technical assistance (Jones 2019). Low-income households and vulnerable groups choose this form of housing due to a lack of stable income and affordable housing, no financial assistance, and mainly due to development controls that are exclusionary in nature (Turner et.al. 1972). Contrary to the top-down formal structures, such informal processes follow a ‘self-regulated’ bottom-up approach. Similarly, the sequence of procurement processes for informal housing starts from moving on to unserviced land, building a house and later obtaining a land title (figure 2). The dweller-controlled nature of the process makes it highly flexible, spontaneous, autonomous and responsive (Turner et.al. 1972). Further, self-help housing can be categorised as: incremental self-help housing, organised, and assisted self-help housing based on their characteristics (figure 3). However, here, the focus is on incremental self-help housing - the primary mode of housing in Kampung Lebak Siliwangi.

Figure 2: Sequence of procurement processes for formal and informal housing Source: McLeod and Mullard 2006

| Dimensions of incremental self-help housing Generally, the primary dimensions of housing include location, tenure and shelter (Turner et.al. 1972) however in the case of incremental self-help housing there are additional dimensions to be considered such as availability of resources, ownership type, goals and strategies of households to adapt to contextual changes (figure 4). These dimensions form the basis for the incrementation process that includes acquiring land, and extending, improving, and servicing dwellings, through small scale increments. Naturally, the users (‘popular sector’) themselves are the ‘principal actors’ of the entire process and undertake many roles such as the designer, builder and project manager. Further, they create the demand based on their felt needs, values and desires and meet them based on the extent to which they are willing to invest their resources (Turner et.al. 1972); it then becomes imperative to navigate the process of incrementation from their perspective.

Figure 3: Types of self-help housing and their characteristics Source: Turner et.al. 1972

Using the incremental adaptive processes, the households fulfill their social and economic needs by altering the physical setting. For example, in Lebak Siliwangi, in order to shelter their offspring, households densify within their plot by dividing their lands and creating new houses (figure 5). PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Figure 4: Dimensions of incremental self-help housing Source: Author, Turner et.al. 1972 3

Figure 5: Social system as a determinant for the incremental process Source: Adapted from group 3 work, 2020

This changes the former access to the house, and has spatial implications on the surrounding households. Similarly, intensification of a house through addition of retail space to increase household income can result in a unique physical expression of the form and enhance the social setting. For instance, small increments such as temporary outdoor seating, drop down bamboo shutter are added to the existing windows that serve to be multifunctional by providing light, ventilation and become shop fronts (figure 6). Since these processes are household-driven, unique to each household, they are non-linear and occur simultaneously. Further, as time progresses a complex web of socio-economic and physical relationships which are both interdependent and independent, produce diverse physical geometries (figure 7). These relationships influence the connection between the dweller and the house, and evolve as the dwelling itself is altered through incrementation (Turner et.al. 1972). PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Figure 6: House with retail space in Kampung Lebak Siliwangi

Figure 7: Self-built houses with mutiple physical expressions

Source: PLAN9049 S.W 2019

Consequently, for ‘progressive development’ of both the houses and the households, the externalities generated from the small scale increments inform and drive subsequent increments through the feedback loop (figure 4) in the ‘reiterative process’. These processes being unpredictable, adaptable, dynamic, and transformative, going through periodic cycles of change unveil self help housing settlements as a ‘complex adaptive assemblage’ (adopted from work of Deleuze and Guattari, Dovey). Evidently, housing should then be considered as a ‘verb’, as Turner suggests, to understand it as an on-going and evolving process as opposed to conceiving it as a commodity/product that excludes the underlying value systems of the households.

| Types of incrementation and housing typology Incremental adaptive strategies alter the physical components of an assemblage through additions and renovations (Kamalipour and Dovey 2020) either individually or as a combination. The four main physical components of the assemblage comprise the built form (private), unbuilt form (private) i.e; space between the built form and the plot line, the fluid plot line (which can be building line) and the unbuilt form (public) i.e; spaces such as alleyways (figure 8). Also, the orientation of these components (figure 6) is directly influenced by the location of the house. Kamalipour and Dovey (2020) show possible combinations of the built components in a typology of incremental design as shown in figure 9. Further, these components and the typology form the base for an analytical framework (figure 10) developed for housing typology to reveal the inherent complexities, based on house location and interfaces for the Kampung. The built form and the plot line undergo incrementation in possible directions through densification and intensification. Increments such as walls, doors, windows are a part of the interface which are added to serve multiple functions of households and have been categorized as primary, secondary and tertiary sets based on household’s priority (figure 10).

Figure 8: Primary physical components of the assemblage and their orientation Source: Adapted from group 3 work, 2020

A correlation of the houses with their location and the resulting increments have been revealed using a housing typology which categorises houses into four types: houses along the river edge, houses with alleyways on both sides, houses with a retail space and houses around a public space (figure 11). The number of interfaces and types based on the location of the house informs the possible ways of incrementation. For example in typology 1, a house located along the edge of the river on one side, abiding an alleyway on the opposite side has the potential to expand only into the alleyway and vertically based on available space and access. Moreover, the interplay of these increments contribute to the unique physical expressions and multiple geometries of the forms in the kampung (figures 6 and 7). These iterations are a combination of materials, uses, access to resources and chosen services. The multiplicity of these combinations have been captured in the Open services, uses, materials and resources network diagram (figure 12) (adopted from Turner’s Open services network concept), and show an unlimited number of combinations that households can choose from based on their will and needs. PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Figure 9: A typology of incremental design and construction in informal settlements Source: Kamalipour & Dovey 2020 5

Figure 10: Analytical framework for incrementation process Source: Adapted from group 3 work, 2020

PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Figure 11: Analytical framework for incrementation process Source: Adapted from group 3 work, 2020, Image source: PLAN9049 S.W 2019 PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Materials

Services

Resources

Uses + Built structure Temporary

Option 1

One combination of uses, resources, services and materials produces unique geometry. Images from the kampung show multiple geometries Permanent

Option n

Unlimited additions of these entities through process of incrementation

Figure 12: Open services, uses, materials and resources network diagram Source: Adapted from Turner’s Open services network concept PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Image source: PLAN9049 S.W 2019 8

| Opportunities to support self-help processes

| Limitations to upscaling and formalising self-help housing

Self-help housing processes can be supported by having an ‘open housing service sys-

Although, these self-initiated organic processes favour the urban disadvantaged they

tem’ (Turner et.al. 1972) that provides multiple dwelling options from which households can choose a suitable one (figure 12). The system must be based on a bilateral agreement between the rule makers and the dwellers, to ensure ‘existential freedom’ of the dwellers (Turner et.al. 1972). Further, the implementation of the agreements should be ordered and supported by institutionalised services that are easily accessible by all dwellers to help them use their own resources efficiently. Some of the other strategies that can not only support self-help housing but generate positive externalities across all spheres are shown below in table 2.

have limitations and adversely impact the quality of life of dwellers as seen in table 3.

Table 2: Strategies to support the self-help housing process (Data source: Wakely & Riley 2011) Strategies Inclusive development controls

Description Construction regulations allow ‘incremental housing’ solutions which will help the both private and public sectors to provide housing at a lower cost Financial schemes Provision of tenure protection and access to services can enable poor households to invest in housing and community growth through savings, thus sharing the cost of urban development with the government ‘Incremental housing’ Programs that provide only the essential parts of a house (such as programmes foundations and structure) will enable dwellers to complete the rest, based on the access to resources and will (Ex. Half A House Builds A Whole Community by Elemental in Chile) Community participation Programs that strive to enhance public participation in the design programs and implementation processes will ensure legal, safe, affordable and healthy dwellings. Since these would be facilitated by both private and public sectors, it will ensure transparency and accountability in decision-making Integrated housing policy To have a holistic approach to self-help housing processes, policy framework frameworks should include components such as (i) land and location, (ii) finance, (iii) infrastructure and services, (iv) beneficiary selection, (v) site planning and building controls and supports, (vi) community organisation and asset management, and (vii) citywide strategic planning PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Table 3: Limitations to formalising self-help housing (Data source: Wakely & Riley 2011) Limitations Challenging the status quo of both public and private sectors

Description To both private and public sectors, these approaches are controversial as they question traditional power structures and require them to devolve power to facilitate these processes

Assumed length of project Housing takes a long time to be fully realised and requires long-term and investment investment therefore visibility of success is hard to maintain Stringent development controls

Mandatory house designs and high construction standards make the process unaffordable.

Changing political climate Change in local politics have an immediate impact on the on-going housing programmes due to new management structures

| Conclusion Incremental self-help housing is the primary mode of housing production in the Kampung, that is affordable and highly dweller controlled. Further, the settlements are an outcome of various decisions accumulated over time and transform to be complex adaptive assemblages that are unpredictable and multi-dimensional in nature (Dovey, K 2012). Although there are various opportunities to support such processes, housing is better operated by the people who inhabit and organise their houses, rather than being collectively governed by top-down programmes (Turner et.al, 1972), as ‘no one size fits all’, and since they fail to understand the unique contextual challenges.

Question/Task 2(35%): Using Lebak Siliwangi as a case study, analyse the nature of the form and structure (such as patterns/differences/types and their social and economic drivers), and identify the implications of unregulated household driven change on forms and structure on kampung quality of life.

| Aim Figure 13: Aerial view of Kampung Lebak Siliwangi This essay examines the nature of Lebak Siliwangi’s (table 1) form, structure and the spatial implications of unregulated household driven processes on the form and structure, and their impact on the quality of life of the dwellers. The analysis includes identification of patterns, interface types, and differences, and their determinants.

Image source: PLAN9049 S.W 2019

| Nature of Kampung’s order, form and structure The urban morphologies and structure of informal settlements such as Kampung Lebak Siliwangi (figure 13) work based on incremental transformations of the built and unbuilt spaces. Order that governs these transformations are difficult to discern, due to their organic nature, unclear patterns of sequencing which result in irregular forms and structures, unlike the patterns of formal settlements. When examined from a ‘bottom-up’ lens that focuses on self-made rules, Kampung reveals a unique order. The existing physical form and spatial patterns are a resultant of the history of land use and development decisions, constestation of private and public spaces, small scale adaptations (Jones 2019), household values and socio-cultural norms. The urban structure of settlements refer to the pattern or arrangement of blocks, streets, buildings, open space, and landscape; whereas, the urban form refers to physical characteristics such as size, shape of urban components (Živković 2018). The natural landscape of Lebak Siliwangi (figure 1) comprises the prominent Cikapundung river on the western side and a sloping topography of 40m from east to west (figure 18a). This is attributed to the former use of land as rice paddy terraces which formed the skeleton and has shaped the topography and morphology of the settlement. Further, the land use of the area has undergone rapid transition from being rice paddy terraces to a range of mixed-uses (figure 17), residential, commercial, retail and recently boarding houses. These land use changes have led to spatial changes (figure 14, 15a,16a,17a). PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

1920-1930s

1940-1950s

1960-1990s

1990-2017

Figure 14: Spatial change through land use evolution in Lebak Siliwangi, 1920’s to 2017 Image source: PLAN9049 S.W 2019 10

Currently, the morphology includes built units comprising houses and plots, blocks and other social and religious infrastructure; the unbuilt units comprise alleyways (figure 16), perimeter roads, open spaces and irrigation channels (figure 15). Although less visible, the natural infrastructure such as trees also form a part of the morphology (figure 18).

The transformation of the former natural environment to the current built environment has continually attracted migrants due to reasons of affordability and transformed the settlement into a dense and diverse urban kampung (Jones 2019). The river along with the perimeter roads define the boundaries for the expansion of the settlement.

Unbuilt space

Primary alleyways

Residential

Built space

Secondary alleyways

Commercial Government Masjid

Communal Alleyway

Houses, plots Communal spaces

Figure 15: Plan: Proportion of built and unbuilt spaces (Source: Adapted from group 3 work, 2020)

Figure 16: Plan: Network of alleyways

Figure 17: Plan: Land uses

Figure 18: Plan: Natural infrastructure

(Source: Adapted from group 3 work, 2020)

Primary alleyways

40%

Secondary alleyways

60%

Unbuilt / ‘opportunity space’

Built space

Spatial distribution

Figure 15a: Proportion of built and unbuilt spaces (Source: Adapted from group 3 work, 2020)

Figure 16a: Proportion of built and unbuilt spaces (Source: Adapted from group 3 work,

PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Figure 17a: Proportion of land uses (Source: Adapted from group 3 work, 2020)

Figure 18a: Section A (Source: Adapted from group 3 work, 2020) 11

The internal expansion of the settlement is based on a utilitarian approach adopted by the dwellers based on values, needs and the available social and financial resources, leading to the development of buildings and alleyways before services, infrastructure and land tenure (Jones 2019). Further Jones (2019) suggested that the morphology of the urban form and structure is a result of the past and current land uses and the corresponding development decisions. This was augmented by the contestation of both public and private spaces, resulting in diverse interface types, and flexible alleyways. Also the densification and intensification of houses through incremental adaptive strategies has resulted in ‘free organic forms’, based on simultaneous and non-linear self-regulated processes (Jones 2019). The resulting multiple irregular geometries, complex in nature, reflect the aggregation of these small scale increments and co-evolving components of the settlements. Although, the physical complexity is visually seen through the spatial arrangements and the use of diverse materials, it reflects, matches and ‘feeds’ the socio-economic complexities, like any traditional settlement (Salingaros 2018). Moreover, formal government institutions exist and have influence in Lebak Siliwangi through the eight neighbourhood units (Rukun Warga (RW)) (figure 19) and administrative units (Rukun Tetangga (RT)), though there is no formal control through design standards and development approvals. This gives the dwellers freedom from the ‘top-down’ planning regulations. However, Suhartini and Jones (2020) have identified 2 types of self-made rules adopted in the Kampung: Defined rules (explicit, visual, oral and written, non negotiable) (figure 20) and Understood rules (implicit, ambiguous, verbal, negotiable) (figure 21) that are bottom up, and are used to meet the household needs.

Figure 19: RW division within the case study area of the Kampung Image source: PLAN9049 S.W 2019

Figure 20: Images showing ‘defined rules’ in Lebal Siliwangi

Figure 21: Images showing ‘understood rules’ in Lebal Siliwangi

Image source: PLAN9049 S.W 2019

PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

| Block patterns and spatial morphology At the neighbourhood level, the spatial morphology of the settlement can be broken down into irregular block patterns that repeat themselves. These patterns comprise different block sizes and shapes that are predominantly clustered, linear along the river, grid along the central areas, and curved linear in the northern portion of the site (figure 22). These represent ‘characteristic order’. (Jones 2019)

Pattern 1 : Curved linear

Pattern 2 : Cluster

RW 08

At the local level, the simultaneous incrementation of houses can occur vertically, horizontally or in both directions depending on the location of the plot. For example a house near the river can only expand vertically and into the adjacent alleyway (figure 11). Therefore, these blocks are living geometries that are loose, complex and highly interconnected with the surrounding structural elements (Salingaros 2018).

Pattern 3 : Grid RW 07

Accordingly the alleyways that surround the dwellings and frame the irregular blocks are the residual ‘left overvoids’ from housing development (Jones) used as public spaces. They provide access to houses and link the differently sized blocks and peripheral roads of Lebak Siliwangi, few of which are built on the perimeter walls of the historic rice paddy terraces. Based on their use, location, connection to key social infrastructure, topography and permeability they can be categorized as primary and secondary alleyways (table 4).

RW 06 Pattern 4 : Linear

RW 05

Figure 22: Exploded view of the RWs and block patterns Image source: Author PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Table 4: Types of alleyways and their characteristics (Data source: Jones 2019) Characteristics

Primary alleyways (figure 23)

Secondary alleyways (figure 24)

1.5-2 m

<1m

North-south

East-west

Bikes and pedestrians

Pedestrians

Socio-economic activities

High

Low

Width Orientation Modes of transport Abiding uses Level of Permeability

Figure 25: Process of ‘interface creep’ Data source: Jones 2019

Setback

Figure 23: Primary (Gangs stone) alleway

Figure 24: Secondary alleway

Image source: PLAN9049 S.W 2019

Further, the width of these alleyways and other unbuilt (public) portions of the settlements like communal spaces provide ‘opportunity space’ for housing to expand and modify their interface forms including the extension of their plot line into them (Jones 2019). The interests of both the private and communal actors are constantly defining the junction between the private built (houses) and public unbuilt forms (alleyways and communal spaces). This negotiated junction or the ‘interface creep’ creates varying widths and alignment of the alleyways (figure 25). Jones (2019), has categorised these interfaces into four primary types (figure 26). A combination of these types are adapted based on spatial possibilities. Elements such as doors and windows within these interface types are used by the households to meet their life ends. As a result, these spaces are in a constant state of change, remain fluid and flexible, and irregular in form. Consequently, these shifts compel other functions such as transportation, economic and social activities to adapt and transform. Thus, the manifested actions and adaptations at the household and the neighbourhood levels predominantly influence the expressed form and structure. PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Set above

Set forward

Aligned

Figure 26: Interface types Data source: Jones 2019, Image source: Adapted from group work 2020 14

| Determinants : Social, economic, ecological and governance

| Implications of unregulated household driven change on quality of life

As mentioned before, there are various determinants of the informal system that are quantitative (built, natural and the unbuilt components), and qualitative in nature (self made governance, socio-cultural and economic aspects, resident actions, incrementation process), that shape the unique order of the Kampung. Further, the interdependability and varying flows between these determinants due to multiple decisions make Lebak Siliwangi a complex adaptive assemblage (figure 27). However, cumulative incremental change beyond the threshold of the informal system, will move it past its tipping point from the existing regime to a new one.

Although Lebak Siliwangi is self-sustaining and resilient, it does have negative externalities across spheres as shown in table 5. Table 4: Types of alleyways and their characteristics (Data source: Jones 2019) Reason

Implications

Unlimited incrementation with no set standards for

Loss of light and ventilation, make

building heights and design

movement of people, goods and access to houses difficult

Unskilled labour and low level of craftsmanship

Decline in infrastructure and service quality

Environmental system

Unlimited incrementation into public spaces

Lack of public and communal spaces

Unlimited incrementation into unbuilt spaces and exist-

Environmental degradation

ing ecology, and disposal of garbage into the river Open sewages, improper disposal of dry and wet waste

Housing increments and spatial implications

Economic system

Lack of hygiene

and no treatment of the same Narrow roads with no proper infrastructure, lack of uni-

Lack of safety

versally accessible infrastructure, use of cheap and unsafe materials for construction No accessibility for fire trucks

Possible fire hazards

| Conclusion Demography

Governance and self-made rules

Social and cultural system

The Kampung’s physical order and spatial arrangements is less obvious and not easily distinguishable, but analytical tools such as types and typologies can help us decipher the inherent complexities, hidden rules, and principles governing the settlement. However, these tools do have limitations as they do not fully explain the overall nature of the settlement’s order. Distinct block sizes, patterns, alleyways shapes and alignments are the result of the ‘interface creep’ phenomena and the self made rules. Also, the complex adaptive assemblage is a product of multiple quantitative and qualitative determinants which cumulatively over time have transformed the settlement with both positive and negative externalities, and will continue to transform until they reach a tipping point.

Figure 27: Complex adaptive assemblage and its determinants Data source: Dovey 2012 PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

| References CHF 2004, Strategic Assessment of the Affordable Housing Sector in Ghana. Silver Spring, MD: CHF International. Dovey, K 2012, Informal urbanism and complex adaptive assemblage, International Development Planning Review, vol. 34, no. 4, pp. 349–368. Jones, P 2019, The Shaping of Form and Structure in Informal Settlements: A Case Study of Order and Rules in Lebak Siliwangi, Bandung, Indonesia, ResearchGate, ResearchGate, viewed 30 May 2020, <https://www.researchgate.net/publication/332561004_The_Shaping_of_Form_and_Structure_in_Informal_Settlements_A_Case_Study_of_Order_and_Rules_in_Lebak_Siliwangi_Bandung_Indonesia/link/5cd8c3aba6fdccc9dda6a859/download>. ‌McLeod, R., and K. Mullard. 2006. Bridging the Finance Gap in Housing and Infrastructure. London: ITDG Publishing. Kamalipour, H & Dovey, K 2020, ‘Incremental production of urban space: A typology of informal design’, Habitat International, vol. 98, p. 102133. ‌ LAN9049 S.W 2019, PLAN9049 Student Work, 2016-2019, canvas usyd, viewed 28 April 2020, <https://canvas.sydney.edu.au/courses/22210/files/9958452?P module_item_id=775584>. Salingaros, N 2018, ‘ADAPTIVE VERSUS RANDOM COMPLEXITY’, New Design Ideas, vol. 2, no. 2, pp. 51–61, viewed 11 May 2020, <http://jomardpublishing. com/UploadFiles/Files/journals/NDI/V2N2/SalingarosN.pdf>. Suhartini, N & Jones, P 2020, Signing into eresources, The University of Sydney Library, login.ezproxy1.library.usyd.edu.au, viewed 30 May 2020, <https://linkspringer-com.ezproxy1.library.usyd.edu.au/content/pdf/10.1007%2F978-3-030-06094-7.pdf>. ‌Turner, JFC & Fichter, R 1972, Freedom to build; dweller control of the housing process., Macmillan, New York. UNESCAP 2015, The State of Asian and Pacific Cities 2015 Urban transformations Shifting from quantity to quality, October, viewed 8 May 2020, <https://www. unescap.org/sites/default/files/The%20State%20of%20Asian%20and%20Pacific%20Cities%202015.pdf>. ‌ NHABITAT 2016, URBANIZATION AND DEVELOPMENT Emerging Futures WORLD CITIES REPORT 2016, viewed 8 May 2020, <https://unhabitat.org/sites/ U default/files/download-manager-files/WCR-2016-WEB.pdf>. ‌ NHRC 2013, Refworld | Report of the Special Rapporteur on adequate housing as a component of the right to an adequate standard of living, and on the U right to non-discrimination in this context, Addendum : Mission to Indonesia, Refworld, viewed 10 May 2020, <https://www.refworld.org/docid/52e0f5e7a. html>. Wakely, P & Riley, E 2011, ‘CITIES WITHOUT SLUMS The Case for Incremental Housing’, Cities Alliance Policy Research and Working Papers Series, no. 1, viewed 26 May 2020, <http://web.mit.edu/incrementalhousing/articlesPhotographs/pdfs/Case-for-Incremental-Housing.pdf>. ‌ ivković, J 2018, ‘Urban Form and Function’, Encyclopedia of the UN Sustainable Development Goals, pp. 1–10, viewed 28 May 2020, <https://link.springer. Ž com/referenceworkentry/10.1007%2F978-3-319-71063-1_78-1>.

PORTFOLIO | A CASE STUDY OF KAMPUNG LEBAK SILIWANGI

Image source: Unsplash, n.d.

Improving the safety of shared path users An advisory report to the City of Sydney Council

SID 490497874 | ITLS5100

Introduction

Problem analysis

Proposed solution

Financial viability and social responsibility

References

Image source: Unsplash, n.d.-a.

Contents

Introduction Image source: Unsplash, n.d.-c

1 Introduction

1.2 Context

The advisory report addressed to the City of Sydney Council aims

For the past two decades, the City of Sydney Council (CoS), Transport

to examine the issue of pedestrian-cyclist collisions on shared

for NSW and non-government agencies have been promoting walking

paths and provides solutions to increase safety of shared path

and cycling in order to encourage healthier lifestyles, alleviate road

users. Failure to address the issue can result in an increase of

congestion and provide for a more environmentally sustainable

medical expenses, aggression, physical violence and add to the

transport infrastructure (City of Sydney, 2016). Strategies such as the

negative connotation attached to shared paths resulting in

Cycling Strategy and Action Plan 2018-2030 (CSAP) are being used to

banning cycles in the local area.

meet the targets as shown in ﬁgure 1.

1.1 The issue There is a growing road safety issue of shared path users due to

Towards zero

possibility of pedestrian-cyclist collisions and a potential for the transport, increasing ageing population that is more susceptible

10%

to severe injuries (O’Hern and Oxley, 2015), densiﬁcation of the

Of all trips in local area

Zero road fatalities campaign

built environment with inadequate cycling infrastructure and the

Our Sustainable Sydney 2030

Transport for NSW

issue to increase, due to the growing uptake of active modes of

growing numbers of delivery agents (e.g. UberEats) who are generally associated with reckless riding.

Figure 1: Targets for cycling and road fatalities in the local area Data source: CoS, 2018; image source: Author 2

1 Introduction The current statistics and the future predictions for the local area

It is important that any changes to the road environment that

are shown in ﬁgure 2.

encourage increased pedestrian and cyclist interaction consider the vulnerability and functional ability of all road users to ensure that the burden of injury is not disproportionately held by vulnerable sub-groups within the population (O’Hern & Oxley, 2019). In other

nearly

30%

Of all residents either cycle or walk to work

nearly

40%

Increase in population by 2030

more than

60 km

Shared paths currently provide vital network

nearly

10%

Increase in total jobs by 2030

words, adopt ‘precautionary principle’ when dealing with pedestrians, who are the most vulnerable and unpredictable user group as compared to cyclists on shared paths (ﬁgure 3).

Less predictable and most vulnerable

Most predictable and less vulnerable

Figure 2: Current statistics and future predictions of local area

Figure 3: Scale of predictability and vulnerability in shared path users

Data source: CoS, 2018; image source: Author

image source: Author 3

Problem analysis Image source: Unsplash, n.d.-d

2 Problem analysis were observed, and the pedestrians interviewed reported having

Shared paths are preferred for the following reasons: ● Insufﬁcient space for on-road cycling facilities (Grzebieta et

experienced crashes (Hatﬁeld & Prabhakharan, 2016). Further, evidence-base from other comparable cities such as the UK and

al., 2011). ● To avoid leaving a network gap or pushing people to ride in

Melbourne helps understand the rate of collisions and resulting injuries and fatalities (ﬁgure 4).

the busy trafﬁc (CoS, 2018). ● Cheaper to construct compared to separated pedestrian and cyclist facilities and are warranted in locations where there is demand for both pedestrians and cyclists (Langdon, 2014). Evidence suggest that there are safety concerns for both pedestrians

and

cyclists

shared

paths

(Hatﬁeld

Prabhakharan, 2016), due to the increased interaction within the same space, however, Grzebieta et al. (2011) and the NSW government

(2015)

suggest

that

pedestrians

are

susceptible to injury/fatality as opposed to cyclists. Further, there

2500 collisions

13,436 collisions

In the UK from 2011-2016

In Melbourne from 2006-2016

Resulted in pedestrian casualty

Inner city area 47.1% 20 injuries /km2, 7.7% cyclists’ and 35.4% pedestrian injuries

is a lack of signiﬁcant research as there is no documentation of pedestrian-cyclist collisions from the year 2016 in the local area. However, based on a observational study in 2016, 5 near-crashes

Figure 4: Pedestrian-cyclist collisions in the UK and Melbourne Data source: UK Department for Transport London, 2018;O’Hern & Oxley, 2019; image source: Author 4

2 Problem analysis 2.1 Causes

● Lack of sight when cyclists and pedestrians travel in the same direction before passing each other (Hatﬁeld & Prabhakharan,

Research suggests that the pedestrian-cyclist injuries on shared paths

are

associated

with:

2016). ● Pedestrians changing positions on the path unexpectedly or when cyclists do not give pedestrians enough room (Hatﬁeld &

● High pedestrian movements (Garrard, 2009) and relatively

Prabhakharan, 2016).

high cyclist mode share (compared to the rest of the city) due to high land use densities (Pucher et al., 2011). ● Speed differential between cyclists and pedestrians (O’Hern & Oxley, 2019).

These ﬁndings are likely to be replicated in areas such as the City of Sydney with similar urban densities and growing cycling mode shares.

● Curvilinear and inadequate path widths (NSW govt., 2015). ● Pedestrians while boarding or alighting a vehicle (O’Hern & Oxley, 2019). ● Failure to adequately plan, design, build and maintain a facility based on the diversity of users (NSW govt., 2015) with inappropriate path position (Hatﬁeld & Prabhakharan, 2016). ● Irresponsible user behaviour such as distracted walking and over speeding of cyclists (Hatﬁeld & Prabhakharan, 2016).

2.2 Scale of the issue The scale of the transportation issue can be viewed with respect to two factors: the rate/number of collisions and the severity of the injuries resulting from those collisions. Due to the negligible rate of accounted collisions when compared to the collisions of pedestrians and cyclists with motor vehicles, it has been proven that pedestrians 5

2 Problem analysis and cyclist collisions are a rare event across Australian cities

● Despite the lower rate of hospitalisations,

the majority of

(Grzebieta et al., 2011; Haworth & Schramm, 2011; O’Hern &

collisions resulted in pedestrians sustaining head injuries followed

Oxley, 2019) associating it as transportation problem of lower

by knee and lower leg injuries (O’Hern & Oxley, 2019). Further, the

signiﬁcance.

same was not identiﬁed with respect to age groups which can obscure the true severity of the injury. For example, head injuries

However, due to the limited research as mentioned before, the

to children can impair them for life, or a leg injury to an older

severity of the issue can be assumed to have been undermined for

pedestrian

can

disable

them.

the following reasons: ● When considering injury severity scores for hospital admitted ● Research is based only on reported injuries derived from

patients, 20.1% of cases were deemed serious injuries, with the

analysis of hospital and police datasets and acknowledges

remaining 79.9% classiﬁed as other injuries (O’Hern & Oxley,

that there are considerable cases that remain unreported

2019), indicating that minor injuries can possibly increase with

(Grzebieta et al., 2011; O’Hern & Oxley, 2019) and thus

increase

users.

underrepresented across the NSW records (NSW govt., 2015). For instance, in Melbourne, only 155 (just over 1%) of

Collisions can also possibly cause severe mental trauma for

the 13,436 collisions were reported (O’Hern & Oxley, 2019).

shared path users affecting their perception and usage of shared

Consequently, a signiﬁcant number of minor injuries are

paths as research has always focused on physical injuries.

overlooked.

Proposed solutions Image source: Unsplash, n.d.-e

3 Proposed solutions The suggested solutions below approach the problem from three

● Predictive and risk assessment models based on empirical data

separate perspectives: design, usage factors and user behaviour,

should be developed to evaluate optimum path widths based on

and align with the recommendations put forth by the NSW

different conﬁgurations of pedestrian and cyclist volumes on

Government in the report: Shared Paths: Discussion of study results

shared paths (NSW govt., 2015).

and key safety concerns – August 2015.

● To ﬁll network gaps, transform footpaths to shared paths only if they meet the width criteria.

3.1 Design Shared path designs can be complex in nature as a combination of parameters such as path width, mode of separation need to be assessed and determined. The solutions include:

3.1.1 Path width ● The recommended minimum path width as per Austroads guidelines is provided in table 1. Appropriate path width is to be chosen based on trafﬁc volume and nature of use.

3 Proposed solutions

3.1.2 Modes, separation and materials Sections

● The three primary modes of separation are shown in ﬁgure 5. Where possible, segregated paths (within shared zone) should be provided as they are proven to be more successful (NSW govt., 2015). ● Develop a threshold chart to determine segregated paths based on volume and speed of cyclists (VIC, 2015). ● For narrow lanes (2.5m) with dual occupancy, centreline

Plans

delineation is the most effective lane treatment (NSW govt., 2015). ● Speed signage with centreline marking must be used, as centreline marking shares a positive correlation with higher cycling speeds based on observational studies (NSW govt., 2015).

X 2.5 m

Centre line marking Recommended when there is space constraint

0.5

Level separation Recommended when there is less space constraint

Separation using a barrier Recommended when there is sufﬁcient space

Figure 5: Modes of separation on share paths Data source:NSW govt., 2015; image source: Author 8

3 Proposed solutions ● To limit the proximity of bicycles to pedestrians, coloured pavement surfaces must be used for visual differentiation of bicycles and pedestrians (ﬁgure 6)(VIC, 2015).

Figure 6: Modes of separation on share paths Image source: alta, n.d.

● At shared paths and driveway junctions, seamless material connection for shared path users must be prioritised over motorists (ﬁgure 7).

Figure 7: Material connection - prioritise shared path users over motorists Image source: Rachele, 2017 9

3 Proposed solutions 3.1.3 Advisory signage ● To ensure full awareness of share path users at regular intervals, particularly on dual occupancy paths,

advisory

signages on the path must be used (ﬁgure x)(VIC, 2015). ● At intersections of shared paths and roads, appropriate warning lights, zebra-style/coloured or raised crossings, pavement markings and signals (VIC, 2015) are to be used. This is required to ensure that road users and cyclists are completely aware of the existence of an intersection (NSW govt., 2015).

3.1.4 Path usage type ● Usage type (eg. commuter, recreational) is an important consideration. For instance in parks, paths are used for recreational purposes, therefore provide dedicated walking paths and cycling paths separately while avoiding shared zones (NSW govt., 2015).

Figure 8: Advisory signage for shared paths Image source: VIC, 2015 10

3 Proposed solutions

3.2.1 Left-hand travel

● Using observational studies, data needs to be regularly

● Left-hand travel must be mandated for shared path users. Based on

collected to note the change in nature of usage. For example,

evidence, it is synonymous with safer behaviour for both cyclists

a path might be used for recreational (relatively slow cycling

and pedestrians, and any design element that indicates left-hand

and higher levels of walking) at weekends but used to get to

travel also represents a safer option (NSW govt., 2015).

work during weekdays (NSW govt., 2015). ● In areas with high numbers of senior homes or schools, converting footpaths into shared zones (Veith & ARRB Group,

3.2.2 Speed limits

2009), must be avoided, as safety and amenity are the priorities.

● Cyclist speeds have a direct implication on pedestrian and cyclist safety (NSW govt., 2015). Speed limits for cyclists must be

3.2 Use factors

established on the basis of the mode of separation by conducting research to understand the needs of cyclists and the consequences

Use factors refer to the operational characteristics of the shared

of speed using spatial criteria such as topography, land use and

path which include the left-hand travel and speed limits.

block sizes. ● In areas where the width of the path reduces signiﬁcantly and sight lines are lost, speed control measures must be used to enhance user safety (VIC, 2015).

3 Proposed solutions 3.3 Regulatory factors

● A code of conduct must be established that clearly calls attention to the need to ride at reasonable and acceptable speeds and to

● A rule must be created to keep all users on the left and penalise them for not adhering to the code and for exhibiting imprudent behaviour (VIC, 2015). ● Helmets and warning devices such as bells should be made compulsory for riders (LMCC, 2012). ● Bicycle lights should be made compulsory early in the morning, evening and night. ● Mandate regular maintenance of shared path infrastructure in particular signage, signals and street lights (VIC, 2015).

avoid distracted walking under all situations (LMCC, 2012). ● Like the Victorian government, the CoS Council should conduct annual monitoring to identify: ○ Regular crash spots ○ New user and technological trends ○ areas where existing shared paths do not meet the design requirements for current numbers of bikes and/or walkers and improve the infrastructure based on contextual parameters (VIC, 2015).

3.4 Improve user behaviour ● Like the ‘Share the Path’ education program conducted by CoS Council, more training programs should be conducted and campaigns to foster safe user behavior across all suburbs.

Image source: Unsplash, n.d.-f

Financial viability and social responsibility

4 Financial viability and social responsibility 4.1 Costs The solutions will incur minor infrastructure costs for centreline-marking, pavement symbols, signage and major costs such as additional pavement, property acquisition, labour charges, kerbing works for separated paths, tactile paving, lighting

and

contingencies

(LMCC,

2012).

4.2 Benefits As seen in table 2, benefits outweigh the costs. Also, as increasing safety will encourage children and old age users, it will result in equity benefits and positive community impacts. This is reflected in multiple cost-benefit analysis.

BCR range from 2.65 (CoS, 2018) to 3.61 (AECOM, 2010). In case the policy target of Our Sustainable Sydney is met, it would further result in a ratio of 9.14 (AECOM, 2010).

4 Financial viability and social responsibility 4.3 Funding source To deliver the project, maximise funding from TfNSW, Roads and Maritime Services, developer contributions,

Liveable Cities

Program, Sport and Recreation Community Grants, and NSW Bike Week. Also, aligned with Priority 1 Action 1.11 of CSAP, pursue multi-year funding arrangements with TfNSW (CoS, 2018)

4.4 Delivery model

Figure 9: Costs, funding, and revenues for capital grant subsidy scenario

Adopt a Public-private partnership model (PPP) to deliver the

Image source: Lawson et al., 2018

project on time. Treat the shared path project as need-basis infrastructure like any other social infrastructure (e.g. schools) as it provides beneﬁts across social, economic and environmental spheres. Unlike, other PPP models, maximise public funding and do not rely on private funds to meet social objectives. In other words, use a ‘capital grant’

model (ﬁgure 9) as opposed to

‘operational subsidy model’ (ﬁgure 10) (Lawson et al., 2018). Figure 10: Costs, funding, and revenues for operating subsidy scenario Image source: Lawson et al., 2018 14

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5 References UK Department for Transport London. (2018). UK Department for Transport Cycling and Walking Investment Strategy: Proposals for New Cycling Offences. Retrieved November 13, 2020, from UK Department for Transport website: https://www.gov.uk/government/publications/cycling-and-walking-investment-strategy Unsplash. (n.d.-a). Photo by Jonathan Jato on Unsplash. Retrieved November 12, 2020, from unsplash.com website: https://unsplash.com/photos/GE8MJERHfnQ Unsplash. (n.d.-b). Photo by Laura Cros on Unsplash. Retrieved November 12, 2020, from unsplash.com website: https://unsplash.com/photos/KtJy7cZV5OQ Unsplash. (n.d.-c). Photo by Markus Winkler on Unsplash. Retrieved from unsplash.com website: https://unsplash.com/photos/IrRbSND5EUc Unsplash. (n.d.-d). Photo by Okan Younesi 2 on Unsplash. Retrieved November 13, 2020, from unsplash.com website: https://unsplash.com/photos/SQBmc_ZiyN0 Unsplash. (n.d.-e). Photo by Okan Younesi 3on Unsplash. Retrieved November 13, 2020, from unsplash.com website: https://unsplash.com/photos/6Ig-99vsP3o Unsplash. (n.d.-f). Photo by Okan Younesi on Unsplash. Retrieved November 13, 2020, from unsplash.com website: https://unsplash.com/photos/UC498LXa9I4 Veith, G., & ARRB Group. (2009). GUIDE TO ROAD DESIGN Part 6A: Pedestrian and Cyclist Paths. Retrieved from Austroads Incorporated website: https://www.rms.nsw.gov.au/business-industry/partners-suppliers/documents/austroads-supplements/roaddesign_part6a-agrd-paths-walking-cycling.pdf VIC. (2015). Victoria Walks - Shared paths – the issues. Retrieved November 11, 2020, from www.victoriawalks.org.au website: https://www.victoriawalks.org.au/Assets/Files/Shared_paths