Andres Duany, the architect whose work is perhaps most closely associated with the New Urbanism movement in the United States, once described Raymond Unwin’s 1909 book, Town Planning in Practice, as “the best planning manual available.” For its aesthetic guidance, the quality of its writing, and the unique perspective of its time, it would be difficult to disagree.
The towns and cities of Unwin’s era—the late Victorian and Edwardian periods (1880-1910)—were often developed with an intense focus on efficient land use. Necessity drove this priority, but it also paid dividends in both beauty and practicality. The urbanism of the time also had another unique quality: it reflected the dizzying impacts of modern industry—including mass production, mass transportation, and commercial wealth—on the free-form traditions of town-building that Europe and its diaspora had refined since classical antiquity. For a better understanding of how modern town-building might incorporate the wisdom of the past, there is no more important period to study. And it would be hard to find a more thorough and clear introduction than Unwin’s century-old Town Planning.
Unwin’s 416-page volume is the product of a unique moment in planning history. Its timing endows it with a valuable perspective from which we may reflect on our own moment in the urban tradition. In Britain, where Unwin lived and wrote, and in the United States as well, the upheaval that had characterized urban growth in the late Victorian period was suddenly becoming subject to much greater analysis, criticism, and—importantly—law. Unwin’s work sought to influence the new and growing web of legal devices that played a key role in the transformation that was taking place. As Unwin was writing, governments were assuming greater powers over land development; reformers were pursuing cooperative organizations and founding garden cities; and a confident cohort of planners was fashioning new theories and approaches with an eye toward shaping a less accidental urban future. (Unwin himself was instrumental in developing the Hampstead Garden Suburb outside London.)
World War I had not yet shattered the idealism that prevailed in the West about the human ability to invent its way out of trouble. Unwin’s Town Planning is a snapshot of this cacophonous moment: his vision of urbanism is steeped in the beauty of old Europe and the possibilities of turn-of-the-century wealth; his critiques reflect an incredulous reaction to the ugliness of the pollution and poverty that characterized the darker side of urbanism at the same time.
Early in Town Planning, Unwin offers an extensive and detailed series of case studies of urbanism in the Western tradition—a survey of historical planning practices all the way up to those of his own time. This background establishes a context for the rest of the book.
He begins with the Italian colonies of ancient Greece, and the influence of Hippodamus, the first famous planner of the classical world. Unwin writes that Hippodamus sought to impose regularity on the Greek tendency to follow the contours of the land. He offers the gridded layout of Selinus in Sicily as a prime example of this influence. Unwin also includes examples from the classical East, including the Colonnade at Palmyra and the Temple of Diana at Ephesus. He discusses the forums of Rome and Pompeii, and the layouts of imperial towns on the Roman Empire’s western frontier. He explores examples of towns from medieval Germany, Renaissance Italy, and the City Beautiful era; and addresses a project from his own time with a discussion of Philadelphia’s Parisian-style plan for Benjamin Franklin Parkway.
Unwin’s series of case studies provide a sophisticated treatment of Western European cultural traditions and their expression through the urban form. The takeaway is not just a familiarity with the immense variety of urban forms within the broader tradition of European urbanism, but a recognition that urbanism is a social art, approachable in many ways, any one of which requires an intuitive understanding of human nature. That is to say, it is also not a strict science, as many 20th-century planners would naively insist.
In this vein, Unwin proceeds to address an interesting divergence between towns with plans that could be characterized as formal—those developed along regular grids with symmetrical parcels—and those with what may be called informal styles, which appear to have grown more incrementally, in deference to the contours of the land and the particular needs of individual sites:
It is true that the beauty of wild nature is usually informal in the sense in which we have used the term, but this does not mean that it is the result of chance, or of freedom from restraint. On the contrary, the forms which we find beautiful in wild nature are the result, so far as we know, of obedience the most perfect to laws the most complex, so much so that we may call the forms inevitable.
Unwin’s focus on a handful of specific design elements forms Town Planning’s most relevant contribution to the current conversation about real-estate development. These factors remain the salient characteristics of urban environments: compactness and variety. In America, they can be found in small towns and in large cities; in the forgotten, working-class neighborhoods of the Rust Belt; in the 1920s Gatsby suburbs of Long Island and New Jersey; in the mining towns of the old West; and in the most exclusive blocks of New York’s Upper East Side. Yet their absence from most neighborhoods built since 1945 is still manifest in the broken aesthetics and frayed social bonds of so many American communities. Often, these elements exist in older communities as a legacy of earlier times, but a failure of zoning to provide for their establishment in growing neighborhoods lies at the heart of their declining role in an expanding percentage of our communities. In regions that have largely developed since the postwar era, these elements may not exist much at all.
It is reasonable to presume that the relative compactness of historical towns and cities was in large part a byproduct of their intrinsic pedestrianism. That is to say, the most valuable land was that within walking distance of existing activities; and this consideration drove property owners to make the most intensive use of parcels within those limits. But Unwin addresses the shaping of compactness in at least one additional way that might not be evident to modern readers, particularly in North America: one of the main factors driving compact urbanism in the pre-modern era, Unwin notes, was the city wall. He writes:
Many ancient towns derive exceptional beauty from their enclosure by ramparts or walls. To this enclosure is due in no small measure the careful use of every yard of building space within the wall which has led to much of their picturesque effect. To this is due also the absence of that irregular fringe of half-developed suburb and half-spoiled country which forms such a hideous and depressing girdle around modern growing towns.
Unwin’s citation of compactness as a cause of not only practical but aesthetic benefits is astute. Still today, and far beyond the footprints of Europe’s walled cities, a disproportionate share of the world’s most photogenic urbanism, from San Francisco to Bodrum, Turkey—is located on narrow islands or peninsulas, where topography has created the physical equivalent of a defensive fortification. In light of this role of constraint in the development of compactness, Unwin advocates for a legal stand-in—the dedication of open space where construction will be off limits:
A certain concentration and grouping of buildings is necessary to produce the special beauties of the town, and this is inconsistent with the scattering of buildings which results from each one being isolated in its own patch of garden; but it is not inconsistent with the grouping of buildings in certain places and the provision of large parks or gardens in other places. If we are to produce really satisfactory town effects combined with the degree of open space now thought advisable, we must work on the principle of grouping our buildings and combining our open spaces, having areas fairly closely built upon, surrounded by others of open space, rather than that of scattering and indefinitely mixing our building and our spaces.
This is essentially a case for the establishment of greenbelts through local land-use planning.
In addition to definite growth boundaries, Unwin identifies another element of compactness: the well-defined town center. He describes an urban tradition dating from classical antiquity, in which public buildings are concentrated in a single, geographic space. This arrangement is practical, but it also has aesthetic value, creating a manifest concentration of important buildings that provides an identifiable core. The town center typically took shape around the agora, or public market, in the Greek world; or at the crossroads adjacent to the forum in Roman urbanism. By medieval times, Christians had replaced the classical assortment of pagan temples with a church or a cathedral; the adjacent spaces typically formed the center of European towns and cities, a pattern which persisted through the Renaissance and on down through the rise of industry. Then railroad stations were placed at the center of cities.
The arrangement of buildings to serve as vista terminations or create a sense of enclosure was frequently intentional. From this tradition of evolving public spaces, Unwin generalizes the concept of a place: a term used in French that shares its roots with the terms plaza, piazza, or platz; and that is echoed in the marketplace or the grassy commons of the English-speaking world. Unwin writes:
A place then, in the sense in which we wish to use the word, should be an enclosed space. The sense of enclosure is essential to the idea; not the complete enclosure of a continuous ring of buildings, like a quadrangle, for example; but a general sense of enclosure resulting from a fairly continuous frame of buildings, the breaks in which are small in relative extent and not too obvious. If we examine a series of ancient places we shall see that, whether from accident or design, the entrances into them are usually so arranged that they break the frame of buildings very little, if at all.
Compactness gives rise to variety, another essential element of urbanism, because in dense settings myriad activities are forced together; and the nature of commerce drives the increasing specialization and organic solidarity (to borrow a concept from Emile Durkheim), among participants in urban marketplaces. Accordingly, in traditional towns and cities, and in the absence of land-use zoning, a rich diversity of vital activities develops, logically, in overlapping space. This phenomenon characterized the blocks around classical forums and medieval cathedrals, much as it would the town centers of England and the British Empire (including many older towns and cities of the Colonial American eastern seaboard), and the Main Streets of middle America and the old West. All these compact loci shared the elements of public and religious spaces, as well as commercial and residential ones, within walking distance—and sight—of one another. In the absence of motor vehicles, this arrangement made a great deal of obvious sense.
Town Planning also addresses the basic elements of urban site plans and how an aesthetic approach to urbanism might inform the regulation of private development. This aspect of Unwin’s work offers a valuable snapshot of the legal and regulatory conflicts that were percolating at the time of his writing, as well as the technical dimensions and rules of thumb that were being considered as best practices in actual developments.
For all of the detail Unwin provides in this aspect of his work—including recommendations about lot coverage ratios, building massing, and other elements of construction that have long been included in codes—he remains quite conservative about the implementation of public dictates for the development of individual sites. In fact, Unwin seems somewhat torn on the prescriptive potential of planning, often supporting it in principle as a logical response to excesses of industrial urbanism, while voicing a deep skepticism about the potential to develop general rules that could be applied to achieve good results across a range of similar yet unique building sites.
Many examples in this part of Town Planning draw on the textbook Hampstead Garden Suburb project, outside London, whose planning Unwin helped to lead. Often, however, the elements of good urbanism that Unwin identified have been difficult to bring forth through the web of regulations that have been promulgated in the years since Town Planning was published. In his treatment of regulatory devices, Unwin seems to foresee the potential for this conflict. And if there is an overarching theme to Town Planning, it is the loss of the factors that once gave towns their character; and the question of how these might be recreated in the modern, industrial world.
In keeping with its physical, artistic approach to the subject, Town Planning is a visually compelling book. Its oversized pages are beautifully typeset and generously peppered with well-chosen photographs, drawings, and maps. Though not a comprehensive reference book, Town Planning contains a wealth of visual resources that planners, architects, and land-use attorneys might repurpose to illustrate the timeless spatial concepts of their own work. The same material constitutes a broad selection of the urban imagery and cartography of the early 20th century. Likewise, Unwin’s prose is clear, concise, and generally quite interesting; but the sheer quantity of examples that he offers can sometimes exceed what is strictly necessary to illustrate a concept. In this way, too, it resembles a reference book: its prose is more expansive, at times, than selective; and a reader who is not searching for a specific example may find that he or she has reached a point of diminishing returns before reaching the end of a chapter.
Dismantling some of the errors of more recent approaches to planning—especially the artificial separation of compatible uses, the centrality of traffic engineering, and the elimination of coherent town centers—requires us to look back to a time when the traditional art of town-building was still being practiced. It requires us to study the time-tested methods of incorporating the knowledge and wisdom of that tradition into the physical layout of neighborhoods. As today’s urbanists work to recover the art of planning, Unwin’s era remains uniquely instructive.
Theo Mackey Pollack practices law in New Jersey, is a consultant on urban-planning projects, and has worked on Hurricane Sandy recovery projects in New York City. He blogs at Legal Towns, and has also written for the Metro New York Transit-Oriented Development Newsletter and the Steven L. Newman Real Estate Institute’s white papers series.
Copyright 2017 Theo Mackey Pollack
The New York City region has a high concentration of cooperative apartments (“co-ops”), a method for creating owner-occupied, high-density housing with a longer history than the condominium model that now prevails throughout much of the country. A large subset of New York’s co-op stock is held under a limited-equity arrangement, a unique framework that combines the benefits of home ownership with long-term affordability. As the cost of housing continues to soar in regions with strong economies, this idiosyncratic model deserves a fresh look nationwide.
Like market-rate co-ops, limited-equity buildings are owned by residents whose shares represent equity in a business association. The association owns the buildings and grounds, and the resident-owners elect a board that sets policy. What distinguishes limited-equity buildings from market-rate co-ops is that the initial purchase price and the subsequent resale value of a unit is limited. In other words, the value of a unit does not float with the city’s land markets. Instead, when a resident leaves, the co-op repurchases his or her initial investment (plus some modest, formulaic measure of appreciation); it then charges the next resident, essentially, what the previous resident had been paid.
In New York, most limited-equity developments are now regulated by the state’s Mitchell-Lama affordable housing program, making them subject to income guidelines and other measures. Such oversight is not strictly necessary, and some do not participate. Significant tax benefits are also available for maintaining affordability. Presently, there are about 70,000 limited-equity units in the city, but, despite their value and viability, their number has been declining. The temptation of windfall appreciation has caused some boards—particularly in Manhattan—to reorganize as market-rate co-ops. At the same time, a shortage of cheap land, even on the city’s outskirts, makes it costly for new co-ops to be established. Finally, a general lack of knowledge about its merits has probably kept the limited-equity model from being a more prominent part of today’s affordable housing proposals. This is unfortunate, because limited-equity co-ops can work; and many American cities now have shortages of good housing for middle-income residents.
Cooperativism and New York City’s Early Housing Co-ops
The limited-equity framework is closely related to the modern cooperative, more generally, whose roots can be traced to Rochdale, England, in the mid-19th century. In 1844, a group of tradespeople pooled their buying power to form a food co-op, allowing them to source high-quality ingredients at lower costs. In the course of forming their association, the group developed a set of seven basic principles that have since guided the framework of most cooperatives: open membership; democratic control; dividend on purchase; limited interest on capital; political and religious neutrality; cash trading; and promotion of education. By the turn of the 20th century, the Rochdale vision had achieved a leading role in the reform currents of Europe and North America. In England, the planning visionary Ebenezer Howard proposed a Rochdalian cooperative structure for his Garden City in his 1899 classic, To-Morrow: A Peaceful Path to Real Reform. In Germany, Theodor Herzl relied on a similar model in his blueprint for Israel in Old New Land. In the United States, Edward Bellamy had already envisioned a similarly utopian future age in his novel, Looking Backward. But while cooperativism took root in the visionary writings of the Victorian period, it remained limited in its practical applications, particularly in the world of housing. In practice, co-ops only became a component of New York City housing once the labor movement gained traction in the early 20th century.
Early in the 20th century, labor in New York was at the forefront of cooperativism. The 1911 fire at the Triangle Shirtwaist Factory, in which 146 people—mostly young women—died, marked a turning point. The ensuing outrage about dangerous working conditions fueled labor activism, and demands for better housing were made a priority. The convergence of a powerful labor movement with the city’s uniquely apartment-oriented housing stock made the phenomenon of limited-equity cooperative housing possible.
But it is an irony of the changing nature of politics that cooperativism was championed by many on the Left in the early 20th century, yet in today’s politics its principles dovetail nicely with a more conservative approach. This is because cooperativism is essentially a self-help solution from a time when the role of the state was presumed to be limited. As a result, it does not require much public-sector involvement to work. In practice, establishing and managing a co-op has much more in common with starting a business or governing a small town than it does with subscribing to an ambitious political ideology.
Abraham Kazan was the central figure in the early narrative of American co-ops. He grew up on Manhattan’s Lower East Side; his parents had brought him to New York from Russia as a child. By the 1920s his career was already entwined with the Amalgamated Clothing Workers (“ACW”) union, where he served as president of its cooperative credit union. Perhaps as an outgrowth of that role, he sought to apply a version of the Rochdale principles to the need for better housing in New York. Kazan and other labor leaders lobbied the New York State legislature to enact a framework that would facilitate construction of affordable new apartments, and in 1926 their efforts yielded the Limited Dividend Housing Act (LDHA). This law granted 20-year tax abatements to new buildings aimed at low-income tenants and whose profits were capped at just six percent. Although the legislation was not as strong as the initial proposal, it provided a new opening and ACW leaders quickly established the Amalgamated Housing Corporation (AHC), a new entity to take advantage of the new law; Hillman appointed Kazan as its president. The AHC was charged with developing housing for union members and others who qualified under the guidelines of the LDHA.
The 1920s land market presented a practical challenge: in neighborhoods like the Lower East Side, where new housing was most badly needed, scarce land was available for construction. Echoing Sir Ebenezer Howard’s strategy to make Garden Cities affordable by building them on inexpensive rural land, the ACW selected a site for its first co-op far from its home base on the Lower East Side. Kazan chose a canvas in the northwest Bronx—on the suburban outskirts of the 1920s city. The development was financed by combining a down payment drawn from ACW funds with a $1.2 million loan from Metropolitan Life Insurance. Meanwhile, a separate pool was established by the owners of a community newspaper, the Forward, to finance the upfront equity payments that would be required of cooperators. Herman Jessor, a young architect who supported the goals of the labor movement, came to work on the AHC project. Jessor and Kazan formed a strong bond that would result in a lifetime of collaboration.
Jessor’s site plan comprised a cluster of six mid-rise, Tudor-style apartment buildings, with spacious rooms and landscaped grounds. Alexandra Hans, who grew up in the Amalgamated Housing Cooperative, described the key elements of its design:
Each apartment had hardwood floors throughout and ceramic tile bathrooms with marble thresholds. The kitchen was eat-in, and there was a foyer and a living room. The apartments to be selected had one, two, or three bedrooms. They all had cross-ventilation and sunlight. Some of the larger apartments had three exposures, depending on where they were located in the building.
When the Amalgamated opened in November 1927, with 303 original cooperators, the one-time purchase price for a standard two-bedroom apartment was $2,000—or around $28,000 in 2017 dollars. This amount constituted the cooperator’s limited equity in the cooperative—while the market value of the complex was presumably greater than the sum of shareholders’ investments. Carrying charges, or “maintenance fees,” for such a unit in 1927 were pegged at $44 per month—or about $600 in 2017 dollars. In addition to housing, the Amalgamated arranged for a number of community services for its cooperators. Milk and ice deliveries were purchased on the co-op model, and several cooperatively-owned stores were established in the immediate vicinity, including a pharmacy, a barber shop, a tailor, a shoe repair, a grocery store, and a butcher.
The LDHA had opened the door for groups other than its active sponsors to begin raising the necessary capital for limited-equity developments and created a legislative blueprint for them—and other players in the city’s real estate market perceived opportunities. Notably, the rush that characterized the early history of the limited-equity housing sector was marked by ironies: Although it was sponsored by one of the key stakeholders that had pushed for the LDHA, the Amalgamated was beaten to the market by another limited-equity development, the Bronx Park East Co-ops, on Allerton Avenue. Similar co-ops that opened for occupancy around the same time included the nearby Shalom Aleichem Houses, on Sedgwick Avenue, and the Farband Houses, near Pelham Parkway. All were sponsored by various labor or left-wing groups.
So, while early limited-equity co-ops grew out of the activism of some of the most radical political organizations in the city, they also brought members of the city’s workforce into homeownership, giving them a stake in the private economy. And despite its early support from radicals, the limited-equity housing arrangement provided a framework that was in many ways compatible with a conservative, market-based approach to real estate: a tax credit for developers and owners was the primary form of government support. As a result, even today, the limited-equity model has the potential to transcend some of the most controversial political subjects that may present obstacles to other affordable housing proposals.
In 1927, trouble for any new business venture was just around the corner. Yet how the Amalgamated survived the Depression illustrates the genuinely cooperative nature of the community in its early days. Kazan’s personal involvement was certainly an important factor. To save money, he met with residents and devised a plan to share custodial and grounds-keeping work on a volunteer basis. Undoubtedly, the residents’ ownership stake in the community made these sacrifices easier to elicit. The co-op also enjoyed a degree of leeway with its creditors, because it remained solvent and continued to perform on its debt at a time when many debtors were bankrupt. Kazan used the co-op’s stability to negotiate more favorable mortgage terms with Metropolitan Life. Most critically, the co-op implemented a proactive plan to generate needed cash while keeping its apartments occupied and its membership growing. Hans describes the approach:
Vacant apartments were rented out for a higher carrying charge than $11 [per room], and a lowered per-room investment of $200. The new residents could stay on for two and a half years. If the new family liked living [there], they could remain and apply the excess rent they had already paid in to bring their investment up to the $500 per room level.
Following this approach, in one of the worst years of the Depression, the co-op generated a surplus, and the board used some of the revenues to purchase an adjacent parcel.
Kazan’s second limited-equity co-op was the Amalgamated Dwellings, also underway when the Depression struck, located back on the Lower East Side, at Grand and Columbia Streets. The Dwellings brought the limited-equity housing model to the geographic heart of the ACW’s membership base. Partially financed by a loan from the nearby Bowery Savings Bank, residents began to occupy the new units in the fall of 1930. The 231-unit complex was arranged around an open courtyard, with lower lot coverage ratios than the tenements that comprised the surrounding urban fabric. In a 1994 Times article, Christopher Gray interpreted its architecture:
[The architects] worked in a romantic side of European modernism in a way rarely seen in New York, with rich brickwork patterns and colors following Austrian, Belgian, and Dutch designs of the 1920s. The red- and salmon-colored brick veers around in wild angles and staccato soldier courses, interrupted by occasional stucco panels, and voluptuous cast-stone door surrounds and curvy iron decoration. New York 1930, [a highly regarded book] by Robert A. M. Stern, Thomas Mellins, and Gregory Gilmartin, calls it “a major achievement in American housing.”
Along with his efforts to maintain solvency in the Bronx, Kazan employed similar approaches to shepherd the downtown Dwellings through the Depression years, working with resident-owners to control expenses and make good management decisions. The Dwellings, like its precursor in the Northwest Bronx, survived the 1930s and remained an affordable co-op for decades. However, in 1997, the Amalgamated Dwellings board traded the myriad benefits of limited-equity for the windfall to current owners, whose neighborhood had been absorbed by the astronomical real estate universe of Manhattan.
Both Amalgamated cooperatives were thoughtfully designed and built on a traditional neighborhood scale. These were not simply utilitarian housing blocks; they were planned communities. In addition to their spacious, modern rooms, they provided residents with landscaped grounds and attractive architectural details, grounded in the traditions of European town planning. The Amalgamated Co-op and the Dwellings expressed, respectively, the broader Tudor and Art Deco styles that predominated among the city’s private multifamily buildings in the early 20th century. Accordingly, the cooperatives themselves comprised political communities that allowed for broad and direct participation by resident stakeholders.
Robert Moses and Transformation in the Post-War Era
The success of early labor-sponsored co-ops attracted new political interest in the period immediately after World War II. The original co-ops became a template, however, for a notably different approach to urban housing. Returning veterans had fueled a surge in local housing demand. In addressing this need, the infamous New York planner Robert Moses saw a new opportunity to remake the city: He began to promote a supercharged version of limited-equity cooperativism.
In 1945, Moses met with Kazan and obtained his support for a new development. Much larger than the adjacent Amalgamated Dwellings, Moses’s Hillman Houses represented the start of a collaboration with Kazan that would yield increasingly massive limited-equity cooperatives that, unlike the leading lights of the pre-war period, benefited from strong government support. Not only would public money flow to these developments, but in many cases the power of eminent domain would be used to clear a canvas that was unhindered by existing urbanism. Kazan and Moses held differing political philosophies, but shared two critical beliefs about urban housing: first, the demolition of tenements was a clear benefit to the city; second, large-scale, high-rise developments could address the modern city’s housing needs.
In 1949, the Federal Housing Act authorized slum clearance for housing developed under its auspices; Moses and Kazan took this as a green light. By 1951, they had transformed the AHC into a new, larger entity: the United Housing Federation (UHF). Jessor was appointed chief architect, and with the added support of the state’s new Mitchell-Lama Act, the UHF became the most prolific builder of middle-income cooperative housing in U.S. history.
The stark new developments fostered a reduced degree of intimacy, with buildings that vaguely resembled Le Corbusier’s concept of A Machine for Living In. This was a time of modernity and state action. Although these middle-income buildings were more well-appointed than low-income housing projects of the same era, and although they enjoyed the benefits of being owner-occupied, they exhibited some of the same questionable design choices that characterized contemporary public housing for the poor.
The most salient of these problems centered around a radical departure in scale, form, and layout from the cultural traditions of town planning that had shaped urban development down to the eve of World War II. And yet, these novel qualities also represented a previously impossible efficiency that produced more units; a materialist approach that defined success by the gross number of people who received a benefit. In Working-Class New York, Joshua Freeman delineates the order of UHF priorities:
[The developers] placed the highest value on building comfortable housing at affordable prices, with exterior appearance secondary. Apartments in UHF projects were thoughtfully laid-out, with plenty of light, cross-ventilation in most rooms, eat-in kitchens (with windows) and parquet floors.
In the post-war period, new UHF limited-equity cooperatives included the Hillman Houses (1947-1950); East River Houses (1956); Seward Park (1957); Penn South (1962); Rochdale Village (1963); and Co-op City (1968-1972). Together, these six developments added more than 28,000 new units to the New York City housing stock. During the same period, other, non-UHF-sponsored co-ops were also organized or expanded, amplifying the total number of new units.
Spacious, modern housing in stable, owner-occupied neighborhoods had long been a tall order for middle-income families—and post-war limited-equity cooperatives offered many New York City residents a measure of economic and social stability. Kazan and his team appeared to subscribe to the conservative adage that private property is the cornerstone of democracy. In fact, their radicalism was the belief that the base of people who lived by this truism could be so broadly expanded, even amid the challenges posed by a crowded, expensive, and increasingly regulated city.
But some of the design choices that were used to facilitate greater unit quantities in these behemoth, post-war developments eroded several of the pre-war cooperative model’s inherent strengths. The sheer size of the post-war cooperatives was an affront to any intuitive sense of human-scaled community. The massing and layout elements—towers in the park, superblocks without street life, and a near absence of humanizing aesthetic considerations—manifested all the prominent mistakes that Jane Jacobs identified in the urban planning orthodoxy of post-war America. Finally, the formalization of the co-ops under the state’s Mitchell-Lama program, combined with their attenuated connections to the grassroots labor and community organizations that had been so important during the pre-war period, watered down the character, independence, and autonomy that had contributed to a sense of purpose and community.
The largest and—not coincidentally—the last of the large limited-equity developments was Co-op City. Begun in 1968 by the UHF team, its monotonous 32-story towers would dwarf the detached houses and small apartment buildings that characterized the surrounding neighborhoods of the East Bronx near the Westchester County line. Co-op City was car dependent. It was located far beyond the last subway stop, and its only public transportation was a bus. Worst of all, its builders discovered, much too late, that the marshland on which it was being built was too soft to support the massive towers—and the structures immediately began to subside. More than even the other large post-war developments, Co-op City was lacking in good design. While its location along Eastchester Bay and Pelham Bay Park provided a natural counterpoint, it remained the starkest and most institutional of the limited-equity developments. After several expensive engineering feats, Co-op City’s units began to come onto the market in the fall of 1968.
In 1971, Kazan died from the effects of a debilitating stroke while Co-op City remained in development. In the absence of his leadership, a series of allegedly broken promises led the UHF-allied management to be sued by cooperators, who accused it of fraud. The case marked a sour turning point: Some of the plaintiffs were longtime New York City labor activists who had shared Kazan’s beliefs in self-help and participatory communities, but at Co-op City, the UHF had become an adversary, rather than an advocate for their interests. In 1975 and 1976, a yearlong “rent strike” followed, in which residents withheld their maintenance payments, citing a litany of overlooked complaints. Ultimately, the UHF-backed candidates withdrew their names from a board election and were replaced by a slate that represented the strikers. The new board negotiated more favorable terms for cooperators for its state-backed mortgage and other expenses. The UHF was effectively finished.
Since the 1970s, the dearth of new limited-equity developments, along with soaring market housing costs in New York City, has resulted in years-long or suspended waiting lists—or sporadic “housing lotteries”—for units in most of the remaining limited-equity buildings. Frustrating as this situation may be, it illustrates the continuing value and viability of limited-equity co-ops in a highly competitive, heavily regulated real estate market. In his later years, Kazan criticized co-op residents whom he perceived to take little interest in the spirit of cooperativism, and instead seemed narrowly interested in UHF communities because of the value they provided as affordable housing. Be that as it may, it is interesting to consider how the various post-war changes to co-ops—greatly increased scale, radical site planning, and a supplanting of a literal community by its proxy, the state—may have diluted the benefits, beyond simply affordable housing, from an approach that once also created strong communities.
When implemented on a smaller and more traditional scale, and when integrated into established neighborhoods, the results had been, and remain, meaningfully different from those which Kazan lamented. If it is true that the dysfunction that characterized Co-op City was partly a product of the same types of urban-planning mistakes that Jane Jacobs and the New Urbanists have identified in other aspects of post-war American planning—and if it is also true that some of the other large developments of the post-war period were less lovable than they might have been because of their sheer size—then there may be space for a revival of limited-equity cooperatives on a more human scale.
Such an approach would likely be closer, in essential ways, to the original housing co-ops that were sponsored by labor, political, and community organizations. Many of these organizations, at their time, were aligned with the specific labor or left-wing organizations that had pioneered cooperative housing; yet in practice, their organization is very compatible with philosophies across the political spectrum. At a time when both affordable housing and stable communities are increasingly difficult to find in a growing number of regions, the story of New York City’s limited-equity communities deserves to be told again.
Theo Mackey Pollack practices law in New Jersey, is a consultant on urban-planning projects, and has worked on Hurricane Sandy recovery projects in New York City. He blogs at Legal Towns, and has also written for the Metro New York Transit-Oriented Development Newsletter and the Steven L. Newman Real Estate Institute’s white papers series.
Copyright 2017 Theo Mackey Pollack
One of the most significant consequences of the 1926 Euclid Supreme Court decision—which declared that the then relatively new practice of zoning ordinances was Constitutional—has been the ability of municipal governments to quash organic approaches to efficient land development. In many cases, this impulse has served a valuable function, allowing communities to protect themselves from nuisances, incompatible uses, and the damage wrought by bad development. But along with their clear benefits, it is important to note the potential costs of zoning policies that discourage efficient land use.
In their 2000 book, Suburban Nation: The Rise of Sprawl and the Decline of the American Dream, Andrés Duany, Elizabeth Plater-Zyberk, and Jeff Speck note that between 1970 and 1990, the proportion of American families that could afford to purchase a median-priced home fell from 50 percent to just 25. During the same years, planners and others widely observed a troubling decline in the aesthetic design quality of new buildings and land uses, while lamenting the growing number of communities in which people cannot take part in basic, daily activities without a car. Significantly, a number of the contributing factors that have been cited for these trends have a common thread: a declining efficiency of land use.
Land-use efficiency has a long and practical history in town planning, beginning organically at the dawn of urban civilization, and refined in its method at least since the fifth century B.C., when Hippodamus planned the reconstruction of his native Miletus, after the Persian War. The goal of efficient land use was traditionally driven by the practical necessities of urban life in pre-industrial societies, where walking and animal use were the primary modes of mobility on land. Even with the advent of railroads in the nineteenth century, and the fast, long-distance travel that they facilitated, new towns were still built on a walkable scale—that is, their streets were laid out within walking distance of one another and the train station. Out of this practical necessity, a refined tradition developed that included resourceful devices for saving the valuable land near existing settlements, and for making the best use of the land that was already contained within them.
The industrial pollution and massive crowding of the late nineteenth century, followed by the individual freedom supplied by the automobile in the early twentieth, undermined the established, pragmatic rationales for maintaining the traditions of town planning: As cities became increasingly unpleasant, many individuals soon became free to leave them behind. In the United States, the Supreme Court’s 1926 decision in Euclid eliminated yet another support for traditional urban growth patterns: their legal inevitability. By empowering local governments to widely regulate the lawful uses of private property, the ability of individual land owners to maximize their use of every urban parcel was greatly abrogated. In Suburban Nation, Duany et al. point out two common, practical devices that fell out of favor due to their increasing illegality under Euclidian zoning regimes. The first is the age-old tradition of building inexpensive apartments over the retail space of business districts. Duany et al. write:
Upstairs apartments provide customers for the shops, activity for the streets, and nighttime surveillance for the neighborhood. They also represent one of the most economical ways to provide housing, since the land and infrastructure costs are covered by the shops; the housing can be supplied for the cost of construction alone. . . . Additionally, [housing over shopping] contributes much-needed height to retail buildings, which with only one story fail to adequately define street space.
In addition to separating what might be perfectly compatible uses, such as stores and apartments, Euclidean zoning laws have also frequently dictated that no more than one unit shall be permitted on a single lot. According to Duany, this policy has resulted in the elimination of so-called outbuilding apartments, such as those located above the garages of a detached carriage house, or those contained in a separate, smaller building, in the yard behind a primary house. Significantly, the elimination of such market-rate, affordable housing alternatives may have a doubly negative effect on the affordability of housing. By reducing the availability of new, affordable units, it has created greater competition for existing housing options.
In addition to quashing the potential for over-the-store apartments and outbuilding flats, typical Euclidean zoning codes, in keeping with the language of Justice Sutherland’s opinion in the decision, often greatly constrain the development of multifamily buildings in areas beyond their immediate vicinity at the time of drafting. In the post-Euclid world, any significant changes to established land use policies generally require the highly-political, time consuming, and necessarily infrequent process of revising the official map. And in a typical zoning ordinance, each of the basic use-zones is further correlated with a schedule of so-called zone requirements. These rules typically mandate minimum lot widths, depths, and street frontages, as well as maximum lot coverages, numbers of units, and heights. While safety codes have long been used to regulate the height of urban construction, comprehensive zoning ordinances are often written in language that is so restrictive that it effectively precludes the potential for creativity by builders and architects. In short, the hands of developers are quite well tied by the common restrictions of Euclidean zoning.
The impact of Euclidean zoning on economic development is powerful: First, it ensures that the productive potential of a community’s land is controlled by legislative restrictions on both its use and its intensity of development. Up to a point, the prudent exercise of this power can be beneficial to local economies, especially where it protects local properties by averting the predictable externalities of nuisances, eyesores, crowding, and incompatible uses. But where the impact of zoning laws exceeds these practical goals, and results in the arbitrary exclusion of compatible uses, walkable neighborhoods, and decent, land-efficient housing, such laws can severely limit a community’s capacity for healthy economic development. And when zoning policies result in artificial shortages of necessary floor space, the resulting increase in costs can impose a high entry barrier on a local marketplace, and ensure that a larger portion of a community’s wealth must be spent on obtaining access to real estate, rather than be invested in more productive, dynamic sectors of the local economy.
In contrast to the patterns that develop under the legal and political restrictions of Euclidean land policies, the pre-zoning development patterns of late-Victorian New York City illustrate the trends that emerged in a metropolitan land economy that was driven mainly by the organic demands of the market, and large-scale adaptations of traditional town-planning devices. In the period between 1880 and 1930, when the available land in Manhattan (and, later, what would become the Bronx) was being increasingly built out with single-family brownstones, a continued demand for housing led to the gradual redevelopment of many townhouse neighborhoods with larger apartment buildings. The architects of these new buildings, who were often limited to a canvas of just a few attached lots, were required to find resourceful ways to create housing on limited parcels of land.
Accordingly, the housing stock of New York City that was built between 1880 and 1930 contains a wealth of examples of traditional land use efficiency. The buildings of that era occupied the entire spectrum of both practical and aesthetic possibilities, representing, as they did, the products of a largely unregulated urban land market awash in the tumult of industrial capitalism. In the years since the turn of the century, a number of reporters have thoroughly documented the deplorable conditions of the downtown tenements in Victorian New York, but comparatively little attention has been paid to the remarkable qualities of the city’s vast upper-middle-class apartment stock, which was beginning to take shape around the same time. The design and land use efficiency of these buildings, and the value that they concentrate on small parcels of private land, often compares quite favorably with the endless payout of strip malls, garden apartments, mundane architecture, and distorted housing costs that has accrued to much of the post-Euclid metropolitan landscape of the United States. While zoning remains a useful tool in the hands of local authorities, the argument for re-examining its standard applications, often made by New Urbanists like Duany, has grown increasingly strong.
Market-Based Efficient Land Use: Late Victorian New York City
The upper-middle-class apartment stock of New York City, dating from the late Victorian era, represents a unique historical intersection of traditional, pre-zoning, land efficient approaches to town planning, and the large-scale, extensive infrastructure of a modern urban economy. In light of the present situation, it is interesting to look more closely to the not-so-distant past, and to examine some of the better approaches to efficient metropolitan land development that were employed in that context. In 1892, a guidebook author, Moses King, published an extensive survey of the contemporary city of New York that continues to offer some of the clearest depictions and descriptions of American urbanism in the late years of the Victorian period. In a chapter discussing the city’s growing supply of middle-class apartment buildings, King offers a thoughtful analysis of the social and economic factors that had influenced the increasing respectability of apartment living. He writes:
Apartment houses, it has been said, hold more than half of the middle-class population of Manhattan Island. Real estate is so valuable, and consequently rents so high, that to occupy a house is quite beyond the reach of a family of ordinary means, and the suburbs on account of their inaccessibility are out of the question. Consequently, apartments and flats have become a necessity, and a system of living, originally adopted for that reason, has now become very much of a virtue. Apartment-life is popular and to a certain extent fashionable. Even society countenances it, and a brownstone front is no longer indispensable to at least moderate social standing. And as for wealthy folk who are not in society, they are taking more and more to apartments.
It was during this period that a sharp distinction began to emerge in the city’s apartment stock, with the traditional slum-tenement buildings on one side, and the new supply of well-appointed buildings on the other. Both made efficient use of land, but the former group took into account few other considerations, while the latter tried to balance efficient land use with an effort to meet the aesthetic expectations of more affluent tenants.
The differences between these two tranches of buildings highlight the inherent tension between the goals of achieving maximum land use efficiency and creating decent living spaces. In the pre-zoning days of the 1890s, developers of the two types of buildings became embroiled in battles over the character of individual blocks and neighborhoods. King describes the frontiers of class geography in 1892 Manhattan:
The tenements display the lowly side and often the dark side of New-York life. It is not possible to locate the tenement-house population within any closely defined limits. In general, it may be said to hold parts of nearly all the streets below 14th, except a part of the old Ninth Ward, which is distinctively the Native [-born] American section of the city, and in and about Washington Square and lower Fifth Avenue, clinging to the river-front on either side, monopolizing almost entirely the East Side nearly over to Broadway. Above 14th Street on the East Side it is supreme east of Third Avenue as far as the Harlem River, with the exception of a part of lower Second Avenue and a few side-streets here and there. On the West Side it comes from the river-front as far east as Sixth Avenue, with oases of better homes here and there, and this as far north as about 59th Street. The territory above 59th Street to 125th Street has very little of this population. Tenement-houses are as a rule great towering buildings, many of them squalid and in bad repair, and devoid of any but the rudest arrangements for existence. They are packed with human beings. In a single block between Avenue В and Avenue С and 2d and 3d Streets there are over 3,500 residents, and a smaller block on Houston Street contains 3,000 people, which is at the rate of 1,000,000 to the square mile. That section is altogether populated at the rate of 500,000 to the square mile, which is as if the entire population of the city should be crowded into a space less than two miles square.
Presumably, it was with this landscape in mind that developers of new, upscale apartments sought to acquire land parcels further uptown, especially in the clean-slate blocks near Central Park, in Harlem and Washington Heights, and along the Grand Concourse. Many of their buildings took the spatial efficiency measures that had long been used in downtown tenements, and tempered them with a consciousness of form to create compact yet beautiful buildings.
The Classic Six
The New York Public Library maintains an extensive digital image database called “Classic Six: New York City Apartment Building Living, 1880-1910.” The name refers to the six-room layout that was typical in many of the city’s late Victorian apartment buildings, and the images are mostly scanned from The World’s New York Apartment House Album, an out-of-print volume that was published in 1910 by the New York World; and Apartment Houses of the Metropolis, a similar out-of-print album published two years earlier by G.C. Hesselgren & Company. Among the many plates are hundreds of color lithographs, depicting the footprints, floor plans, details, and dimensions of actual buildings that comprise the early portion of the iconic, pre-war apartment stock of the city.
These plans, which refer to bedrooms and living rooms as chambers and parlors, respectively, and which often provide for a maid’s room and a library in an otherwise modest unit, depict the urban American lifestyle of a lost time. Yet, in spite of their indulgence of dated pretensions and their frequently ornate details, these buildings contain a practical wisdom in their simple geometry, one that deserves to be recovered and applied in the contemporary search for efficient housing solutions. And, notably, like the over-the-store apartments and outbuilding flats described by Duany, et al., many of these buildings’ most useful efficiency devices could never be reconciled with the typical zoning ordinances of contemporary suburbia.
One of the basic architectural features to be employed for spatial efficiency in the apartment buildings of the late Victorian period was the interior courtyard. By opening up the inside of the structure to air and light, internal rooms could be arranged to overlook a courtyard, and a larger portion of the lot could thus be covered with living space. As an added benefit, interior courtyards facilitated the aesthetic effect of having continuous façades along a street’s block face, creating a strong sense of intimately contained space on each block, and maintaining the enclosure that had previously been established by rows of attached brownstones. While the courtyard remains in use today, it is applied less frequently in the kinds of simple, basic buildings that it often enhanced a century ago. This has led to a loss of both aesthetic value and land-use efficiency in urban housing,
A good example of the ordinary application of the interior courtyard can be found in the layout of the Wadsworth Court, a six-story elevator building that was finished in 1909. Situated at the southwest corner of Wadsworth Avenue and West 180th Street, its modest, 100-by-75 foot lot is the land-use equivalent of just three standard row houses. But the Wadsworth accommodates five generously proportioned apartments on each of its upper five floors, and four large apartments, as well as a lobby and vestibule, on its ground floor. If one could presume that the chambers, maids’ rooms, and libraries of 1909 would today be, simply, bedrooms, then the Wadsworth layout manages to accommodate a total of 66 separate sleeping areas. And if a predictable portion of these are shared by couples, then the building provides enough space for about 100 people to live comfortably.
Today, few people who passed on the street would be likely to notice the Wadsworth as anything more extraordinary than a typical New York apartment building. In fact, its cornice is gone—replaced by mismatched bricks—and its paint is visibly fading. Its aging fire escapes have marked it for conflation with the tenements it was designed to contrast. But, in a way, its unremarkable present-day appearance is exactly what makes it interesting: These ordinary old buildings often contained simple design elements that have been shelved by subsequent generations of architects. Yet some of these devices might well be recovered in the contemporary quest to create more housing in dense metropolitan areas.
Similar to interior courtyards, externally-oriented adaptations of the same principle were widely employed by architects of the period. Rather than being enclosed by four structural walls, exterior courtyards are generally open to the street, resulting in a building whose façade is visually separated into two or more arms. The deep setback created by this design might be furnished with landscaped gardens, paths, lamp posts, benches, and patio tables. Like the interior courtyard, the open courtyard allows a larger percentage of the building lot to be covered by extending the length of exterior walls, and providing the necessary geometry to gain greater access to light and air. Unlike the interior courtyard, it is generally less private, and it may or may not be gated from the street. A good example of two buildings whose design employs this device to maximize ground coverage can be found in Washington Heights, in a pair called the Knowlton Court. Occupying the entire east side of Broadway between West 158th and West 159th Streets, these buildings were constructed between 1907 and 1908. Together, they have four exterior courtyards, with two facing Broadway and one facing each of the cross streets. At seven stories, the Knowlton Court buildings provide at least 244 bedrooms on a parcel that measures 200 by 125 feet, or enough space to house about 300 people.
Yards, Alleys, and Airshafts
While courtyards offer a balance of function and form, providing both practical and aesthetic benefits to buildings in urban settings, their function alone can frequently be achieved on a smaller scale with more utilitarian applications of the same basic concept. Simple paved or unpaved yards, bounding alleyways, and airshafts can be designed into large apartment buildings to maximize lot coverage and provide at least a modicum of air and light to a large number of off-street rooms.
A good example of the judicious application of such devices can still be found at the Saxonia, in Harlem. Designed by the architects of Neville & Bagge, the building opened in 1907 at the northwest corner of Broadway and West 136th Street, in an enclave known as Hamilton Heights. A six-story, elevator building with extensive ground floor retail space, the Saxonia capitalized on its proximity to the new City College campus, which also opened in 1907, and to the simultaneously-constructed IRT subway station at the corner of Broadway and West 137th Street. With a façade that wraps around its block face on both streets, the retail spaces are arranged to open on Broadway, while the building’s residential lobby is entered through a vestibule on the cross street. Neville achieved internal space efficiency through a variety of devices, including both interior and exterior courtyards, an oversized airshaft (providing air and light to a number of the tenants’ bathrooms), and a narrow setback from each of the interior property lines to create bounding alleyways, which are faced with windows and fire escapes. In this way, despite being situated on a lot that measures only 100 by 100 feet, or the equivalent of just four row houses, the architects were able to provide for at least 100 bedrooms on the upper five floors, as well as seven retail stores and a superintendent’s apartment on the ground level.
Similarly, in west Midtown, the architects of the Summersby Apartments achieved an even greater efficiency with just a 50-foot lot. Their seven-story building, located on West 56th Street between Eighth and Ninth Avenues, opened in 1910. Its façade is attached to those on either side, creating the aesthetic of a continuous streetscape, but the building edges are stepped in at a depth of 20 feet, to create a pair of narrow bounding alleys that run to the back of the structure. There, these spaces are connected by a small, paved yard that adjoins the similar yards of adjacent buildings. The crevasses of light and air thus provided are used as facings for the placement of windows and exterior fire escapes, and they allow for an astonishing eighty percent of the Summersby’s lot width to be covered with livable floor space. As a result, space enough for at least 68 bedrooms is provided in just seven stories on the land that would be required for just two standard row houses. Admittedly, the actual light and air enjoyed by many rooms under such a design is minimal. But the building’s description in the Album indicates that, even in 1910, there was a market for apartments that traded aesthetics for access to Midtown:
The Summersby is a splendidly built, fireproof apartment house, with elevator service and telephone in each apartment. The highest degree of efficiency is demanded of the superintendent and uniformed hallboys. Tenants are selected with great care, and each apartment has the advantages of a private house.
Surprisingly, in light of today’s Manhattan land costs, the building was designed to have just two large apartments on each floor. Clearly, in the alternative, a number of smaller units could be carved out of the same space to provide more housing at lower price points to smaller households.
The Legacy of Late Victorian Urban Design
The approaches applied by the architects of the buildings described above are not especially unique. Instead, they are examples of routine design elements employed in the kinds of typical, middle-class and upscale apartment houses that were built in New York City around the turn of the twentieth century. For better and for worse, these devices were applied in thousands of buildings to achieve a higher density of residential space on limited parcels of land. Late Victorian urban design employed a much greater intricacy in its building devices than the majority of today’s apartment buildings. Many of these devices continue to haunt the collective consciousness that Americans have of old city buildings: long, echoing hallways, precarious fire escapes, dim alleys, and dark, paved yards. The hard times that fell on many urban neighborhoods in the late-twentieth century further colored the perception of these devices, as their inherent creation of mystery, density, and intricacy seemed terribly ill-suited for a world of crime, poverty, pervasive danger, and neglected maintenance. Yet, some of the period’s classic devices, like landscaped courtyards, grand lobbies, sunken living rooms, high ceilings, and transom windows are remembered much more fondly, and are still admired for the aesthetic grace that they add to the older buildings—almost to the point of obscuring their practical purposes. Yet, all of this complexity, both good and bad, was built with a small toolbox of simple, geometrical adaptations that allowed for the very efficient use of limited land.
In the years after World War II, as the patchwork of postwar America developed from the application of traditional Euclidean zoning, much of the resourceful wisdom and intricate variety of urban America began to unravel under a legal regime whose mandatory, broad brushstrokes pushed builders, architects, and even small-scale private landowners in entirely new directions. As New Urbanist writers like Duany have frequently observed, post-war land development was largely removed from the historical, practical, and aesthetic contexts of traditional approaches to town planning, and the consequences of this fundamental shift can be perceived in the strip malls, garden apartments, stunted design quality, wasted land, car dependence, and distorted housing that now characterize much of the American landscape. But, in spite of this, the conventional wisdom at the heart of land-use zoning retains a broad and powerful appeal: Most people recognize that the authority that has been delegated to local governments, pursuant to Euclid, has allowed many communities to protect themselves and the economic value of their properties from the predictable externalities of nuisances, eyesores, crowding, and incompatible uses, each of which has the potential to blight the landscape in a nearly permanent way.
While the potential value of land use zoning is evident, it is interesting to consider whether some of the architectural devices that were employed in New York City before its advent might be recovered and applied to address today’s planning challenges across the United States. A recovery of certain design elements from that time would hold the promise of influencing a wider recovery of land-use efficiency in metropolitan housing. This would be broadly consistent with the sustainable goals of economic development, ecological stewardship, and social equity, for many of the reasons discussed above. As we revise the calcifying approaches to Euclidian zoning, and seek to increase housing stocks without destroying the complex fabric of existing neighborhoods, we should look to the intricacy of New York City’s late-Victorian approach to apartment building. We might find it contains a number of valuable secrets, hidden in plain view.
Theo Mackey Pollack practices law in New Jersey, is a consultant on urban-planning projects, and has worked on Hurricane Sandy recovery projects in New York City. He blogs at Legal Towns, and has also written for the Metro New York Transit-Oriented Development Newsletter and the Steven L. Newman Real Estate Institute’s white papers series.
Copyright 2017 Theo Mackey Pollack
The Late Victorian period in the United States—roughly the last third of the 19th century—produced some of the most beautiful neighborhoods in the history of Western civilization. It also produced some of the most hopeless slums. In response to the crisis of industrial cities, the modern discipline of city planning emerged. The tools of this new profession helped clean up many unhealthy aspects of urban industry, but also stifled some of the best innovations of Late Victorian urbanism.
By the 1920s, planners in the industrial world had established the legal authority to promulgate land-use regulations, and over the next generation, they succeeded at slowing the construction of slum housing and segregating noxious industries from incompatible activities, such as housing and office space. Through some of the same devices, however, planners curtailed some positive features of 19th-century urbanism, including the rich variety of free-form industrial development and the adaptive responsiveness of such neighborhoods to the changing needs of a dynamic society.
In recent years, critics have lamented the parallel declines in beauty and functionality of newly built neighborhoods, and have sought to recover some of the best features of the Late Victorian city by mandating development styles that imitate its forms. The New Urbanism movement is the most salient example of this phenomenon. But far from being the products of a comprehensive legal process, the forms of traditional neighborhoods were the end result of a larger development context—one that has largely been forgotten.
The Late Victorian period is an object of admiration for many New Urbanists, and left a durable imprint on American urbanism before comprehensive zoning regulations began. By identifying the factors that shaped development in that the heyday of modern urbanism, we may begin to uncover how they interacted to build neighborhoods that people continue to love.
The Common Law and Urbanism in Late Victorian America
Today American law acts as the dominant factor shaping new neighborhoods. Prior to the onset of zoning, however, law was one among several factors that created the built environment. In the 19th century, a paradigm shift began to take place in the legal systems of the Anglo-American world. Statutes had coexisted with case law in the English tradition for many centuries, but in the early 19th century, statutes remained much less pervasive than they are today: The flexible doctrines shaped by courts through case law were broadly workable in agrarian societies. Partly in response to industrialization, and partly for other reasons, demand grew for greater specificity and predictability than case law could offer. One consequence was an ambitious effort to codify both the substance and procedure of law. During the 19th century, legislatures became more prolific, legal codes became more prominent, and case law began, more frequently, to interpret statutes rather than to expound on traditional rules.
The body of law that governs the physical development of real property did not escape the trend toward codification, although the result, modern land use zoning, did not crystallize until the early 20th century. Nevertheless, in the history of development there is a long tradition of formal regulation, which may obscure the importance of a key change in modern city planning.
Since antiquity, written codes have regulated construction in cities (e.g., to reduce risks of fire, collapse, and disease) and ensured the integrity of public rights of way. In the 19th century, such codes were at work American cities, and they continue to exist today, primarily in the form of building codes. The salient change, which tracked the modern trend toward greater codification, was the advent of the comprehensive regulation of land use. Unlike a building code, a zoning ordinance specifies permissible activities and limits development intensity for non-safety reasons. Thus, in the common-law world, one could see the advent of land-use zoning as an attempt to codify the prevention of nuisances. The increasing regulation of land use over the past century has diverted and reordered the powerful non-legal forces that once shaped development; when studying land development norms of the Late Victorian past, the silence of the law is often its most notable distinction.
Logic and Tradition as Positive Forces
In the more free-form legal context that developers enjoyed before zoning, one can imagine the formation of a new town. In an environment of light regulation, new settlements form as local variations on a general, logical pattern. Imagine any crossroads, for example, as the seed of a new town. A crossroads is logical, because it will experience more traffic than any non-intersecting point along either of its constituent thoroughfares, making it a good spot for a church, an inn, or a market. Better, still, is a crossroads near a secondary transport route, such as a river, harbor, or railroad track; or a crossroads near a natural resource, like a mineral vein or a hardwood forest. In some cases, chance or unique circumstances may determine why people initially select a particular point for a solitary outpost. Yet once a destination is established, the value of the adjacent sites increases by an order of magnitude: Now, this site receives the traffic for its newfound destination. With a second destination, the crossroads becomes the smallest kind of settlement.
From here, our settlement has the potential for continued growth. At some point, it may attract enough people to justify building a green or a forum. With foresight, the founders may reserve the last unoccupied angle of the crossroads for this use, as was done in the Roman tradition. If, instead, the designation of a common space is reactive, then it might be done a short distance up or down one of the two main roads, from which point it may eventually become a new center of gravity for the growing settlement.
If the trend continues, a logical course of action would be to build out a grid from the central locus to accommodate continued growth. Builders may extend blocks to establish the green shoots of this settlement pattern into the surrounding raw land. Over time, these activities may shape a pattern of neighborhood development with the economic and cultural forces that operate within it. This is because, in the absence of a formal planning process, towns and cities are living, responsive manifestations of the social lives, economies, and cultural norms of their people.
The Shaping Factors of Free-Form Urbanism
In contrast with the positive forces of urban genesis, an array of other, limiting factors presented forms of resistance that ultimately shaped the growth of neighborhoods. Most neighborhoods whose essential qualities survive from the late 19th century were not formally, centrally planned. One of the most interesting land use riddles—which should be at the heart of any inquiry into traditional town planning— is how the towns and cities of that period often achieved such good layout, massing, and general communication between diverse sites, given the much smaller toolbox of legal devices that controlled such phenomena prior to the early 20th century. Solving the riddle about what has gone missing in today’s development requires identifying the factors that fostered greater cohesion between urban parcels in the past. (This is a separate question from what caused the decline in quality of the architecture of individual structures and it goes much more to the essence of effective land-use planning.)
Five major constraints, or shaping factors, tempered the form of urbanism in its Late Victorian, free-form heyday. Bright-line distinctions did not always separate these factors. In fact, to a certain extent, their forces of influence tended to overlap.
1) The Topography and Dimensions of Development Sites
In the period before modern zoning, the layout of a new neighborhood was shaped by topography and subdivision. The former was mostly a given; the latter was done, as it is today, through the recording of plats, which showed the precise dimensions of new lots and rights-of-way. A typical American platting statute in the 19th century was enacted by a state legislature, and required filings to include a survey map; a written site description, with metes and bounds; a declaration of intent to subdivide the property; a scale and a compass; and the seal of a licensed surveyor or engineer. Publicly-owned lands could be platted by municipal authorities, while private lands could be platted by their respective owners, and multiple owners could jointly file for contiguous parcels. Issues such as street lines and zero-lot lines might have been addressed on a case-by-case basis. Notably absent from these statutes were any references to regulations pertaining to massing and land-use considerations. However, it was not unheard of for platting statutes to include an acknowledgment of the general police power over subsequent development. In areas of new growth, plats may have been initiated by the developers themselves.
In tandem with the human hand of subdivision, natural topography determined how individual sites could be developed. Steep slopes, watercourses, flood plains, wetlands, exposures to sunlight, and other factors could all present obstacles to the development patterns of a particular site. Of course, these topographic and environmental considerations have shaped the development of towns since antiquity.
2) Patterns Shaped by Contemporary Building and Transportation Technologies
Prior to the advent of railroads, any settlement not situated on a navigable waterway was limited to such commerce as could be supported by slow, overland routes, and the beasts of burden that traversed them. Accordingly, nearly every large settlement was situated on a seaport, a river, or a canal. And even within these maritime cities, intense development was viable only in proximity to the piers. Thus, the densest parts of old river cities as diverse as classical Rome, Elizabethan London, and 18th-century New York, tended to sprawl along their respective riverfronts, with their densest areas of settlement being essentially riparian and expanding in a linear, rather than concentric, pattern. Meanwhile, European cities with extensive canals, like Venice and Amsterdam, offer some of the most extensive examples of pre-industrial concentric urbanism, because their networks of artificial waterways served as capillaries for trade and the corresponding growth of dense urbanism.
During the second half of the 19th century, the growth of railroads played an outsized role in reshaping American land development patterns. With the advent of railroads, suddenly, vibrant towns and neighborhoods could be developed—and integrated into the larger economy—in proximity to any fixed stop along a track. Freed from its dependence on navigable waterways, the canvas of urbanism grew exponentially. On a local scale, streetcar lines, subways, and elevated railroads acted as arteries of urban growth that allowed the outward expansion from the central districts served by intracity rail. Yet, within this far-flung network rail-driven settlements, technological limits continued to exert pressure on developers to maximize land use efficiency on parcels close to transportation arteries. Most significantly, before the advent of motor vehicles, neighborhoods were still necessarily compact: A practical limit, walkable distances from rail lines, represented the continuation of a constraint that had existed in relation to navigable waterways since classical times. Thus, while railroads, including streetcars, expanded the canvas of urbanism, they did not so much disrupt the traditional patterns of cohesion within individual neighborhoods.
Accordingly, the period between the advent of railroads and the rise of motor vehicles (from about 1850 to 1910) was a historically unique period in the history of land development. In this era, urbanism could be economically viable in settings that lacked maritime commerce, and industry drove such development to countless new places. Yet the essential, intricate patterns of Western European urbanism were not threatened by sprawl. In contrast, the potential height of structures did grow significantly during this period. Large apartment buildings became increasingly common in New York, Brooklyn, Philadelphia, and other east coast cities, and the first skyscrapers took shape at the latter end of this era. Accordingly, this period became a sort of tabula rasa for free-form urbanism, in which traditional forms could admit variations and experiments—such as taller buildings, experimental architecture, and streetcar suburbs—that would not have been technologically viable in earlier times. Yet neighborhoods retained the compact scale of European urbanism that had shaped settlements since antiquity.
3) Common Law Principles
In the late Victorian period, covenants could be made between private parties pertaining to land use. The basic form of such covenants dates from the decision in Spencer’s Case, in 1583, though scholars have suggested that the principle itself may be much older than that. However, the early covenants applied to the assignment of leases, and not to successive owners in fee. In England, the modern form did not take shape until the 1848 decision in Tulk v. Moxhay, which confirmed that equitable remedies (e.g., injunction and specific performance) could be used to enforce such agreements; and that covenants could be enforced in the equity courts against successive owners in fee. In America, real covenants had been allowed by courts from earlier times. Thus, on both sides of the Atlantic, by the time the Industrial revolution was reaching its full force, a device was available by which private parties could limit the allowable uses of their land—and these covenants could be made to “run with the land”—providing some measure of protection, for certain parties, against the dangers of growing industry.
In a typical form, one parcel would be burdened while the other would be benefited. Thus, reciprocal covenants could be used to enshrine certain qualities in future development patterns. When tracts of rural land were subdivided into smaller parcels for town development, entire neighborhoods could be shaped by running covenants. In addition, such covenants could fill the vacuum—to some extent—that the common-law system had left in the land-use constraints on private property as industry became more noxious. Yet covenants were limited in their utility by their requirement of horizontal privity, which typically meant the covenanting parties had to begin by subdividing a single parcel. While the precise definition varied by time and place, this rule had the invariable effect of limiting the circumstances under which parties could create covenants that would bind their successors. Thus, even neighboring property owners who agreed upon the need for specific restrictions could not simply establish covenants that would bind subsequent owners, in the same simple manner by which they could enter into contracts.
Because covenants required the assent of both the burdened and benefited parties, they were also relatively useless in addressing the growing number of conflicts that arose as cities and industries grew. Until the onset of zoning laws in the early 20th century, the common-law nuisance case was the main legal device that parties could use to restrain the noise, pollution, and congestion created by industrial sites. Nuisance law was limited, however, by interpretive trends that led to all-or-nothing remedies (e.g., closure of a factory versus the continuation of its nuisances); and by an increasing tendency of the courts, in the industrial age, to weigh the societal benefits of an activity against the costs to the immediate neighbors of the purported nuisance. Thus, by the early 20th century, the failure of traditional nuisance law to effectively police the consequences of heavy industry had become a major factor in the push for clearer and more predictable land-use regulation. As noted above, the early zoning ordinances could be seen as a codification of nuisance law to address—and presumably avert—some of the most common disputes that arose in industrial cities.
Thus, private covenants, on one hand, and nuisance law, on the other, constituted the basic common law that governed private land use in the Late Victorian period. This decidedly non-comprehensive system fostered a liberal development environment within which individual owners were largely free to innovate and be resourceful in how they developed the land. In the rural settings where new towns were being settled, and at the edges of growing cities where new neighborhoods were being developed, there were often only the constraints of nuisance law and simple economics on builders. Moreover, within established neighborhoods, as changing economic and technological pressures gradually altered the types of development that would be viable, the constitution of the urban fabric was free to evolve much more organically and responsively than it would be under today’s heavier and more political regulation.
Describing the transition of neighborhoods from private homes to apartment and commercial buildings, a process that was once taken for granted, Frank Backus Williams counseled urban planners in 1922 that, “such changes usually cannot and should not be opposed, for the higher land values (attained for such purposes) generally indicate that the new use is of greater importance to the community[.]” Fundamentally, a property owner under the common law system had a great deal of latitude and—with a few exceptions—could build as he pleased on his land.
4) The Evolving Landscape of Building Safety Codes.
Common-law urbanism was also covered by a veneer of statutory laws. The most significant of these were various types of safety codes. Yet much of the statutory land-use regulation that existed in the Late Victorian period was similar in nature to rules that had shaped urban development since ancient times; and these laws, like their ancient forerunners, did not attain the pervasiveness and restrictiveness that would characterize later, modern zoning laws. The rationale for safety laws was, quite narrowly, the promotion of safety, and their scope was defined accordingly.
In Rome, Augustus limited the height of new residential buildings to approximately 68 feet, to reduce the risk of collapse in the city’s growing insulae, or apartment blocks. Likewise, during the Renaissance, buildings in Venice and Florence were limited in height. Following the Great Fire of 1666, the City of London enacted the first significant building codes in British history. While these examples of laws were all enacted to reduce various risks to the public safety, they had the collateral effect of shaping their respective cities in those places, like Classical Rome’s Suburra, or along the Grand Canal in Venice, or in the 17th-century City of London, where unrestrained development pressures would otherwise have promoted the construction of larger and more crowded buildings.
The enactment of safety regulations, which in certain cases limited and shaped the development patterns of private property, was not novel—and during the heyday of free-form urbanism, such safety codes continued to govern urban building practices to reduce the risks of fire, disease, or collapse. Still it is important to note that codes prescribing a maximum density were likely to be factors only in those exceptional places where development pressure was quite intense, and where economic pressures would support development intensity that exceeded a consensus about safe practices. (This limited impact stands in sharp contrast to modern American zoning laws, which prohibit the construction of safe, economically viable development patterns to protect the preferences and property values of current owners from the real estate pressures of an evolving marketplace.)
In late Victorian America, safety laws primarily addressed the usual culprits. Over time, however, local authorities found ways to discourage certain unwanted types of development through dubious applications of safety regulations. Frank Backus Williams captures this when he writes:
A favorite means in many communities of excluding the “three decker” (i.e., the three story tenement house, with an apartment to the floor, often covering an undue percentage of the lot) is to make the requirements for it so expensive that it cannot be built at a profit. The New York City tenement house law, passed in 1901, provided that all tenements over six stories in height should be fire proof, and later amendments have made the six story building proportionately more expensive than the five story structure. Chicago has for many years required all tenements over three stories to be of fire proof material. The result is that in Manhattan and other parts of the city, New York is prevailingly a city of six or five story residences, while in Chicago the three story type is the predominant one. At the time these fire proofing regulations were passed, a plain height limit prescribing such a maximum would have been difficult of enactment.
Thus, by the turn of the century, we can see that local officials were using safety rules to limit the massing of apartment buildings in dense cities; and we can imagine that this practice may have incorporated political objectives, in addition to safety objectives. But we can also see how limited the hand of the law remained: Even these constraints only came into play in locales where development pressure was sufficient to promote construction that exceeded the size of traditional neighborhood development patterns. When, in describing the impact of the New York tenement law, Williams writes about “other parts of the city,” he presumably refers to those exceptional places in the boroughs outside Manhattan where real estate markets would support development that equaled or exceeded these constraints. In contrast, in most of the outlying locales of Greater New York at the turn of the 20th century, the city’s regulatory discouragement of residential buildings exceeding five stories in height would have had little or no effect on the formation of neighborhood patterns.
Similarly, setback requirements were also more constrained in the heyday of Late Victorian urbanism, as they typically represented strips of land acquired prospectively, or reserved by easement, for future street widening. By the early 20th century, the potential use of setback requirements to forestall high-density development was understood. Yet, as Williams notes, planners at the time saw this as a secondary purpose, and a temporary device to preserve the low density of certain blocks until they had become ripe for more intense land development. He wrote:
[T]he change should not be made at the whim of one or two shortsighted or selfish land owners, who by building to the sidewalk force an immediate and general change against the interests of the street as a whole, and temporarily impair land values for the entire street. With a setback established, such a change is impossible until the city, in the general interest or the interest of the majority of the property owners on the street, removes the restriction and authorizes the change of use.
Thus, we again see a utilitarian exercise of the general police power that was applied, creatively, in the early 20th century, to circumscribe market activities that had previously been driven by a plethora of individual actors. In the heyday of Late Victorian free-form urbanism, it was the norm for individual property owners to build to the established street line when they intuited—correctly or not—that their neighborhood real estate market would reward such development. When the initial actors intuited correctly, and their hyperlocal market did reward such densification, other nearby actors would also step in to meet the demand. This was the force that shaped the development of the whole physical fabric of free-form Late Victorian urbanism. Even among planners who sought to constrain the chaotic effects of ad hoc activities by individual actors, there was a general understanding of the logic and desirability of organic urban growth, and the trend toward densification that occurs as result of intensifying development pressures.
5) Traditional Western European Concepts of Town Planning
Finally, tradition remained a powerful shaping factor in modern free-form urbanism. When examining the genesis of urban forms, it can be a particular challenge to separate the influence of tradition from the force of logic.
In spite of their functionality, some of the ubiquitous elements of traditional urbanism have a cultural provenance. The role of a crossroads in embryonic urbanism has ancient roots in European planning: The Romans formalized the generative significance of the crossroads early in the Republic. In new towns, and especially in frontier towns, a crossroads lay at the heart of the textbook Roman town plan. Two major thoroughfares, following initial surveyors’ lines, bisected the settlement into quadrants, roughly approximating the cardinal directions. Running north and south, the cardo was typically the main commercial strip of the town; while the decumanus maximus was its largest cross street, running roughly east and west. In the angle where they met was the town forum. But in spite of its formalization by the Romans, the simple mathematical logic of growth around a crossroads is too compelling to attribute its ubiquity to purely cultural factors. In fact, a crossroads lies at the historical center of many towns more ancient than the Roman republic. (The ancient Parthian capital of Ctesiphon is a good example; but there are too many other examples to count.)
The placement and significance of an open public square, serving as a gathering place, is unambiguously a product of cultural tradition. The Roman forum was heir to the Greek agora, which originated in tandem with the participatory political systems of the Hellenic city-states. Prior to classical antiquity, there is little evidence of true squares having existed. Likewise, the geometric grid, which produces a potentially infinite number of intersections and squares, is a product of fifth-century Greece (although less formal grids had developed earlier, and more organically, in towns of the ancient Near East). By the time of Imperial Rome, the forum was the established site for law courts, temples, political activities, festivities, and various commercial and administrative activities; and the grid was the textbook method for building out a new Roman town. One can still observe the basic Roman layout of cardo, decumanus, and forum at the ruins of Pompeii and Lepcis Magna, and elsewhere throughout the Mediterranean basin. Down through the centuries, the English carried on some of the major elements of this tradition, and the Mediterranean countries carried on others, the major distinction being between town greens in the Anglo-Saxon world, and paved plazas in continental Europe and Latin America.
Similarly, the formation of continuous street walls, the separation of cartways (now traffic lanes) from sidewalks, and the separation of uses between street levels and upper stories are all phenomena that came down to the modern city from the urban traditions of classical antiquity. Other elements, such as the densification of settlements with continued growth and the concentration (in larger settlements) of related activities in particular neighborhoods, derived from the simple logic of past practices. Yet irrespective of their cultural or practical origins, these traditions exerted both positive and limiting influences on how neighborhoods were developed in late 19th century America. While these forms presented the surveyors and builders of the industrial age with a template for how towns and cities should take shape, their pervasiveness may also have tended to discourage radical departures from the patterns that had characterized the familiar pattern of European urbanism since classical antiquity.
The Landscape of Development in Late Victorian America
Even if comprehensive land-use planning were eliminated today, the factors that influence development patterns would be very different from those of the Late Victorian period—as different as the factors in that time were from those that had shaped agrarian or maritime towns before the advent of railroads and heavy industry. Thus, one cannot presume that a radical liberalization of land-use regulation would lead directly to a renaissance of traditional neighborhood design. More likely, such a change would take land development into uncharted territory.
Consider that the most significant effects of automobile-driven sprawl occurred after the widespread adoption of zoning ordinances. In the absence of zoning, market forces might drive the densification of development in certain locales, such as the suburbs of major cities; but these forces would not necessarily produce organic development patterns—particularly in low-density regions—similar to the compact forms that characterized American neighborhoods in the Late Victorian period.
Perhaps of equal importance, the broad Western cultural norms that influenced urban development in the late 19th century no longer sustain a consensus in American society, and a century of adherence to formal regulations has vitiated many of the granular traditions that once shaped the work of architects, tradesmen, land surveyors, and lawyers. For these reasons, the large-scale and small-scale traditions that shaped the building patterns of that time are not necessarily within reach. Finally, it is important to acknowledge two very important successes of land use regulation—the end of widespread slum housing development and the segregation of noxious industry—either of which could be undone with a radical liberalization of land use regulation.
Today, achieving the kind of development environment that flourished during the Late Victorian period—and spawned walkable, diverse, and architecturally rich neighborhoods—would likely require a hybrid approach. It would need to incorporate certain elements of the more liberal development landscape that existed in late Victorian urbanism. But it would also be tempered by new forms of regulation narrowly targeting modern tendencies toward sprawl and homogeneity, while preserving the advances in city planning that have been attained over the last century. Yet a clearer understanding of the elements that helped shape the urbanism of another time may light the way as 21st-century planners seek to once again build vibrant towns and neighborhoods, places that reflect the greatest traditions of a free society.
Copyright 2017 Theo Mackey Pollack