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UBC Theses and Dissertations

Zoning and density transfers Richard, Laura Lee 1982

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ZONING AND DENSITY TRANSFERS by LAURA LEE RlCHARD B.A., U n i v e r s i t y Of Saskatchewan, 1974 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS in THE FACULTY OF GRADUATE STUDIES The School Of Community And Regional Planning We accept t h i s t h e s i s as conforming to the r e q u i r e d standard THE UNIVERSITY OF BRITISH COLUMBIA October 1982 © Laura Lee Rich a r d , 1982 In presenting t h i s thesis i n p a r t i a l f u l f i l m e n t of the requirements for an advanced degree at the University of B r i t i s h Columbia, I agree that the Library s h a l l make i t f r e e l y available for reference and study. I further agree that permission for extensive copying of t h i s thesis for scholarly purposes may be granted by the head- of my department or by his or her representatives. I t i s understood that copying or publication of t h i s thesis for f i n a n c i a l gain s h a l l not be allowed without my written permission. Department of Community and Regional The University of B r i t i s h Columbia 1956 M a i n M a l l Vancouver, Canada V6T 1Y3 October 18, 1982 ii Abstract This thesis presents a c r i t i c a l examination of zoning and density transfers and develops a conceptual framework for their integration. An evaluation of the practice of zoning results in i d e n t i f i c a t i o n of ten major elements of zoning: separation of incompatible uses, r e s t r i c t i o n on the size and s i t i n g of structures, uniformity, noncompensation, protection of property values, r i g i d i t y , p r e d i c t a b i l i t y , negativity, government immunity, and nonretroactivity. Although these elements have changed in response to implementation requirements, they continue to define the basic form of zoning. A density transfer is defined as the separation of a property's development potential and i t s relocation to another property. Density transfer programs are divided into two major groups: s i t e - t o - s i t e transfer programs intended to protect heritage s i t e s , create park s i t e s , or encourage r e s i d e n t i a l development through transfers to one or more properties within the same zone; and, zone-to-zone transfer programs intended to protect a g r i c u l t u r a l or environmentally sensitive areas from development by their designation as preservation zones from which density may be transferred to growth areas. In analysis of planning and design, economic, l e g a l , p o l i t i c a l and administrative aspects of density transfers, s i t e - t o - s i t e transfers have greater potential for application in Canada than zone-to-zone transfers. This i s due to the l a t t e r ' s greater complexity and differences between Canadian and American land i i i use l e g i s l a t i o n . T h r o u g h t h e c r i t i c a l e x a m i n a t i o n of z o n i n g and d e n s i t y t r a n s f e r s , a b a s i s f o r a c o n c e p t u a l framework w h i c h i n t e g r a t e s t h e two c o n c e p t s i s e s t a b l i s h e d . An a b s t r a c t i o n o f two l e v e l s of t h e o r y i s d e v e l o p e d . At a h i g h e r l e v e l of t h e o r y , w h i c h r e l a t e s t o t h o u g h t s a b o u t phenomena, a g o a l - o r i e n t e d , t e l e o l o g i c a l framework i s u t i l i z e d w h i c h i n c o r p o r a t e s works from t h e s o c i a l s c i e n c e s l i t e r a t u r e . At a l o w e r l e v e l of t h e o r y , w h i c h c o n c e r n s r e l a t i o n s h i p s between phenomena, z o n i n g ' s e l e m e n t s a r e u t i l i z e d t o i n t e g r a t e d e n s i t y t r a n s f e r s w i t h z o n i n g . D e n s i t y t r a n s f e r s a r e shown t o p r o v i d e a mechanism f o r r e d u c i n g z o n i n g d e f i c i e n c e s t o a c h i e v e p u b l i c o b j e c t i v e s by c r e a t i n g a means for d i f f e r e n t i a t i o n of i n d i v i d u a l l a n d p a r c e l s w i t h i n z o n e s , c o m p e n s a t i o n for i n e q u i t a b l e r e g u l a t i o n , e n h a n c i n g f l e x i b i l i t y , and b e i n g a p o s i t i v e , g r o w t h d i r e c t i n g t e c h n i q u e . i v Table of Contents A b s t r a c t . i i L i s t of Tables . v i L i s t of F i g u r e s v i i Acknowledgement v i i i I. INTRODUCTION 1 A. PURPOSE 1 B. THE THEORETICAL APPROACH 3 C. LIMITATIONS OF THE THESIS 5 I I . LAND USE CONTROL IN UNITED STATES AND CANADA 7 A. INTRODUCTION 7 B. THE POWER TO REGULATE 8 1. THE UNITED STATES .8 2 . CANADA 9 3 . COMPARI SON 10 I I I . A CRITICAL REVIEW OF ZONING 12 A. INTRODUCTION 12 B. ZONING PRINCIPLES 12 C. ZONING ELEMENTS 14 1. SEPARATION OF INCOMPATIBLE USES 14 2. RESTRICTION ON THE SIZE AND SITING OF STRUCTURES 17 3. UNIFORMITY 20 4. NONCOMPENSATION 2 2 5. PROTECTION OF PROPERTY VALUES 23 6. RIGIDITY 24 7. PREDICTABILITY 28 8. NEGATIVITY 2 9 9. GOVERNMENT IMMUNITY 3 0 10. NONRETROACTIVITY 30 D. ZONING AND THE COMMUNITY PLAN 31 IV. TRANSFER OF DENSITY 3 4 A. INTRODUCTION 34 B. DENSITY TRANSFERS WITHIN ZONES 35 1. HERITAGE PRESERVATION 37 2. URBAN PARKS 43 3. DENSITY EXCHANGES 44 4. DENSITY INCREASES 46 C. DENSITY TRANSFERS BETWEEN ZONES 47 V. A CRITICAL ANALYSIS OF DENSITY TRANSFERS 49 A. PLANNING AND DESIGN ELEMENTS 49 1. TRANSFERS WITHIN ZONES 4 9 2. TRANSFERS BETWEEN ZONES 51 B. ECONOMIC ASPECTS 54 1. THE VALUE OF TRANSFERABLE DENSITY 54 2. FINANCIAL IMPLICATIONS 56 a. T r a n s f e r s Within Zones 57 b. T r a n s f e r s Between Zones 59 3. PUBLIC FISCAL EFFECTS 60 4. THE DEVELOPMENT RIGHTS BANK 62 C. LEGAL CONSIDERATIONS 63 D. POLITICAL FACTORS 66 V E. ADMINISTRATIVE ASPECTS 67 F. EQUITY ISSUES 68 VI. ZONING AND DENSITY TRANSFERS: AN INTEGRATION 70 A. INTRODUCTION 70 B. A GOAL ORIENTED FRAMEWORK ...71 C. ZONING AND DENSITY TRANSFERS 75 1. ZONING'S THEORETICAL CHARACTERISTICS 75 2. DENSITY TRANSFERS' THEORETICAL CHARACTERISTICS 77 D. A THEORETICAL RELATIONSHIP 79 a. Separation Of Incompatible Uses 79 b. R e s t r i c t i o n On The S i z e And S i t i n g Of S t r u c t u r e s 79 c. U n i f o r m i t y 80 d. P r o t e c t i o n Of Property Values 80 e. Noncompensatory 80 f. R i g i d i t y 81 g. P r e d i c t a b i l i t y 81 h. N e g a t i v i t y 81 i . Government Immunity 81 j . N o n r e t r o a c t i v i t y 82 E. CONCLUSION 82 BIBLIOGRAPHY 84 APPENDIX A - A DOCUMENTATION OF DENSITY TRANSFER PROGRAMS AND PROPOSALS 94 v i L i s t of T a b l e s 1. M o n e t a r y C o m p e n s a t i o n T e c h n i q u e s f o r H e r i t a g e D e s i g n a t i o n ... 40 2. Non-Monetary C o m p e n s a t i o n T e c h n i q u e s f o r H e r i t a g e D e s i g n a t i o n 41 v i i L i s t of F i g u r e s 1. F l e x i b i l i t y v . R i g i d i t y ....28 2. H e r i t a g e P r e s e r v a t i o n T h r o u g h D e n s i t y T r a n s f e r s 38 3. Exchange of D e n s i t y .- 45 4. Demand/Supply D e n s i t y T r a n s f e r R e l a t i o n s h i p s 56 v i i i A cknowledgement I w i s h t o s i n c e r e l y t h a nk my a d v i s o r s , Johnny C a r l i n e and Brahm Wiesman f o r t h e i r g e n e r o s i t y i n h e l p i n g w i t h t h i s t h e s i s , . To P a u l , I owe much more t h a n i t s im p r o v e d grammar. 1 I. INTRODUCTION A. PURPOSE The purpose of t h i s t h e s i s i s to examine zoning and d e n s i t y t r a n s f e r s , and to develop a conceptual framework f o r the i n t e g r a t i o n of the two concepts. The inadequacy of past and present techniques of land use c o n t r o l i s a r e c u r r e n t theme in the l i t e r a t u r e . T h i s i s i l l u s t r a t e d i n the f o l l o w i n g statements: The f a i l u r e of land use c o n t r o l law can be seen i n the dreary, monotonous suburban developments which have sprung up and around every major c i t y i n the country, or in s t e r i l e , m o n o l i t h i c o f f i c e b u i l d i n g s i n which hundreds of people work and through which hundreds more pass d a i l y and in which no p r o v i s i o n s have been made f o r . . . a place to s i t down. (Benson, 1970, p.895) . Conventional zoning i s p a r t i c u l a r l y i n e f f e c t i v e when a p p l i e d to the problem of how best to p r o t e c t an area's open space and environmental resource. I t can do l i t t l e more than provide f o r the harmonious and e f f i c i e n t development of a l l the land. (Marcus, 1980, p.5) The f a c t of the matter i s that government d e c i s i o n makers are at l e a s t as r e s p o n s i b l e f o r landmark a t t r i t i o n as the v i c i s s i t u d e s of the market p l a c e . Developers do not destroy landmarks because they are u n r e l e n t i n g p h i l i s t i n e s . . . t h e y do so because t h i s course of a c t i o n i s v i r t u a l l y f o r c e d upon them by the zoning r u l e s that the c i t y i t s e l f f i x e s . ( C o s t o n i s , 1975, p.18) To a l l e v i a t e some of the u n d e s i r a b l e outcomes from zoning a l l u d e d to in preceding q u o t a t i o n s , d e n s i t y t r a n s f e r s , commonly r e f e r r e d to as the t r a n s f e r of development r i g h t s (TDR) or t r a n s f e r of development p o t e n t i a l (TDP), have been proposed. A d e n s i t y t r a n s f e r i n v o l v e s the s e p a r a t i o n of a p r o p e r t y ' s 2 development p o t e n t i a l , d e f i n e d as the amount of d e n s i t y p e r m i t t e d by zoning, from the land i t s e l f and i t s t r a n s f e r to another pr o p e r t y elsewhere. I t i s a simple concept, h o l d i n g the promise of a c h i e v i n g d e s i r e d p r i v a t e and p u b l i c o b j e c t i v e s where e x i s t i n g land use c o n t r o l s are inadequate. D e n s i t y t r a n s f e r programs and p r o p osals have t y p i c a l l y been intended to achieve s p e c i f i c o b j e c t i v e s , i n c l u d i n g : • compensation f o r r e s t r i c t i v e h e r i t a g e d e s i g n a t i o n s ( C o s t o n i s , 1972; Rody, 1975) • p r o t e c t i o n of a g r i c u l t u r a l lands, environmentally s e n s i t i v e areas, or other open space (Chavooshian et a l , 1975; Woodbury, 1975); • a v o i d i n g " w i n d f a l l s and wipeouts" a s s o c i a t e d with land use r e g u l a t i o n (Hagman and M i s c z y n i s k i , 1978; Gans, 1975); • i n c r e a s i n g d e n s i t i e s i n r e s i d e n t i a l neighbourhoods (Nelson, 1977; Babcock and Weaver, 1979); • management of growth in u r b a n i z i n g or r a p i d l y growing regions (Lynch, 1975; Goodman, in Rose, 1975); • p r o v i s i o n of housing in mixed-use urban core areas ( C i t y of Toronto, 1976); • c r e a t i o n of open space in densely b u i l t up urban areas (Lemonides and Young, 1978); • p r e s e r v a t i o n and r e h a b i l i t a t i o n of neighbourhoods (Demmings, 1979). The d e n s i t y t r a n s f e r concept may provide a s o l u t i o n to 3 m e e t i n g some of t h e s e o b j e c t i v e s by c o m p l e m e n t i n g z o n i n g . The l i t e r a t u r e does n o t p r o v i d e a t h e o r e t i c a l b a s i s f o r s u c h an i n t e g r a t i o n w h i c h i s t h e p u r p o s e o f t h i s t h e s i s . B. THE THEORETICAL APPROACH S u c c e s s f u l i m p l e m e n t a t i o n o f a l a n d use c o n t r o l t e c h n i q u e r e q u i r e s t h a t i t be t h e o r e t i c a l l y sound. S i n c e t h e d e n s i t y t r a n s f e r c o n c e p t has grown o u t of z o n i n g , t h i s e v a l u a t i o n n e c e s s a r i l y c o n s i d e r s b o t h c o n c e p t s t o d e t e r m i n e i f t h e y c a n be t h e o r e t i c a l l y i n t e g r a t e d . The t e r m " t h e o r y " has s e v e r a l a c c e p t e d d e f i n i t i o n s . In t h e p h y s i c a l s c i e n c e s , t h e t e r m r e f e r s t o a f o r m a l s e t of r e l a t i o n s h i p s whose u n d e r l y i n g p r i n c i p l e s have been s a t i s f a c t o r i l y v e r i f i e d . The word can a l s o be u s e d t o s u g g e s t an i d e a o r a t h o u g h t w i t h o u t any e v i d e n c e of v a l i d i t y - a g u e s s or a c o n j e c t u r e . N e i t h e r d e f i n i t i o n i s r e l e v a n t t o t h e p r o b l e m a d d r e s s e d by t h i s t h e s i s . T h e o r y i s a l s o u s e d as a means of e x p l a n a t i o n , e x p l a i n i n g why e v e n t s a r e a s s o c i a t e d o r r e l a t e d t o e a c h o t h e r . I t i s t h i s use of t h e t e r m t h e o r y w h i c h i s most a p p r o p r i a t e f o r d i s c u s s i n g l a n d use c o n t r o l s i n c e i t can be u s e d t o r e l a t e h i s t o r i c a l e x p l a n a t i o n and e m p i r i c a l e v i d e n c e . A s o c i a l s c i e n t i s t , B ooher, i n t e r p r e t s t h e t e r m t h e o r y i n t h i s f a s h i o n : ...a t h e o r y i s a l o g i c a l p r o p o s a l t o h e l p s t r u c t u r e and e v a l u a t e e m p i r i c a l o b s e r v a t i o n s whether by r e a s o n i n g from a g e n e r a l p r o p o s i t i o n t o an unknown e m p i r i c a l f a c t o r by r e a s o n i n g from s e v e r a l e m p i r i c a l o b s e r v a t i o n s t o d e v e l o p a g e n e r a l e x p l a n a t i o n of most 4 such o b s e r v a t i o n s . The purpose of using explanatory theory i n the t h e s i s i s to i n t e g r a t e zoning and d e n s i t y t r a n s f e r s , to f a c i l i t a t e e v a l u a t i o n of l i k e l y consequences of t h e i r combined use, and determine how the outcome r e l a t e s to d e s i r e d o b j e c t i v e s . I t p r o v i d e s the conceptual framework necessary to combine the two d i f f e r e n t , but r e l a t e d , p r o c e s s e s . The need to develop a sound t h e o r e t i c a l b a s i s i n t h i s t h e s i s may be analogous to Booher's (1974, p.7) i d e n t i f i e d needs as regards c i t i z e n p a r t i c i p a t i o n : I t seems c l e a r that what i s needed are not more incremental experiments with new i n s t i t u t i o n a l forms which may or may not be designed to achieve a more meaningful sense of p a r t i c i p a t i o n , but rather the development of a t h e o r e t i c a l b a s i s upon which designs f o r new i n s t i t u t i o n a l arrangements can be shaped, t e s t e d e m p i r i c a l l y , and e v a l u a t e d . Numerous techniques have been developed to modify the o r i g i n a l concept of zoning but few have had a t h e o r e t i c a l base. Most have been adopted as p r a c t i c a l responses to l o c a l needs because of p a r t i c u l a r zoning d e f i c i e n c i e s . T h i s has l e d to a piecemeal approach: Rarely i s a systematic a n a l y s i s undertaken of the e f f e c t i v e n e s s and a p p r o p r i a t e n e s s of p a r t i c u l a r t o o l s in a c h i e v i n g land use o b j e c t i v e s . . . a l i m i t e d p e r s p e c t i v e of the o v e r a l l land-use program- t r e a t s each c o n t r o l as an i n d i v i d u a l element rather than a component in an i n t e g r a t e d guidance system... (Bergman et a l , 1974, p.41) M a k i e l s k i (1967, p.9) c r i t i c i z e s the r i s e of new approaches to 5 u r b a n p r o b l e m s b e c a u s e t h e r e has been no c o n c e n t r a t e d e f f o r t t o f i t t h e s e i n t o a s i n g l e t h e o r e t i c a l r e l a t i o n s h i p . In h i s view, z o n i n g has s u f f e r e d t h e most. Where t h e r e have been e f f o r t s t o i n t r o d u c e z o n i n g t h e o r y , weaknesses i n t h e t h e o r y has meant t h e r e has been l i t t l e i n f l u e n c e on t h e d e v e l o p m e n t of t h e s y s t e m of l a n d u s e c o n t r o l s ( N e l s o n , 1977, p . x i ) . D e s p i t e r e c o g n i t i o n of t h e s e c o n c e r n s t h e l i t e r a t u r e d i s c u s s i n g t h e z o n i n g c o n c e p t i n c o n c e p t u a l t e r m s i s r e l a t i v e l y s p a r s e . N e l s o n (1977, p.7) w r o t e h i s book on z o n i n g a f t e r d i s c o v e r i n g t h a t " a l t h o u g h z o n i n g has e x i s t e d i n t h e U n i t e d S t a t e s f o r s i x t y y e a r s , i t s p u r p o s e s and o b j e c t i v e s have n e v e r been w e l l u n d e r s t o o d " and Babcock (1966, p.115) c o u l d not f i n d a g e n e r a l l y a c c e p t e d answer t o t h e q u e s t i o n , "Why do we have z o n i n g anyway?" Most o f t h e d e n s i t y t r a n s f e r works use an e m p i r i c a l a p p r o a c h t o d e v e l o p p r a c t i c a l r e s p o n s e s t o p e r c e i v e d n e e d s , a l t h o u g h many i n c o r p o r a t e some e l e m e n t s of a t h e o r e t i c a l v i e w p o i n t . None, however, have a t t e m p t e d t o p r o v i d e f o r i t s i n t e g r a t i o n w i t h z o n i n g as t h i s t h e s i s i s i n t e n d e d t o a c c o m p l i s h . C. LIMITATIONS OF THE THESIS A l i m i t a t i o n o f t h i s t h e s i s i s t h a t i t does not i n v e s t i g a t e how v a r i o u s o t h e r l a n d use c o n t r o l t e c h n i q u e s c o u l d a l t e r t h e t h e o r e t i c a l outcome of t h e r e l a t i o n s h i p between z o n i n g and d e n s i t y t r a n s f e r s . Urban d e v e l o p m e n t i s a l s o g u i d e d by p u b l i c g o a l s and p o l i c i e s , c o m p r e h e n s i v e and f u n c t i o n a l p l a n s , t a x a t i o n 6 and p u b l i c i n v e s t m e n t p o l i c i e s , i n f r a s t r u c t u r e l o c a t i o n p l a n s , b u i l d i n g p e r m i t s , and s u b d i v i s i o n b y l a w s . I t i s beyond t h e scope of t h e t h e s i s t o c o n s i d e r t h e r e l a t i o n s h i p o f e a c h . A s e c o n d l i m i t a t i o n r e s u l t s f r o m t h e l i m i t e d p l a n n i n g l i t e r a t u r e on t h e s u b j e c t . A l t h o u g h b a c k g r o u n d work i n v o l v e d d i s c u s s i o n s w i t h p r a c t i s i n g p l a n n e r s , t h e b u l k of t h e work has been b a s e d on r e a d i n g and i n t e r p r e t i n g t h e l i t e r a t u r e . Much of t h i s , as i s e v i d e n t i n t h e b i b l i o g r a p h y , i s d o m i n a t e d by t h e work of l a w y e r s , w h i c h c o u l d c a u s e t h e t h e s i s t o e m p h a s i z e p r e c e d e n t , l e g i s l a t i v e v a l i d i t y , and l e g a l p r i n c i p l e s of l a n d use c o n t r o l s . However, t h e p r i m a r y c o n c e r n of t h e t h e s i s i s on p l a n n i n g , n ot l e g a l , i m p l i c a t i o n s . A n o t h e r l i m i t a t i o n of t h i s t h e s i s i s t h a t i t c o n c e n t r a t e s on t h e t h e o r e t i c a l i n t e g r a t i o n of d e n s i t y t r a n s f e r s and z o n i n g , r a t h e r t h a n t h e o b j e c t i v e s f o r u s i n g t h e t e c h n i q u e s . By n e g l e c t i n g t h e o b j e c t i v e s i t s h o u l d not be m i s c o n s t r u e d t h a t s u c h an o m i s s i o n i s a c c e p t a b l e . The p r o p e r a p p r o a c h i s : . . . t o d e c i d e t h e n a t u r e of d e s i r a b l e f u t u r e p o l i c y i n d e a l i n g w i t h m e t r o p o l i t a n s t r u c t u r e and t h e d i s t r i b u t i o n of a c t i v i t i e s , and t h e n - and o n l y t h e n -t o t r y and work o u t , t o t r y and t h i n k up t h e p r o p e r l a n d use c o n t r o l s ( W i l l i a m s , 1975, p . 2 9 - 3 0 ) . 7 I I . LAND USE CONTROL IN UNITED STATES AND CANADA A. INTRODUCTION Land use control- i n both the U n i t e d S t a t e s and Canada has been s i m i l a r , d e s p i t e d i f f e r e n c e s i n a u t h o r i t y to e x e r c i s e p u b l i c c o n t r o l over p r i v a t e property r i g h t s . The o r i g i n s of zoning have been t r a c e d to Germany, and d e n s i t y t r a n s f e r s to B r i t a i n , but primary development of the concepts has occurred i n the United S t a t e s . A c c o r d i n g l y , e v a l u a t i o n of zoning and d e n s i t y t r a n s f e r s r e q u i r e s c a r e f u l examination of t h e i r development in the United S t a t e s , paying p a r t i c u l a r a t t e n t i o n to the c o n s t i t u t i o n a l b a s i s . Development of Canadian land use c o n t r o l s has c l o s e l y p a r a l l e d t h e i r development in the United S t a t e s . There i s some evidence that the i n i t i a l adoption of the U.S. zoning concept in Canada occurred without c o n s i d e r a t i o n of the Canadian l e g a l c o n t e x t . As Lane (1972, p.5) found, zoning was adopted i n Canada i n c l u d i n g f e a t u r e s which c o u l d only have made ref e r e n c e to the American s i t u a t i o n . M i l n e r (1956, p.131) has a s i m i l a r a s s e r t i o n that "the d i r e c t adoption of the l e g i s l a t i v e r a t i o n a l for zoning complying with the p o l i c e power...is a b s o l u t e l y without c o n s t i t u t i o n a l n e c e s s i t y or v a l i d i t y i n t h i s country and was probably done without any c l e a r understanding of the phrases and wording in the a u t h o r i z i n g l e g i s l a t i o n . " Since the i n t r o d u c t i o n of zoning i n Canada i t s e v o l u t i o n has had some v a r i a t i o n from that in the U.S. because of d i s s i m i l a r l e g i s l a t i v e systems. 8 B. THE POWER TO REGULATE In b o t h t h e U n i t e d S t a t e s and Canada t h e l e g a l i n t e r e s t i n p r o p e r t y i s o v e r t h e " b u n d l e of r i g h t s " a p r o p e r t y owner h o l d s , t h a t i s , t h e e s t a t e s and i n t e r e s t s t h a t have been c r e a t e d i n l a n d r a t h e r t h a n t h e l a n d i t s e l f . The " b u n d l e " has two p r i n c i p a l components: one i s t h e r i g h t of a l i e n a t i o n , w h i c h i s t h e r i g h t t o d i s p o s e of t h e e s t a t e i n l a n d i n w h a t e v e r way t h e owner d e s i r e s ; t h e o t h e r i s t h e t h e r i g h t t o e v e r y t h i n g i n , on, o r o v e r t h e l a n d . T h i s l a t t e r common law r i g h t i s o f s i g n i f i c a n c e t o l a n d use c o n t r o l b e c a u s e i t has been c i r c u m s c r i b e d by s o c i e t y , p r i m a r i l y t h r o u g h t h e r i g h t t o r e g u l a t e . 1. The U n i t e d S t a t e s In t h e U n i t e d S t a t e s t h e r i g h t t o r e g u l a t e was f i r s t j u s t i f i e d by t h e Supreme C o u r t i n E u c l i d v. Ambler R e a l t y Co. (1926) as b e i n g a l e g i t i m a t e use o f t h e p o l i c e power ( B a s s e t t , 1931, p . 4 7 ) . I t was d e f i n e d as " t h a t power r e q u i r e d t o be e x e r c i s e d i n o r d e r t o e f f e c t i v e l y d i s c h a r g e w i t h i n t h e s c o p e o f i t s c o n s t i t u t i o n a l l i m i t a t i o n s i t s [ t h e S t a t e s ] paramount o b l i g a t i o n t o promote and p r o t e c t t h e p u b l i c w e l f a r e of t h e p e o p l e . " ( J u s t i c e K e r n e r i n t h e U.S. C o u r t of A p p e a l s , q u o t e d by S t e i n , 1971, p . 5 3 5 ) . The r i s e of t h e p o l i c e power i s r e s t r i c t e d and c o n f i n e d by c o n s t i t u t i o n a l l i m i t a t i o n s , i n c l u d i n g t h e c r i t i c a l amendments: No p e r s o n s h a l l b e . . . d e p r i v e d o f l i f e , l i b e r t y or p r o p e r t y w i t h o u t due p r o c e s s of law; nor s h a l l p r i v a t e p r o p e r t y be t a k e n f o r p u b l i c use, w i t h o u t j u s t 9 c o m p e n s a t i o n . U.S. C o n s t . Amend. V. [N] o r s h a l l any S t a t e d e p r i v e any p e r s o n of l i f e , l i b e r t y o r p r o p e r t y w i t h o u t t h e p r o c e s s o f law; n o r deny t o any p e r s o n w i t h i n i t s j u r i s d i c t i o n t h e e q u a l p r o t e c t i o n of t h e law. U.S. C o n s t . Amend. XIV. ( q u o t e d by T a r l o c k , 1977, p . 2 8 6 f . ) T h e s e amendments have r e s u l t e d i n e x h a u s t i v e c o n s i d e r a t i o n o f c a s e s where a r e g u l a t o r y a c t i o n goes beyond i t s c o n s t i t u t i o n a l l i m i t a t i o n s . A S t a t e does not have a u t h o r i t y t o t a k e p r o p e r t y w i t h o u t due p r o c e s s of law. I f i t p a s s e s a r e g u l a t i o n w h i c h s h o u l d have been i n v o k e d u s i n g t h e power of emi n e n t domain, t h e n t h e r e g u l a t i o n may be d e c l a r e d i n v a l i d . I t would amount t o an u n c o n s t i t u t i o n a l t a k i n g of p r o p e r t y i f t h e p u r p o s e of t h e r e g u l a t i o n i s not w i t h i n t h e r e g u l a t o r y power, i f t h e impact was c o n f i s c a t o r y , o r i f i t was u n r e a s o n a b l e . The're i s no e s t a b l i s h e d l e v e l where " r e g u l a t i o n " becomes a " t a k i n g " . E a c h c a s e depends on. t h e p a r t i c u l a r c i r c u m s t a n c e s , c r e a t i n g c o n s i d e r a b l e u n c e r t a i n t y o v e r t h e l e g a l i t y of many z o n i n g r e g u l a t i o n s . 2. Canada The power t o zone i n Canada i s d e r i v e d f r o m S e c t i o n s 91 and 92 of t h e B r i t i s h N o r t h A m e r i c a A c t ( 1 8 6 7 ) , w h i c h a s s i g n e d l e g i s l a t i v e powers t o t h e f e d e r a l and p r o v i n c i a l g o v e r n m e n t s . The p r o v i n c e s were g i v e n a l m o s t c o m p l e t e c o n t r o l o v e r l a n d use and g i v e n t h e e x p r e s s a u t h o r i t y t o l e g i s l a t e m u n i c i p a l i n s t i t u t i o n s . F o r a l a n d use c o n t r o l bylaw t o be v a l i d , i t must not v i o l a t e t h e terms of t h e e n a b l i n g l e g i s l a t i o n : i f a power i s not e x p r e s s l y g r a n t e d t o t h e C o u n c i l t h e n i t does not have t h a t 10 power. For example, zoning i s t y p i c a l l y i n c l u d e d as a s p e c i f i c m u n i c i p a l power, although i t must be adopted in accordance with c o n d i t i o n s s p e c i f i e d by the P r o v i n c e . Other r e l e v a n t r u l e s which must be followed i n c l u d e proper d e l e g a t i o n of powers, adoption in good f a i t h , e x e r c i s e of a c t i o n s in the p u b l i c i n t e r e s t , and no i n t e r f e r e n c e with the l e g i s l a t i v e freedom of a c t i o n of f u t u r e c o u n c i l s . 3. Comparison A s i g n i f i c a n t r e s u l t of c o n s t i t u t i o n a l d i f f e r e n c e s i n the United S t a t e s and Canada i s that l e g i s l a t i v e a c t i o n s w i l l be reviewed by the c o u r t s to a much gr e a t e r extent than in the United S t a t e s than in Canada. T h i s i s because Canadians have fewer r i g h t s guaranteed by t h e i r C o n s t i t u t i o n , and because there i s no s t r i c t s e p a r a t i o n of l e g i s l a t i v e powers. Whereas a Canadian l e g i s l a t i v e body may t h e o r e t i c a l l y do as i t wishes to r e g u l a t e p r o p e r t y , p r o v i d i n g i t s a c t i o n s are w i t h i n i t s e n a b l i n g l e g i s l a t i o n and a c c o r d i n g to j u d i c i a l p r a c t i c e , a U.S. l e g i s l a t i v e a c t i o n may a l s o be reviewed on c o n s t i t u t i o n a l grounds concerning v i o l a t i o n of property r i g h t s . To e x p l a i n t h i s d i s t i n c t i o n f u l l y i s d i f f i c u l t because a comparison of the powers f o r j u d i c i a l review should i n c l u d e "the t o t a l m i l i e u of the s o c i a l and c u l t u r a l order, p o l i t i c a l and l e g a l t r a d i t i o n s , and contemporary as w e l l as h i s t o r i c a l c o n t r o v e r s i e s . " ( S t e i n , 1971, p.554) The d i f f e r e n c e i s evident ' i n C o l l i n s and Woodworth's (1972, S e c . I l l ) c l a i m that the word "zoning" has a t o t a l l y d i f f e r e n t meaning in Canada from that i n the U.S. They 11 summarize t h i s d i f f e r e n c e by a r g u i n g t h a t C a n a d i a n z o n i n g i s " s i m p l y a l e g i s l a t i v e c o n v e n i e n c e " , or j u s t a n o t h e r by-law s u b j e c t t o a l l t h e r u l e s g o v e r n i n g laws and b y - l a w s , w h i l e i n th e U.S. i t i s "a c o n s t i t u t i o n a l n e c e s s i t y . . . a d e v i c e f o r g e t t i n g a r o u n d t h e 5 t h and 14th amendments of t h e U.S. C o n s t i t u t i o n . " The d i s t i n c t i o n i s a l s o e v i d e n t i n t h e terms t r a n s f e r of d e v e l o p m e n t r i g h t s (TDR) and t r a n s f e r of d e v e l o p m e n t p o t e n t i a l ( T DP). The f o r m e r t e r m i s c o r r e c t l y u s e d i n t h e U.S. b e c a u s e p r o p e r t y r i g h t s a r e embodied i n t h e C o n s t i t u t i o n ( a l t h o u g h not d e f i n e d ) , whereas i n Canada, d e v e l o p m e n t of l a n d i s seen more as a p r i v i l e g e g r a n t e d by t h e government. Because b o t h terms r e f e r t o e s s e n t i a l l y t h e same c o n c e p t , t h i s t h e s i s employs t h e t e r m " d e n s i t y t r a n s f e r " t o r e f e r t o b o t h TDR and TDP. 12 I I I . A CRITICAL REVIEW OF ZONING A. INTRODUCTION T h i s review of zoning i s based i n part on a d v i c e from C o s t o n i s (1974, p.13,) that " e f f e c t i v e c r i t i c i s m of DRT [ d e n s i t y t r a n s f e r s ] must begin with a sound grasp of the p e r v a s i v e inadequacies and purported s t r e n g t h s of the system i t [zoning] i s intended to b o l s t e r . " T h i s grasp i s a l l the more necessary to i n t e g r a t e zoning with d e n s i t y t r a n s f e r s . A c c o r d i n g l y , t h i s chapter w i l l d i s c u s s the primary elements and p r i n c i p l e s of zoning, i t s e v o l u t i o n , the problems which have been recognized, and measures that have been taken to overcome them. B. ZONING PRINCIPLES There are no p r i n c i p l e s unique to zoning...the only meaningful p r i n c i p l e s a p p l i c a b l e to land-use p l a n n i n g in a democratic s o c i e t y are e q u a l l y germane to other areas of human endeaver. (Babcock, 1966, p.126) Babcock i d e n t i f i e s three p r i n c i p l e s a p p l i c a b l e to zoning: (1) equal p r o t e c t i o n , a c l a u s e of the 14th amendment to the U.S. C o n s t i t u t i o n which r e q u i r e s p u b l i c a c t i o n s to be non-d i s c iminatory and have a r a t i o n a l b a s i s (Rose, 1979, p.76); (2) p r o v i s i o n of compensation through eminent domain powers for r e g u l a t i o n which has exceeded the scope of the p o l i c e power; and (3) p r o c e d u r a l due process, f a i r a d m i n i s t r a t i o n and a r i g h t to be heard. These three p r i n c i p l e s are a l s o a p p l i c a b l e i n Canada, 13 but the terminology and l e g a l i n t e r p r e t a t i o n i s d i f f e r e n t , although the i n t e n t i s s i m i l a r . Zoning must o f f e r n a t u r a l j u s t i c e , provide compensation f o r e x p r o p r i a t i o n , and be adm i n i s t e r e d i n good f a i t h - both i n terms of "a human r i g h t to a humane environment" and "equal s t a t u s of the p u b l i c and p r i v a t e p a r t i e s before the law" ( C o l l i n s and Woodworth, 1972, Sees. V and V I ) . I m p l i c i t i n Babcock's set of p r i n c i p l e s i s a f o u r t h p r i n c i p l e : " I t i s fundamental that the powers of the m u n i c i p a l i t y i n enacting subordinate l e g i s l a t i o n be e x e r c i s e d in the p u b l i c i n t e r e s t " ( S t e i n , 1971, p.546). T h i s means that C o u n c i l s must not act to favour p r i v a t e i n t e r e s t s : "while p r e c i s e d e l i m i t a t i o n i s impossible, c a r d i n a l i s the p r i n c i p l e that what i s best f o r the body p o l i t i c in the long run must p r e v a i l over the i n t e r e s t s of p a r t i c u l a r i n d i v i d u a l s " (Williams, 1966, p. 194). The use of the term ' p u b l i c i n t e r e s t ' i n t h i s sense i s one which goes beyond the l e g a l i n t e r p r e t a t i o n of being p r o t e c t i o n of the h e a l t h , s a f e t y , and welfare of the p u b l i c to i n c o r p o r a t e aspects of amenity, convenience, and community-held o b j e c t i v e s . The d e f i n i t i o n of what c o n s t i t u t e s the p u b l i c i n t e r e s t i s n e c e s s a r i l y an important task of the planner, one which r e q u i r e s c a r e f u l c o n s i d e r a t i o n of the c o s t s and b e n e f i t s of p o t e n t i a l a c t i o n s as p e r c e i v e d by the planner. 1 4 C. ZONING ELEMENTS The f i r s t c o m p r e h e n s i v e z o n i n g o r d i n a n c e was a d o p t e d by t h e C i t y o f New York i n 1916. The t h e o r y u n d e r l y i n g New Y o r k ' s o r d i n a n c e p r o v i d e d the b a s i s f o r f u t u r e z o n i n g i n N o r t h A m e r i c a . From i t , t e n major e l e m e n t s o f z o n i n g b y l a w s were i d e n t i f i e d . E a c h w i l l be d i s c u s s e d i n terms of t h e i r o r i g i n a l form, t h e i r e v o l u t i o n , and t h e i r c u r r e n t a p p l i c a t i o n . In many ways, t h e s e e l e m e n t s a r e i n t e r d e p e n d e n t and t h e i r d i v i s i o n somewhat a r b i t r a r y . 1. S e p a r a t i o n Of I n c o m p a t i b l e Uses Z o n i n g p r o v i d e s a means of c o n t r o l l i n g t h e l o c a t i o n of l a n d u s e s , a l l o w i n g c o m p a t i b l e u s e s t o be l o c a t e d i n t h e same g e o g r a p h i c a r e a o r zone and p r o h i b i t i n g u s e s presumed t o be i n c o m p a t i b l e . As W i l l i a m s (1975, p.31) c o n f i r m s , . . . t h e b a s i c t h o u g h t i n z o n i n g i s t h a t z o n i n g d i s t r i c t s make s e n s e . . . t h a t i s , t h e r e a r e t y p e s of a c t i v i t i e s and l a n d u s e s w h i c h a p p r o p r i a t e l y go t o g e t h e r and o t h e r s w h i c h "should be kept away. I t h i n k t h a t i s t h e b a s i c a s s u m p t i o n and a c o r r e c t one. M a n d e l k e r (1974, p.203) s t a t e s , " Z o n i n g i s b u i l t on t h e p r e m i s e t h a t t h e p r i v a t e market f o r l a n d u se, i n a mature u r b a n s o c i e t y , c a n n o t be p e r m i t t e d t o make l a n d use a l l o c a t i o n s w i t h o u t c r e a t i n g s e v e r e d i s e c o n o m i e s i n t h e urb a n d e v e l o p m e n t p a t t e r n . " Some z o n i n g a n a l y s t s t a k e a s t r o n g e r p o s i t i o n , a r g u i n g t h a t t h e p u r p o s e of z o n i n g i s s o l e l y t o m i n i m i z e t h e n e g a t i v e e x t e r n a l i t i e s of p o t e n t i a l l a n d u s e s . N e g a t i v e 15 e x t e r n a l i t i e s or d i s e c o n o m i e s a r e c o s t s imposed on a p r o p e r t y owner as a r e s u l t of t h e a c t i v i t i e s o f a n o t h e r p r o p e r t y owner, f o r w h i c h t h e damaged owner r e c e i v e s no c o m p e n s a t i o n . F o r example, a n e i g h b o u r i n g i n d u s t r y may c r e a t e a i r b o r n e d u s t and smoke c a u s i n g a n u i s a n c e o r h a z a r d on p r o p e r t i e s e x t e r n a l t o t h e o r i g i n a t i n g s i t e . The common law of n u i s a n c e d o c t r i n e was p a r t i a l l y r e l i e d upon t o a c h i e v e l e g a l s u p p o r t f o r s e p a r a t i o n of i n c o m p a t i b l e u s e s i n z o n i n g r e g u l a t i o n s . The law can be d e f i n e d as " u n r e a s o n a b l e and s u b s t a n t i a l i n t e r f e r e n c e w i t h t h e use o r enjoyment o f one's p r o p e r t y w i t h o u t an a c t u a l p h y s i c a l t r e s p a s s or u n a u t h o r i z e d p h y s i c a l e n t r y " (Rose, 1979, p . 6 2 ) . A l t h o u g h n u i s a n c e law p r o v i d e s a means of e s t a b l i s h i n g l i a b i l i t y f o r damages and d e t e r m i n i n g c o m p e n s a t i o n , i t u s u a l l y r e q u i r e s e x p e n s i v e l i t i g a t i o n by t h e o f f e n d e d p a r t y and i t c a n n o t be a p r e v e n t a t i v e measure b e c a u s e t h e damage must have o c c u r r e d b e f o r e a c t i o n c a n be t a k e n . Z o n i n g was i n t e n d e d t o overcome t h e s e l i m i t a t i o n s . In t h e e v o l u t i o n of z o n i n g , use s e p a r a t i o n has been r e t a i n e d as a b a s i c e l e m e n t a l t h o u g h t h e i n i t i a l s i m p l e c o n c e p t has been a l t e r e d e x t e n s i v e l y . The 1916 New York z o n i n g o r d i n a n c e had o n l y f o u r z o n e s : r e s i d e n t i a l , c o m m e r c i a l , i n d u s t r i a l , and u n d e t e r m i n e d ( M a k i e l s k i , 1967, p . 6 ) . T h i s g r o s s s e g r e g a t i o n was soon r e c o g n i z e d as b e i n g i n a d e q u a t e , so c o n s e q u e n t l y t h e number o f z o n e s m u l t i p l i e d . R e s i d e n t i a l z o n e s were d i v i d e d i n t o s i n g l e f a m i l y , d u p l e x , and v a r i o u s a p a r t m e n t z o n e s i n l i n e w i t h t h e r e a s o n i n g s u g g e s t e d by Mr. J u s t i c e 16 S u t h e r l a n d o f t h e U.S. Supreme C o u r t i n E u c l i d v. Ambler  R e a l t y Co. ( 1 9 2 6 ) . W i t h p a r t i c u l a r r e f e r e n c e t o a p a r t m e n t h o u s e s , i t i s p o i n t e d out t h a t t h e d e v e l o p m e n t of d e t a c h e d house s e c t i o n s i s g r e a t l y r e t a r d e d by t h e coming of a p a r t m e n t h o u s e s , w h i c h has sometimes r e s u l t e d i n d e s t r o y i n g t h e e n t i r e s e c t i o n f o r p r i v a t e house p u r p o s e s ; t h a t i n s u c h s e c t i o n s v e r y o f t e n t h e a p a r t m e n t house i s a mere p a r a s i t e c o n s t r u c t e d i n o r d e r t o t a k e a d v a n t a g e o f t h e open s p a c e s and a t t r a c t i v e s u r r o u n d i n g s . . . U n d e r t h e s e c i r c u m s t a n c e s a p a r t m e n t h o u s e s . . . come v e r y n e a r t o b e i n g n u i s a n c e s . ( W i l l i a m s , 1966, c o v e r ) The f i r s t z o n i n g b y l a w s a d o p t e d a h i e r a r c h i a l c o n c e p t i o n of l a n d u s e : r e s i d e n t i a l u s e s were p e r m i t t e d i n any zone, c o m m e r c i a l use i n any e x c e p t r e s i d e n t i a l z o n e s , and i n d u s t r i a l u s e s o n l y i n i n d u s t r i a l z o n e s . P l a n n e r s l a t e r r e c o g n i z e d t h e i n a d v i s a b i l i t y of p e r m i t t i n g r e s i d e n t i a l u s e s t o l o c a t e anywhere, l e a d i n g t o w i d e r a c c e p t a n c e of t h e e x c l u s i v e use c o n c e p t . R a t h e r t h a n i n c o r p o r a t i n g a l i s t of p r o h i b i t e d u s e s , many b y l a w s were changed t o l i s t o n l y p e r m i t t e d u s e s . I n d u s t r i a l s t a n d a r d s were i n t r o d u c e d i n 1951 t o overcome th e p r o b l e m of a r b i t r a r y use s e l e c t i o n , p a r t i c u l a r l y i n i n d u s t r i a l z o n e s where t e c h n o l o g i c a l a d v a n c e s c o n t i n u a l l y a l t e r e d t h e c h a r a c t e r i s t i c s of t h e u s e . (Babcock and Weaver, 1979, p.82) These s t a n d a r d s s e t minimum l e v e l s of p e r f o r m a n c e w h i c h a l a n d use must meet, r e g u l a t i n g l e v e l s o f smoke, d u s t , and o t h e r n u i s a n c e s ( K e n d i g , 1980). A l t h o u g h use of t e c h n i c a l s t a n d a r d s may be d i f f i c u l t t o implement due t o t h e i r c o m p l e x i t y , the s y s t e m p r o v i d e s an i n c e n t i v e t o r e d u c e t h e amount and t y p e of n u i s a n c e c r e a t e d . 1 7 P l a n n e r s began e x p r e s s i n g c o n c e r n i n t h e e a r l y 1960's o v e r s t e r i l e , s i n g l e p u r p o s e d i s t r i c t s . They r e c o g n i z e d p r o b l e m s s u c h as t h o s e a r i s i n g from downtown o f f i c e s b e i n g d e s e r t e d i n a l l but w o r k i n g h o u r s , and f r o m h o u s i n g b e i n g remote from s e r v i c e s and employment. M i l n e r (1963a, p.563) commented t h a t " t h e f a s h i o n a p p e a r s t o c h a n g i n g . O b j e c t i o n s a r e now r a i s e d t o monotony and c o n f o r m i t y as b e s e t t i n g s i n s . " P l a n n e d u n i t d e v e l o p m e n t s (PUD's) were i n t r o d u c e d as a t e c h n i q u e t o p e r m i t v a r i a t i o n i n t h e l o t s i z e or d e n s i t y i n exchange f o r more open s p a c e . M i x e d use z o n i n g was i n s e r t e d i n t o b y l a w s , p a r t i c u l a r l y i n t h e c o r e a r e a s , t o e n c o u r a g e c o - l o c a t i o n of u s e s p r e v i o u s l y c o n s i d e r e d t o be i n c o m p a t i b l e . In r e v i e w i n g t r e n d s i n use s e p a r a t i o n , i t i s e v i d e n t t h a t none of t h e r e c e n t d e v e l o p m e n t s have o v e r - r u l e d t h e b a s i c p r e m i s e t h a t c e r t a i n u s e s s h o u l d be s e p a r a t e d . Where t h e t y p e of u s e s a l l o w e d may v a r y , c a r e f u l c o n t r o l i s m a i n t a i n e d by s p e c i f i c d e s i g n and p e r f o r m a n c e r e q u i r e m e n t s . 2. R e s t r i c t i o n On The S i z e And S i t i n g Of S t r u c t u r e s In 1913 Edward M. B a s s e t , Chairman of t h e A d v i s o r y Committee on t h e H e i g h t of B u i l d i n g s , r e p o r t e d t h a t : . . . t h e p r e s e n t a l m o s t u n r e s t r i c t e d power t o b u i l d t o any h e i g h t o v e r any p o r t i o n of t h e l o t , f o r any d e s i r e d use and i n any p a r t o f t h e C i t y , has r e s u l t e d • i n i n j u r y t o r e a l e s t a t e and b u s i n e s s i n t e r e s t s and t o t h e h e a l t h s a f e t y , and g e n e r a l w e l f a r e of t h e C i t y , ( q u o t e d by D e l a f o n s , 1969, pp.21-22.) H e i g h t and b u l k schemes b a s e d on s t r e e t w i d t h were recommended 18 t o r e s o l v e s i t u a t i o n s i n w h i c h s k y s c r a p e r b u i l d i n g s o c c u p y 100% of t h e i r s i t e s , t h e r e b y p r e v e n t i n g o r r e d u c i n g t h e d e v e l o p m e n t p o t e n t i a l of a d j a c e n t s i t e s . F u r t h e r r e d u c t i o n s were i n t r o d u c e d i n t h e form of s e t b a c k c o n t r o l s , w h i c h were i n t e n d e d t o e n s u r e a d e q u a t e l i g h t , d e f i n e d as s u n l i g h t f a l l i n g on b u i l d i n g windows, and a i r , w h i c h meant n a t u r a l c i r c u l a t i o n t o t h e b u i l d i n g ' s windows t o t h e b u i l d i n g s i t e , t o a d j a c e n t s i t e s , and t o t h e s t r e e t (Cook,1980, p . 2 0 ) . The p o p u l a r i t y of s e t b a c k c o n t r o l s i s most e v i d e n t i n s i n g l e f a m i l y a r e a s , where r e g u l a t i o n s e s t a b l i s h i n g minimum f r o n t , s i d e , and back y a r d d i m e n s i o n s and maximum h e i g h t s were i n t r o d u c e d i n i t i a l l y t o e n s u r e a d e q u a t e l i g h t and a i r . These r e q u i r e m e n t s a r e now p o p u l a r l y seen as b e i n g n e c e s s a r y f o r m a i n t e n a n c e of n e i g h b o u r h o o d c h a r a c t e r . B l a n k e t s i z e and s i t i n g r e g u l a t i o n s a r e n o r m a l l y a p p l i c a b l e w i t h i n t h e same zone, w i t h no p r o v i s i o n f o r v a r i a t i o n s i n t o p o g r a p h y , o r i e n t a t i o n , and n a t u r a l or man-made f e a t u r e s . A l t h o u g h t h e r e i s s u p p o r t f o r c o n t i n u e d use of t h e r e g u l a t i o n s , t h e r e i s a l s o a demand f o r d i v e r s i t y . T h i s d i c h o t o m y i s e x p r e s s e d by Babcock and Weaver (1979, p. 120): "The h i s t o r y of z o n i n g , of c o u r s e , i s a s t o r y of r e p e a t e d e f f o r t s t o b r e a k away from and y e t s t i l l c l i n g t o t h e s o - c a l l e d E u c l i d e a n e n v e l o p e f o r b u l k and u s e . " In d e n s e l y b u i l t up a r e a s , z o n i n g r e g u l a t i o n s of b u i l t form have been shown t o have a m a j o r i n f l u e n c e on t h e d e s i g n of b u i l d i n g s . Where i t i s t o t h e p r o p e r t y owner's economic a d v a n t a g e t o b u i l d t o t h e maximum s i z e p e r m i t t e d , t h e " z o n i n g 19 e n v e l o p e " , w h i c h i s t h e a r e a w i t h i n w h i c h a b u i l d i n g may be p l a c e d as d e t e r m i n e d by minimum s e t b a c k , h e i g h t , l o t c o v e r a g e , and a n g u l a r p l a n e s , w i l l i n many c a s e s d e f i n e t h e e x t e r i o r f o r m of a b u i l d i n g . F o r example, t h e i n t r i c a t e a n g u l a r p l a n e c o n t r o l i n New Y o rk C i t y d i c t a t e d t h e b a s i c a r c h i t e c t u r a l form of M a n h a t t a n b u i l d i n g s f o r many y e a r s (du T o i t , 1977, p. 5 2 ) . E a r l y z o n i n g r e g u l a t i o n s were b a s e d on b u i l d i n g t e c h n o l o g y of t h a t t i m e ; however, t h e r e g u l a t i o n s a r e now b e i n g r e c a s t w i t h i n t h e b a s i c s t r u c t u r e of b u l k z o n i n g i n t e r m s o f l i m i t i n g c o n g e s t i o n , p r o t e c t i n g l i g h t and a i r , p r o v i d i n g open s p a c e , e t c . w h i l e e n c o u r a g i n g a v a r i e t y of d e s i g n w i t h i n t h e s e s t a n d a r d s ( W i l l i a m s , 1966, p . 1 5 1 ) . F l o o r s p a c e r a t i o (FSR) or f l o o r a r e a r a t i o (FAR) c o n t r o l s and i n c e n t i v e z o n i n g t e c h n i q u e s were d e v e l o p e d t o p r o v i d e a means t o a l t e r s i t i n g and b u l k r e g u l a t i o n s , y e t m a i n t a i n d e n s i t y l i m i t s . The FAR i s a f l e x i b l e means of c o n t r o l w h i c h e s t a b l i s h e s a m a t h e m a t i c a l r e l a t i o n s h i p between a b u i l d i n g ' s p e r m i t t e d s i z e ( t o t a l f l o o r s p a c e ) and i t s l o t s i z e . F o r example, an FAR o f 1 p e r m i t s t h e c o n s t r u c t i o n of a one s t o r e y s t r u c t u r e c o v e r i n g i t s e n t i r e l o t , o r a f o u r s t o r e y s t r u c t u r e on 25% of t h e l o t . In t h e a b s e n c e of any o t h e r a p p l i c a b l e r e g u l a t i o n s ( s u c h as h e i g h t l i m i t s , view c o r r i d o r s , or bonuses f o r b u i l d i n g form) e i t h e r b u i l d i n g would be a c c e p t a b l e . C o n t r o l of d e n s i t y t h r o u g h use of an FAR r a t i o r a t h e r t h a n s t a n d a r d s e t b a c k r e g u l a t i o n s a l l o w s f o r v a r i a t i o n i n b u i l d i n g form, i s more s u i t e d t o a r e a s where l o t s i z e s v a r y , and p e r m i t s g r e a t e r d e s i g n f l e x i b i l i t y . 20 Bonus z o n i n g i s a t e c h n i q u e w h i c h p e r m i t s an i n c r e a s e i n t h e maximum h e i g h t or b u l k o f a s t r u c t u r e when c e r t a i n c o n d i t i o n s a r e met. I t may be an a u t o m a t i c bonus a p p l i e d t o any b u i l d i n g w i t h i n s p e c i f i e d z o n e s i o r p r o v i d i n g c e r t a i n a m e n i t i e s , s u c h as a w i d e r s i d e w a l k , a p l a z a , u n d e r g r o u n d p a r k i n g , o r c o n n e c t i o n t o a t r a n s i t s t a t i o n . l t may a l s o be a n e g o t i a t e d bonus f o r i n c l u s i o n of s o c i a l a m e n i t i e s s u c h a s a t h e a t r e , day c a r e c e n t r e , o r r e c r e a t i o n a l f a c i l i t y . A bonus i s t y p i c a l l y an o p t i o n a l f e a t u r e , a l l o w i n g a d d i t i o n a l f l o o r s p a c e b a s e d i n p a r t on t h e c o s t of t h e a m e n i t y . I t s p o t e n t i a l a p p l i c a t i o n i s r e s t r i c t e d t o a r e a s where t h e FAR i s below t h e l e v e l t o w h i c h the market would o t h e r w i s e b u i l d . The t r e n d t o s i z e and s i t i n g c o n t r o l s has c l e a r l y i n v o l v e d a major change i n t h i n k i n g . When z o n i n g was f i r s t i n t r o d u c e d , i t imposed a c e i l i n g under w h i c h a v a r i e t y of b u i l d i n g s h apes and s i z e s c o u l d r e s u l t . Now, however, z o n i n g i s e s t a b l i s h i n g t h e minimum s i z e which a d e v e l o p e r e x p e c t s t o be p e r m i t t e d t o b u i l d a s - o f - r i g h t , and i t i s a c t i n g a s a f l o o r above w h i c h b o n u s e s a r e b e i n g g r a n t e d t o e n c o u r a g e d i v e r s i t y and a c h i e v e o t h e r o b j e c t i v e s . 3. Un i f o r m i t y The d e c i s i o n t o base c o n t r o l s on g e o g r a p h i c a l l y c o h e s i v e d i s t r i c t s , was i n t e n d e d t o p r o v i d e a l e g a l l y v i a b l e means by w h i c h t o s e p a r a t e i n c o m p a t i b l e u s e s and c o n t r o l h e i g h t and b u l k . D i s c r i m i n a t i o n a g a i n s t i n d i v i d u a l p r o p e r t y owners was t o be p r e v e n t e d t h r o u g h the u n i f o r m i t y r e q u i r e m e n t , w h i c h i s " s i m p l y 21 t h a t e q u a l t r e a t m e n t must be g i v e n o f a l l s i m i l a r l y s i t u a t e d p r o p e r t y w i t h i n a d i s t r i c t . " ( F o n o r o f f , i n Marcus and G r o v e s , 1970, p.90) I n g r e d i e n t s of t h e s u b s t a n t i v e due p r o c e s s c l a u s e , r a t i o n a l i t y and p r e d i c t a b i l i t y , " s e e m i n g l y were s a t i s f i e d by t h e p r o c e s s of c r e a t i n g l a r g e z o n e s g o v e r n e d by p r e s t a t e d r e g u l a t i o n s . " (Heyman, 1970, p . 2 4 ) . T h e s e c r i t e r i a have been u s e d t o o v e r r u l e some z o n i n g a c t i o n s on t h e b a s i s t h a t a d i s c r i m i n a t o r y " s p o t - z o n i n g " had o c c u r r e d , o r where " t h e p o t e n t i a l e x c e s s i v e use of i n c e n t i v e s m i g h t v i o l a t e u n i f o r m i t y r e q u i r e m e n t s " (Meshenberg, 1976, p . 4 3 ) . F o r example, a New J e r s e y C o u r t r e j e c t e d a bylaw l i m i t i n g t h e p e r m i t t e d u s e s t o r e s i d e n t i a l and a g r i c u l t u r a l , w i t h a l l o t h e r u s e s . b e i n g c o n d i t i o n a l . The C o u r t c h o s e t o p r o h i b i t l o c a l d i s c r e t i o n , " r u l e d by vague and i l l u s i v e c r i t e r i a [ w h i c h ] i s i n d e e d t h e a n t i t h e s i s of z o n i n g " ( W i l l i a m s , 1966, p . 3 4 ) . The c r e a t i o n of d i s t r i c t s t h r o u g h z o n i n g r e g u l a t i o n s has a d i f f e r e n t l e g a l b a s i s i n Canada t h a n i n t h e U n i t e d S t a t e s , as d e s c r i b e d i n C h a p t e r I I . The g e n e r a l r u l e i s t h a t i n t h e e x e r c i s e of m u n i c i p a l d i s c r e t i o n , a C o u n c i l c a n n o t d i s c r i m i n a t e between c l a s s e s of p e r s o n s or p a r t i c u l a r i n d i v i d u a l s ( S t e i n , 1971, p . 5 4 7 ) . However, z o n i n g b y - l a w s a r e an e x c e p t i o n , as was e x p l a i n e d by t h e C a n a d i a n Supreme C o u r t i n S c a r b o r o u g h v.  B o n d i , (1959) The C o u r t p o i n t e d t o t h e a r b i t r a r i n e s s n e c e s s a r y i n d e l i n e a t i n g a r e a b o u n d a r i e s and t h e f a c t t h a t even w i t h i n p a r t i c u l a r a r e a s m a t h e m a t i c a l i d e n t i t y o f c o n d i t i o n s does not a l w a y s e x i s t . Y e t , as S t e i n f u r t h e r c l a r i f i e s , t h e r e i s a d i s t i n c t i o n between s e g r e g a t i o n of a z o n i n g bylaw and 22 i n t e n t i o n a l d i s c r i m i n a t i o n , w h i c h i s why i m p a r t i a l i t y i s a r e q u i rement. 4. N o n c o m p e n s a t i o n Ross (1972, p.344) a r g u e s t h a t "one o f t h e most g l a r i n g t h e o r e t i c a l s h o r t c o m i n g s of z o n i n g as a l a n d use c o n t r o l i s . . . n o c o m p e n s a t i o n i s p a i d t o owners whose p r o p e r t y v a l u e s a r e a d v e r s e l y a f f e c t e d by z o n i n g d e c i s i o n s . " T h i s n o n c o m p e n s a t o r y e l e m e n t of z o n i n g has a d i r e c t b e a r i n g on i n d i v i d u a l w e a l t h and has been s u b j e c t t o e x t e n s i v e i n v e s t i g a t i o n and l i t i g a t i o n . I f a z o n i n g a c t i o n can be shown t o be c o n f i s c a t o r y , t h e n c o m p e n s a t i o n i s r e q u i r e d under t h e U.S. c o n s t i t u t i o n a l p r o v i s i o n f o r e minent domain and under C a n a d i a n e x p r o p r i a t i o n law. To most m u n i c i p a l i t i e s , n o n c o m p e n s a t i o n i s not a s h o r t c o m i n g , but a n e c e s s a r y c o n d i t i o n . The i n a b i l i t y of m u n i c i p a l i t i e s t o compensate p r o p e r t y owners f o r t h e r e d u c t i o n of d e v e l o p m e n t p o t e n t i a l was a major r e a s o n f o r z o n i n g b e i n g made a p o l i c e power i n t h e U n i t e d S t a t e s and r e g u l a t o r y power i n Canada. I t i s a r g u e d by many t h a t l e g i s l a t i o n i s a c c e p t a b l e i f i t i s a d o p t e d i n t h e p u b l i c i n t e r e s t , even i f i t i n v o l v e s d i m i n u t i o n of p r o p e r t y v a l u e s ( M i l n e r , 1963, p . 1 6 0 ) . However, t h e r e i s a l i m i t t o t h e c o s t of p u b l i c b e n e f i t s w h i c h can be j u s t i f i a b l y b o r n e by p r i v a t e p r o p e r t y owners, and when t h i s l i m i t i s e x c e e d e d t h e m u n i c i p a l i t y may w i s h t o pay c o m p e n s a t i o n or i t w i l l be r e q u i r e d by t h e c o u r t s t o do s o . 23 5. P r o t e c t i o n Of P r o p e r t y V a l u e s "The p r o t e c t i o n o f s i n g l e f a m i l y house n e i g h b o u r h o o d s i s an o b j e c t i v e f o r z o n i n g t h a t r e m a i n s paramount" ( B a b c o c k , 1966, p.115) but i t i s r a r e l y a r t i c u l a t e d . T h i s e l e m e n t of z o n i n g i s p r o b a b l y r e s p o n s i b l e f o r t h e w i d e s p r e a d a c c e p t a n c e o f z o n i n g , p a r t i c u l a r l y i n s m a l l e r c o m m u n i t i e s . P r o o f of s u c h an a l l e g a t i o n would be d i f f i c u l t , t h o u g h , b e c a u s e most A m e r i c a n z o n i n g b y l a w s a r e c o u c h e d i n terms r e l a t i n g t h e p u r p o s e of z o n i n g t o t h o s e v a l i d under c o n s t i t u t i o n a l p r i n c i p l e s . F o r example, M a k i e l s k i (1967, p.11) d o u b t s t h a t z o n i n g would be c o n d o n e d t o enhance p r o p e r t y v a l u e s , a l t h o u g h z o n i n g i s u s e d t o a c h i e v e t h i s r e s u l t . U n l i k e t h e s i t u a t i o n i n t h e U.S., t h e p r o t e c t i o n of p r o p e r t y v a l u e s i n Canada may be n e c e s s a r y b e c a u s e of t h e r e q u i r e m e n t t h a t m u n i c i p a l i t i e s must e x e r c i s e powers i n a c c o r d a n c e w i t h t h e p u b l i c i n t e r e s t . F o r example, the M u n i c i p a l A c t i n B r i t i s h C o l u m b i a s p e c i f i e s t h a t t h e C o u n c i l s h a l l have due r e g a r d t o t h e v a l u e of t h e l a n d and t h e t o c o n s e r v a t i o n of p r o p e r t y v a l u e s . The e m p h a s i s on c o n s e r v i n g p r o p e r t y v a l u e s may have been t h o u g h t i n i t i a l l y n e c e s s a r y t o o b t a i n j u d i c i a l a p p r o v a l of z o n i n g , but i t q u i c k l y became a v e h i c l e f o r e x c l u d i n g l o w e r income r e s i d e n t s and u n d e s i r a b l e , but s o c i a l l y b e n e f i c i a l , u s e s . M o b i l e homes, s m a l l d w e l l i n g u n i t s , s m a l l l o t s , and h i g h e r d e n s i t y h o u s i n g have been p r o h i b i t e d under t h e p r e t e n c e of e n s u r i n g a d e q u a t e l i g h t and a i r or m a i n t a i n i n g n e i g h b o u r h o o d c h a r a c t e r . F i s c h e l (1978, p.67) e c h o e s t h e o p i n i o n s o f many 24 when he condemns t h e p r a c t i c e o f e x c l u s i o n a r y z o n i n g as "an e x e r c i s e i n monopoly power f o r t h e b e n e f i t of l o c a l homeowners." The e x t e n t t o w h i c h e x c l u s i o n a r y p r a c t i s e s may be c a r r i e d o u t i s s t i l l u n c e r t a i n . Z o n i n g has been u p h e l d as a means t o p r o t e c t n e i g h b o u r h o o d q u a l i t y i n two p r e c e d e n t i a l c o u r t c a s e s , E u c l i d v. Ambler R e a l t y Co. (1926) and B e l l e T e r r e v. B o r a a s (1974) . However, t h e S o u t h B u r l i n g t o n C o u n t y v. Mount L a u r e l (1975) d e c i s i o n s t r u c k down m u n i c i p a l z o n i n g o r d i n a n c e s t h a t e x c l u d e d low income f a m i l i e s . The m u n i c i p a l i t y a r g u e d t h a t new d e v e l o p m e n t s s h o u l d have s u f f i c i e n t v a l u e f o r t h e i r t a x e s t o pay f o r a l l c o s t s t h e d e v e l o p m e n t would c r e a t e , but t h e New J e r s e y Supreme C o u r t c h o s e t o demand t h a t t h e t o w n s h i p p r o v i d e f o r a f a i r s h a r e of r e g i o n a l h o u s i n g r e q u i r e m e n t s (Rose, 1979, p . 2 3 2 ) . 6. R i g i d i t y The t h e o r y b e h i n d t h e c u r r e n t s y s t e m [ o f z o n i n g ] i s t h a t t h e members of a community can s i t down one f i n e day and d e t e r m i n e not o n l y t h e g e n e r a l n a t u r e of i t s f u t u r e d e v e l o p m e n t but a l s o e v e r y d e t a i l t o s u c h a p r e c i s e e x t e n t t h a t v e r y l i t t l e need t o be l e f t t o d i s c r e t i o n of an o n - g o i n g a d m i n i s t r a t i v e p r o c e s s . The i d e a t h a t a community c a n do t h i s r e s t s on t h e a s s u m p t i o n t h a t i t has a c l e a r v i s i o n o f an end s t a t e f o r i t s e l f and t h a t l i t t l e , i f a n y t h i n g , can happen t o mar t h a t v i s i o n . The o n l y way t o d e s c r i b e t h e s y s t e m , t h e r e f o r e , i s t o say t h a t i t d e s c r i b e s a s t a t i c end s t a t e c o n c e p t o f l a n d use c o n t r o l . P l a i n l y , t h a t c o n c e p t i s i n c o n f l i c t w i t h r e a l i t y . ( K r a s n o w i e c k i , 1970, p.4) The " t h e o r y " K r a s n o w i e c k i r e f e r s t o i s commonly c a l l e d " E u c l i d e a n Z o n i n g " , a t e r m u s e d t o d e s c r i b e t h e r i g i d l a n d u s e , b u l k , and s i t i n g r e g u l a t i o n s i n t h e z o n i n g b y - l a w s as c o n c e i v e d 25 i n t h e S t a n d a r d S t a t e Z o n i n g E n a b l i n g A c t (SZEA) and u p h e l d by t h e Supreme C o u r t i n 1926. E u c l i d e a n z o n i n g i n c l u d e d f o u r a s s u m p t i o n s as s t a t e d by Rose (1979, p . 1 4 7 ) : (1) t h a t p l a n n e r s can p r e d i c t t h e n a t u r e and q u a n t i t i e s of t h e community's needs w i t h some p r e c i s i o n and m a g n i t u d e ; (2) t h a t p l a n n e r s c a n , w i t h a c c u r a c y , c o n v e r t t h e q u a n t i f i c a t i o n of community needs i n t o an a l l o c a t i o n and d e s i g n a t i o n of l a n d u s e ; (3) t h a t t h e economic and p o l i t i c a l f o r c e s w i t h i n t h e community w i l l r e s p o n d c o m p l i a n t l y w i t h t h e s e d e s i g n a t i o n s ; (4) t h a t t h e v e r y a c t o f d e s i g n a t i o n o f s p e c i f i e d z o n e s f o r p r e s c r i b e d u s e s w i l l not u n d e r mine t h e a c h i e v e m e n t of o t h e r community g o a l s and o b j e c t i v e s . Z o n i n g was o r i g i n a l l y c o n c e i v e d as a way t o a n t i c i p a t e l a n d use p r o b l e m s and t o s o l v e them p r i o r t o r e g u l a t i o n s b e i n g a d o p t e d . Z o n i n g c h a n g e s would be e x c e p t i o n a l under t h i s c o n c e p t , so z o n i n g was c l e a r l y seen as b e i n g a s t a t i c r e g u l a t o r y mechanism. A d m i n i s t r a t i v e d i s c r e t i o n w i t h i n t h e z o n i n g bylaw was p e r c e i v e d as a t h r e a t e n i n g f o r c e which would i n v i t e abuse and c r e a t e u n c e r t a i n t y . By p l a c i n g t h e mechanism f o r c h a n g e s i n t h e j u d i c i a l or q u a s i - j u d i c i a l r e a l m of government c o n t r o l , w i t h i t s a t t e n d e n t r e q u i r e m e n t s f o r due p r o c e s s , any p o t e n t i a l z o n i n g f l e x i b i l i t y was d i s c o u r a g e d . A c i t y or r e g i o n i s not s t a t i c ; i t i s dynamic and u n d e r g o e s c o n t i n u a l c h a n g e . D e s p i t e t h i s , t h e d r a f t s m e n of t h e SZEA r e q u i r e d any z o n i n g c h a n g e s t o be s u b j e c t t o t h e l e g a l p r o c e d u r e s o f a p p e a l and q u a s i - j u d i c i a l r e v i e w . The A m e r i c a n Law I n s t i t u t e ' s e v a l u a t i o n i s t h a t i f t h e d r a f t s m e n had been aware of t h e d e g r e e t o w h i c h t h e z o n i n g amendment would become a 26 companion t o a c t u a l d e v e l o p m e n t , t h e y would have f o r c e d some of t h e amendment a c t i v i t y i n t o a n ^ a d m i n i s t r a t i v e c a t e g o r y (Marcus and G r o v e s , 1977, p . 1 9 2 ) . A l t h o u g h t h e p r e s s u r e f o r more f l e x i b i l i t y i n z o n i n g has r e s u l t e d i n t h e o r i g i n a l e l e m e n t o f r i g i d i t y b e i n g s u b s t a n t i a l l y m o d i f i e d , some, a l b e i t a m i n o r i t y , c o n t i n u e t o s u p p o r t i t s j u d i c i a l r e a l m . F o r example, Wickersham (1981, p.91) f e a r s t h e t h r e a t e n i n g and d e s t a b i l i z i n g f o r c e of a l l o w i n g a d m i n i s t r a t i v e c h a n g e s i n z o n i n g and u p h o l d s z o n i n g ' s s t a t i c n a t u r e as an i n h e r e n t v i r t u e . G r e a t e r f l e x i b i l i t y has been i n t r o d u c e d , p a r t i c u l a r l y i n t h e s u b u r b s . Babcock and Weaver (1979, p.16) n o t e " t h e a r c h i t e c t s of s u b u r b a n z o n i n g t r a n s f o r m e d t h e r i g i d i t y of E u c l i d e a n z o n i n g o r d i n a n c e s c r e a t e d t o p r o t e c t a l r e a d y d e v e l o p e d and s t a b l e n e i g h b o u r h o o d s i n t o d i s c r e t i o n a r y , f l e x i b l e d e v i c e s t o d i r e c t and c o n t r o l t h e d e v e l o p m e n t of major new s u b u r b a n c e n t e r s . " Where r a p i d g r o w t h was o c c u r r i n g , m u n i c i p a l i t i e s f o u n d t h e m s e l v e s c o n t i n u a l l y d e a l i n g w i t h r e z o n i n g a p p l i c a t i o n s , r e q u e s t s f o r v a r i a n c e s , s p e c i a l p e r m i t a p p l i c a t i o n s and complex d e v e l o p m e n t p r o p o s a l s which c o u l d not be h a n d l e d by z o n i n g . New t e c h n i q u e s , i n c l u d i n g p l a n n e d u n i t d e v e l o p m e n t s s p e c i a l d i s t r i c t s , f l o a t i n g z o n e s , c o n d i t i o n a l z o n i n g , and c o n t r a c t z o n i n g were d e v e l o p e d i n r e s p o n s e t o t h e i n a b i l i t y of e x i s t i n g c o n t r o l s t o a d a p t t o e x p r e s s e d n e e d s . G r e a t e r d i s c r e t i o n was a l s o i n t r o d u c e d t o d e a l w i t h p r o b l e m s of t h e d e v e l o p e d a r e a s . N e l s o n (1977, pp.19-20) n o t e d m u n i c i p a l d e s i r e s t o i n t r o d u c e d i v e r s i t y (and h i g h e r d e n s i t i e s ) i n s i n g l e use n e i g h b o u r h o o d s w h i l e e n s u r i n g t h a t t h e p r o c e s s 27 would p r o v i d e more a t t e n t i o n t o d e t a i l and c o n t r o l o v e r q u a l i t y . O t h e r o b j e c t i v e s , s u c h as p r e s e r v a t i o n o f h e r i t a g e s t r u c t u r e s and d i s t r i c t s , h o u s i n g i n c o m m e r c i a l z o n e s , m e e t i n g open s p a c e n e e d s , and u r b a n r e n e w a l and r e h a b i l i t a t i o n a l s o l e d t o demand f o r more f l e x i b l e c o n t r o l s . R i g i d i t y , a s an e l e m e n t i n z o n i n g , has had g r e a t e r s i g n i f i c a n c e i n t h e U.S. t h a n i n Canada. In l i g h t of t h e c o n s t i t u t i o n a l d i f f e r e n c e s , G e r e c k e e t a l (1974, p.4) c o n c l u d e " . . . z o n i n g law i n Canada i s more f l e x i b l e and t h u s more r e c e p t i v e t o i n n o v a t i o n t h a n i n t h e U n i t e d S t a t e s . " P o r t e r (1974, p.49) a t t r i b u t e s t h i s n ot o n l y t o t h e c o n s t i t u t i o n a l d i f f e r e n c e s but a l s o t o t h e i n f l u e n c e of t h e B r i t i s h t r a d i t i o n and e x p e r i e n c e i n Canada. To summarize, r i g i d i t y was an i n t r i n s i c p a r t of t h e o r i g i n a l c o n c e p t of z o n i n g . Z o n i n g had been " t h e o r e t i c a l l y and m e c h a n i c a l l y i n c a p a b l e of h a n d l i n g f l e x i b l e r e s p o n s e t o d e v e l o p m e n t " (Marcus and G r o v e s , 1970, p . 1 9 3 ) , one of t h e p r i m a r y arguments s u p p o r t i n g amendment of e n a b l i n g l e g i s l a t i o n , p a r t i c u l a r l y i n t h e U.S. A m e r i c a n e x p e r i e n c e and d i r e c t i o n now seems t o be a p p r o a c h i n g C a n a d i a n examples i n d e v e l o p i n g more i n n o v a t i v e and f l e x i b l e t o o l s t o r e d u c e z o n i n g r i g i d i t y ( P o r t e r , 1974, p . 4 9 ) . 28 7. P r e d i c t a b i l i t y " T r a d i t i o n a l z o n i n g has t h e m e r i t of s p e l l i n g o u t t h e c i t i z e n ' s r i g h t i n a d v a n c e . He c a n come i n and see where h i s r i g h t s and r e s p o n s i b i l i t i e s l i e . . . " ( L a n e , 1976, p . 5 ) . To e n s u r e f a i r n e s s and due p r o c e s s , t h e r e must be r e a s o n a b l y d i s c e r n a b l e s t a n d a r d s . U n f o r t u n a t e l y , t h e need t o overcome r i g i d i t y , p l u s p o s s i b l e abuse of t h e s y s t e m , has l e d t o c r i t i c i s m t h a t " t h e o n l y c e r t a i n t y a b o u t z o n i n g i s t h a t i t w i l l r e m a i n i n t a c t u n t i l t h e n e x t c o u n c i l m e e t i n g . " (Rondeau, 1975, p.5) A l t h o u g h t h e el e m e n t of r i g i d i t y has been shown t o be i n c o n f l i c t w i t h r e a l i t y , t h i s s h o u l d not i m p l y t h a t f l e x i b l e s t a n d a r d s n e c e s s a r i l y mean u n p r e d i c t a b i l i t y . T h e r e i s a f i n e l i n e , i l l u s t r a t e d i n F i g u r e 1, w h i c h a m u n i c i p a l i t y must i n t e r s e c t w i t h i t s z o n i n g a d m i n i s t r a t i o n : c e r t a i n t y u n c e r t a i n t y < > r i g i d r e g u l a t i o n s d i s c r e t i o n a r y c o n t r o l F i g u r e 1 - F l e x i b i l i t y v. R i g i d i t y G r e a t e r p r e d i c t a b i l i t y w i t h r e d u c e d r i s k may be p r o m o t e d by s t a t i n g i n a d v a n c e t h e r u l e s f o r f l e x i b l e z o n i n g . The e l e m e n t of p r e d i c t a b i l i t y s h o u l d t h e r e f o r e be i n c o r p o r a t e d i n t h e z o n i n g by-law, c o m p r e h e n s i v e p l a n , or o t h e r p a r t s of an u r b a n g u i d a n c e 29 s y s t e m . 8. N e g a t i v i t y A z o n i n g by-law a c t s t o c o n t r o l new d e v e l o p m e n t i n two ways: (1) by s t a t i n g e i t h e r t h e p r o h i b i t e d or p e r m i t t e d u s e s f o r e a c h zone; and, (2) by d e f i n i n g t h e e n v e l o p e w i t h i n w h i c h a b u i l d i n g must be p l a c e d , t h r o u g h s e t b a c k and h e i g h t c o n t r o l s . I t may be z o n i n g ' s n e g a t i v e c a s t w h i c h e x p l a i n s z o n i n g ' s p a r t i a l s u c c e s s s i n c e i t i s t h e o r e t i c a l l y and p r a c t i c a l l y more f e a s i b l e t o a n t i c i p a t e f u t u r e d i f f i c u l t i e s by e x c l u s i o n t h a n by c a u s a t i o n . " [ I t ] i s not r e q u i r e d t o d e f i n e t h e u l t i m a t e end of a community: i t i s m e r e l y r e q u i r e d t o p r e v e n t t h o s e a b u s e s and e x p l o i t a t i o n w h i c h s t a n d i n t h e p a t h of t h e 'good l i f e ' . " ( M a k i e l s k i , 1967, p.11) M a k i e l s k i t h u s v i e w s z o n i n g ' s n e g a t i v e c a s t as b e i n g an e l e m e n t by w h i c h a " p a r t i c u l a r a c t i v i t y c a n be r e s t r i c t e d or e l i m i n a t e d b e c a u s e i t i s i n i m i c a l t o t h e w e l f a r e of n e i g h b o u r s or t h e community a t l a r g e . " ( M a k i e l s k i , 1967, p. 1 3) A d i v e r g e n t view has been e x p r e s s e d by Bettman ( q u o t e d by N e l s o n , 1977, p.56) t h a t " Z o n i n g s h o u l d be t h o u g h t of not as a n e g a t i v e d e v i c e f o r k e e p i n g s o m e t h i n g o u t , but as a p o s i t i v e d e v i c e f o r c a u s i n g t h e c i t y t o grow a c c o r d i n g t o a l o g i c a l p l a n . " A l t h o u g h p o s i t i v e z o n i n g t e c h n i q u e s use t h e " c a r r o t " r a t h e r t h a n t h e " s t i c k " , t h e y a r e s t i l l b a s e d on z o n i n g ' s n e g a t i v e e l e m e n t s u c h as t h e l i m i t a t i o n s imposed by d e n s i t y or b u l k c o n t r o l s f o r c r e a t i n g s u f f i c i e n t demand f o r t h e e x t r a s p a c e t o pay f o r t h e c o s t of an a m e n i t y d e s i r e d . Z o n i n g c a n n o t be 30 u s e d t o f o r c e t h e d e v e l o p e r t o c o n f e r b e n e f i t s on t h e community however " t h e t h e o r y s u g g e s t e d i s t h a t government i s f r e e t o use r e g u l a t o r y powers f o r p o s i t i v e , e n h a n c i n g p u r p o s e s as w e l l as r e g u l a t o r y o n e s . " (Heyman, 1970, pp.47-48) 9. Government Immunity Wickersham (1981, p.90) n o t e s t h a t t r a d i t i o n a l l a n d use c o n t r o l t h e o r y g i v e s government immunity from z o n i n g d e c i s i o n s . T h i s e l e m e n t i s p e r h a p s s e l f - e v i d e n t g i v e n t h e n a t u r e of t h e p r o c e s s . S i n c e t h e government has t h e a u t h o r i t y t o c r e a t e z o n e s , and t h e a u t h o r i t y t o change t h o s e z o n e s , i t can t h e o r e t i c a l l y do as i t w i s h e s w i t h i t s p r o p e r t y ; however, i t i s f r e q u e n t l y t h e c a s e t h a t a government w i l l c h o o s e t o s u b j e c t i t s p r o p e r t i e s t o t h e same c o n t r o l s as p r i v a t e p r o p e r t y due t o t h e p o l i t i c a l e x p e d i e n c e of s u c h a c t i o n s . 10. N o n r e t r o a c t i v i t y The f o r c e of z o n i n g i s p r o s p e c t i v e : o n l y new d e v e l o p m e n t ca n be c o n t r o l l e d . I f t h e u s e , b u l k , or s i t i n g of a b u i l d i n g i n p l a c e p r i o r t o a d o p t i o n of a z o n i n g by-law does not c o n f o r m t o t h e new r e g u l a t i o n s , i t i s s a i d t o be l e g a l l y n o n - c o n f o r m i n g . I t i s t y p i c a l l y not n e c e s s a r y t o change t h e p r e v i o u s l y a c c e p t a b l e c o n d i t i o n s , u n l e s s t h e l a w f u l use i s d i s c o n t i n u e d or i t s e x p a n s i o n i s i n v o l v e d . 31 D. ZONING AND THE COMMUNITY PLAN T h e r e have been t h r e e v i e w s a d v a n c e d c o n c e r n i n g t h e z o n i n g / p l a n n i n g r e l a t i o n s h i p . The f i r s t a nd most w i d e l y a c c e p t e d view, i s t h a t z o n i n g i s s u b o r d i n a t e t o p l a n n i n g , as d e s c r i b e d i n H a a r ' s p a p e r "In A c c o r d a n c e w i t h a Community P l a n " ( 1 9 5 5 ) . G e r e c k e e t a l (1974, p.6) e l a b o r a t e upon t h i s as b e i n g "a p l a n n i n g t h e o r y of z o n i n g " . In t h e s e c o n d v i e w , z o n i n g i s seen as p a r t o f an u r b a n g u i d a n c e s y s t e m , b e i n g p l a c e d on an e q u a l b a s i s w i t h c o m p r e h e n s i v e p l a n s , i n f r a s t r u c t u r e p l a n s , t a x a t i o n p o l i c i e s , and b u i l d i n g r e g u l a t i o n s (Bergman e t a l , 1974, p p . 1 6 - 1 9 ) . T a r l o c k (1975, p.101) a d v a n c e s t h e t h i r d view t h a t c o m p r e h e n s i v e p l a n s s h o u l d not be imposed on z o n i n g d e c i s i o n s , but t h a t p l a n s s h o u l d be u s e d as u s e f u l g u i d e s . T h i s view s u g g e s t s p l a n n i n g s h o u l d be an e l e m e n t o f z o n i n g , however, i t i s a view which few p l a n n e r s s u p p o r t . The 1916 z o n i n g by-law i n New York was b a s e d on what t h e Committee t h o u g h t was c a r e f u l s t u d y of a p p r o p r i a t e l a n d u s e s a t t h e l o c a l l e v e l , but i t was not b a s e d on a c o m p r e h e n s i v e p l a n . The need t o c o - o r d i n a t e z o n i n g and p l a n n i n g was r e c o g n i z e d , but was not e m p h a s i z e d . The p u b l i c a t i o n of t h e S t a n d a r d S t a t e Z o n i n g E n a b l i n g A c t (SZEA) i n 1922, f o u r y e a r s p r i o r t o t h e S t a n d a r d C i t y P l a n n i n g E n a b l i n g A c t i n 1926, a l s o i n d i c a t e s t h e e a r l y emphasis on z o n i n g r a t h e r t h a n p l a n n i n g . D e l a f o n s (1969, p. 140) c o n f i r m s t h a t z o n i n g was w i d e l y and e n t h u s i a s t i c a l l y a d o p t e d w h i l e p l a n n i n g was n e g l e c t e d . By t h e 1930's, p l a n n i n g was b e g i n n i n g t o r e c e i v e g r e a t e r a t t e n t i o n , w i t h z o n i n g b e i n g v i e w e d as a means of i m p l e m e n t i n g l a n d use p l a n s ( N e l s o n , 1977, 32 pp.27 and 5 7 ) . More r e c e n t l y , t h e d e v e l o p m e n t of a community p l a n t h r o u g h c o m p r e h e n s i v e p l a n n i n g has been a c c e p t e d as a way t o d e t e r m i n e t h e a p p r o p r i a t e z o n i n g d e s i g n a t i o n s f o r a m u n i c i p a l i t y o r r e g i o n , and t o g u i d e amendments t o t h e r e g u l a t i o n s . F o l l o w i n g t h e d emise o f t h e " C i t y B e a u t i f u l " a p p r o a c h t o p l a n n i n g , t h e r e was i n c r e a s i n g r e c o g n i t i o n o f t h e c a p a c i t y of z o n i n g t o a c h i e v e community p l a n o b j e c t i v e s . Z o n i n g was t h u s t r a n s f o r m e d from b e i n g a way t o c o n t r o l n u i s a n c e s t o a way of a f f e c t i n g l a n d use f o r i m p r o v i n g p u b l i c w e l f a r e . An a d o p t e d p l a n r e d u c e d t h e l e g a l u n c e r t a i n t y of e x t e n d i n g z o n i n g t o u n d e v e l o p e d a r e a s on t h e u r b a n f r i n g e . In d e n s e l y b u i l t up a r e a s p l a n n i n g d e t e r m i n e d t h e maximum d e n s i t y p e r m i t t e d by e x i s t i n g z o n i n g and l e d t o an a p p r e c i a t i o n of a need t o r e d u c e t h e t o t a l amount of d e v e l o p m e n t p o s s i b l e . F i n a l l y , i n c r e a s i n g c o m p l e x i t y and c o n t i n u a l change i n u r b a n a r e a s r e q u i r e d a l e s s r i g i d form of c o n t r o l o f f e r e d by p l a n n i n g . T h e r e c o n t i n u e s t o be c o n c e r n t h a t c o m p r e h e n s i v e p l a n n i n g i s not b e i n g u n d e r t a k e n p r i o r t o p r e p a r a t i o n of a z o n i n g o r d i n a n c e ( P o r t e r , 1973, p.47; M i l n e r , 1963a). A l t h o u g h i t i s g e n e r a l l y a d v o c a t e d , t h e i m p o r t a n c e of f i r s t a d o p t i n g a p l a n and s e c o n d a d o p t i n g a z o n i n g by-law w h i c h i s r e l a t e d t o t h e p l a n has not been u n i v e r s a l l y a c c e p t e d a t e i t h e r a t h e o r e t i c a l or a p r a c t i c a l l e v e l . At t h e p r a c t i c a l l e v e l t h e r e l a t i o n s h i p between p l a n n i n g and z o n i n g i s d e f i n e d i n e n a b l i n g l e g i s l a t i o n . F o r example, M a c k e n z i e (1978, p.520) s e e s o f f i c i a l p l a n s i n B r i t i s h C o l u m b i a as b e i n g v a l u a b l e g u i d e s t o p l a n n e r s under 33 w h i c h d e t a i l e d z o n i n g and s u b d i v i s i o n c o n t r o l b y - l a w s c a n be p a s s e d . W e l l d e f i n e d p o l i c y s t a t e m e n t s c a n a l s o p r o v i d e an a p p r o p r i a t e means. F o r example, t h e C i t y o f V a n c o u v e r has no c o m p r e h e n s i v e p l a n . Spaxman, D i r e c t o r o f P l a n n i n g f o r t h e C i t y of V a n c o u v e r , p r e f e r s " t o b e l i e v e t h a t t h e p e o p l e a r e w o r k i n g ou t an a t t i t u d e t h a t e v o l v e s from a number of p o l i c i e s , i n s t e a d of f o l l o w i n g some m a s t e r p l a n . " ( q u o t e d by Markus, 1982, p . 1 6 ) . The d i f f e r e n c e i s e s s e n t i a l l y t h e d e f i n i t i o n o f what c o n s t i t u t e s a p l a n , r a t h e r t h a n t h e a p p r o p r i a t e r e l a t i o n s h i p . 34 IV. TRANSFER OF DENSITY A. INTRODUCTION C h a p t e r I I I i l l u s t r a t e d how c h a n g e s t o z o n i n g have been i n t r o d u c e d t o overcome i t s i n h e r e n t l i m i t a t i o n s . However, not a l l d e s i r e d f e a t u r e s can be accommodated t h r o u g h amendments t o z o n i n g . The g r e a t e r f l e x i b i l i t y w h i c h has been i n t r o d u c e d has g e n e r a l l y a p p l i e d t o an e n t i r e zone even when i t may be d e s i r a b l e have v a r i e d t h e r e g u l a t i o n s f o r l o t s w i t h i n t h e zone. Z o n i n g ' s n o n c o m p e n s a t o r y e l e m e n t i s l i m i t e d b e c a u s e i t does not a l l o w f o r any form of p a r t i a l c o m p e n s a t i o n f o r r e s t r i c t i v e c o n t r o l s , even where i t i s j u s t i f i e d on e q u i t a b l e g r o u n d s . These l i m i t a t i o n s i n t h e s y s t e m have l e d t o t h e i n t r o d u c t i o n of d e n s i t y t r a n s f e r p r o p o s a l s . The b a s i s of t h e d e n s i t y t r a n s f e r c o n c e p t i s t h a t unused d e v e l o p m e n t p o t e n t i a l o r d e n s i t y may be s e v e r e d from a s i t e and be a t t a c h e d t o a n o t h e r p a r c e l . I t has p o t e n t i a l a p p l i c a t i o n i f t h e t r a n s f e r a b l e d e n s i t y has an economic v a l u e and t h e r e a r e s i t e s where r e l o c a t i o n of t h e a d d i t i o n a l d e n s i t y i s not o b j e c t i o n a b l e . S i n c e m u n i c i p a l g o v e r n m e n t s c o n t r o l d e v e l o p m e n t t h r o u g h l a n d use r e g u l a t i o n s , d e n s i t y t r a n s f e r s p r o v i d e a way t o i n c r e a s e a m u n i c i p a l i t y ' s a b i l i t y t o m a n i p u l a t e l a n d m a r k e t s t o a c h i e v e p u b l i c p u r p o s e s as s e t o u t i n i t s mandate. In t h i s s e n s e , t h e p r i v a t e market i s " h a r n e s s e d " t o promote p u b l i c w e l l -b e i n g . D e n s i t y t r a n s f e r s can a l s o p r o v i d e a way t o r e d u c e t h e r i g i d i t y imposed by r e g u l a t i o n s by p r o v i d i n g g r e a t e r f l e x i b i l i t y t o d e v e l o p e r s . 35 D e n s i t y t r a n s f e r s a r e most f r e q u e n t l y c o n c e i v e d of as c o m p e n s a t o r y mechanisms f o r r e s t r i c t i v e c o n t r o l s . They a l s o may be u s e d t o i n t r o d u c e g r e a t e r f l e x i b i l i t y by a l l o w i n g p r o p e r t y owners t o combine s e p a r a t e p r o p e r t i e s f o r c a l c u l a t i o n of t o t a l p e r m i t t e d d e n s i t y and r e a l l o c a t i o n of t h e t o t a l d e n s i t y among i n d i v i d u a l p r o p e r t i e s . The mechanism t h u s p e r m i t s r e g u l a t i o n s t o o p e r a t e on combined p r o p e r t i e s , r a t h e r t h a n on i n d i v i d u a l p a r c e l s , w h i l e c o n t i n u i n g t o meet s e r v i c i n g and d e n s i t y c r i t e r i a . W i t h complex d e s i g n g u i d e l i n e s b e i n g a d o p t e d t o r e g u l a t e urban d e v e l o p m e n t , p a r t i c u l a r l y i n t h e h i g h d e n s i t y c o r e a r e a , d e n s i t y t r a n s f e r s may be u s e d t o a c h i e v e t h e g u i d e l i n e s ' o b j e c t i v e s . B. DENSITY TRANSFERS WITHIN ZONES The r e l o c a t i o n of p e r m i t t e d d e n s i t y from one s i t e t o a n o t h e r w i t h i n t h e same zone i s t h e most s i m p l e form of d e n s i t y t r a n s f e r . When t h e a l l o w a b l e f l o o r a r e a or p e r m i t t e d number of d w e l l i n g u n i t s i s t r a n s f e r r e d from one s i t e t o a n o t h e r , t h e p e r m i t t e d d e n s i t y of t h e s i t e from w h i c h d e n s i t y i s b e i n g t r a n s f e r r e d , i . e . t h e donor p r o p e r t y , may be p e r m a n e n t l y d e c r e a s e d and t h e p e r m i t t e d d e n s i t y of t h e s i t e w h i c h r e c e i v e s t h e t r a n s f e r r e d d e n s i t y , i . e . t h e r e c e i v i n g p r o p e r t y , may be p e r m a n e n t l y i n c r e a s e d a t t h e new l e v e l e x c e e d i n g t h e z oned l i m i t . No a d d i t i o n a l d e n s i t y i s c r e a t e d , i t i s m e r e l y r e -a l l o c a t e d . The o r i g i n s of t h e c o n c e p t of s i t e - t o - s i t e t r a n s f e r s a r e f o u n d i n New Y o r k ' s 1961 Z o n i n g By-law amendments, i n w h i c h t h e 36 t r a n s f e r of development r i g h t s between contiguous b u i l d i n g s i t e s w i t h i n the same zone and between l o t s h e l d i n common ownership was p e r m i t t e d . The p r o v i s i o n was int r o d u c e d to provide a technique to preserve landmark b u i l d i n g s or p r i v a t e l y owned parks, and was to be ad m i n i s t e r e d in a manner s i m i l a r to bonusing techniques. TDR and bonuses, grouped together as i n c e n t i v e zoning techniques, were intended to allow developers to i n c r e a s e the permitted d e n s i t y of b u i l d i n g s on an a s - o f - r i g h t b a s i s i f s p e c i f i c amenities were pro v i d e d . The next precedent s e t t i n g step, a l l o w i n g t r a n s f e r s across a s t r e e t , was made by New York in 1968 when t r a n s f e r s were permitted to adjacent l o t s which were e i t h e r contiguous or separated by a s t r e e t or i n t e r s e c t i o n . F i n a l l y , t r a n s f e r s w i t h i n d i s t r i c t s are now being allowed when s p e c i f i c c o n d i t i o n s are met. S i t e - t o - s i t e d e n s i t y t r a n s f e r s are conceived of t y p i c a l l y as a means of a c h i e v i n g two purposes: (1) to a l l e v i a t e otherwise i n e q u i t a b l e r e g u l a t i o n s a r i s i n g from h e r i t a g e d e s i g n a t i o n or "spot" zoning, and (2) to r e d i s t r i b u t e p e r m i t t e d d e n s i t i e s w i t h i n zoning d i s t r i c t s . The f i r s t s i t u a t i o n a r i s e s when property owners are s i n g l e d out from other s i m i l a r p r o p e r t i e s i n the same area f o r p a r t i c u l a r l y r e s t r i c t i v e r e g u l a t i o n . Here, d e n s i t y t r a n s f e r s are intended to provide adequate compensation without reducing the m u n i c i p a l i t y ' s t y p i c a l l y scarce funds. The second purpose provides a way to in c r e a s e the f l e x i b i l i t y of zoning. I t may be i n i t i a t e d by developers to reduce c o s t s of development or to improve p r o j e c t d e s i g n . N e i t h e r technique permits the o v e r a l l d e n s i t y w i t h i n a d i s t r i c t to vary. 37 1. Heritage Preservation The impetus for considering s i t e - t o - s i t e transfers is frequently the result of a zoned community experiencing the threatened loss of h i s t o r i c a l l y valuable buildings. There are two major aspects to t h i s problem: the reasons the buildings are being demolished and the options available to prevent their loss. Figure 2 i l l u s t r a t e s the application of a density transfer to preserve a small h i s t o r i c building "A" within a high density area. Figure 2 - Heritage Preservation Through Density Transfers 38 Owners o f p r o p e r t i e s "B" and "C" have p u r c h a s e d t h e unused f l o o r s p a c e from "A" w h i c h has a l l o w e d t h e i r p r o j e c t s t o be l a r g e r t h a n would o t h e r w i s e have been p e r m i t t e d . One o f t h e main r e a s o n s an o l d e r b u i l d i n g i s d e m o l i s h e d i s t o p e r m i t c o n s t r u c t i o n of a more p r o f i t a b l e s t r u c t u r e i n i t s p l a c e . I t may i n v o l v e (1) r e d e v e l o p m e n t of t h e s i t e w i t h a s i m i l a r l y - s i z e d b u i l d i n g ; (2) r e d e v e l o p m e n t of t h e s i t e w i t h a c o n s i d e r a b l y l a r g e r b u i l d i n g w i t h i n t h e p e r m i t t e d z o n i n g ; or (3) a s s e m b l y o f t h e s i t e w i t h o t h e r c o n t i g u o u s p r o p e r t i e s f o r a major p r o j e c t . In t h e f i r s t c a s e t h e h e r i t a g e s t r u c t u r e may be p h y s i c a l l y a n d / o r f u n c t i o n a l l y o b s o l e t e . A new b u i l d i n g would be e x p e c t e d t o be more p r o f i t a b l e b e c a u s e i t c o u l d command h i g h e r r e n t s , have l o w e r o p e r a t i n g and m a i n t e n a n c e c o s t s , and have more r e n t e d s p a c e t h r o u g h more e f f i c i e n t use of i n t e r i o r s p a c e . Redevelopment of t h e s e p r o p e r t i e s may be f o r c e d b e c a u s e c o m p l i a n c e w i t h c u r r e n t f i r e s a f e t y or e a r t h q u a k e r e s i s t a n c e r e g u l a t i o n s would be more c o s t l y t h a n c o m p l e t e r e c o n s t r u c t i o n . I t may a l s o o c c u r when g r e a t e r income would a c c r u e t o a p r o p e r t y i f i t was c o n v e r t e d t o condominium s t a t u s , and c o n v e r s i o n of t h e e x i s t i n g b u i l d i n g i s not p e r m i t t e d . In t h e c a s e of s m a l l b u i l d i n g s b e i n g r e p l a c e d by l a r g e r o n es, t h e h e r i t a g e s t r u c t u r e may be s t r u c t u r a l l y sound and o p e r a t i n g a t a p r o f i t but t h e p r o f i t l e v e l i s l e s s t han what i t c o u l d be i f a l a r g e r b u i l d i n g o c c u p i e d t h e s i t e . T h e r e w i l l be a s t r o n g i n c e n t i v e f o r r e d e v e l o p m e n t i f z o n i n g p e r m i t s a l a r g e r s t r u c t u r e , demand e x i s t s f o r t h e a d d i t i o n a l s p a c e i n t h e s i t e ' s v i c i n i t y , and z o n i n g r e s t r i c t s d e v e l o p m e n t of c o m p e t i t i v e s i t e s . 39 The t h i r d i n s t a n c e , a s s e m b l y o f a l a r g e s i t e , i s a l s o r e l a t e d t o z o n i n g - i n d u c e d i n c e n t i v e s . - L a r g e t r a c t s a r e n e c e s s a r y t o d e v e l o p d e s i r e d l a r g e s c a l e b u i l d i n g s w i t h i n a r e a s where t o t a l f l o o r a r e a i s r e s t r i c t e d i n o r d e r t o meet s e t back, vi e w p r o t e c t i o n , o r s u n l i g h t r e g u l a t i o n s and t o t a k e a d v a n t a g e of a d d i t i o n a l d e n s i t y p e r m i t t e d t h r o u g h p r o v i s i o n o f p l a z a s , c o n n e c t i o n s t o subways, day c a r e c e n t r e s , t h e a t r e s , o r o t h e r a m e n i t i e s . I f h e r i t a g e b u i l d i n g s l o c a t e d w i t h i n l a r g e d e v e l o p m e n t s i t e s a r e not r e c o g n i z e d i n z o n i n g r e g u l a t i o n s as a m e n i t i e s d e s e r v i n g f a v o r a b l e c o n s i d e r a t i o n , t h e n r e t a i n i n g them c o u l d be a l i a b i l i t y r a t h e r t h a n an a s s e t t o t h e d e v e l o p e r . F u r t h e r m o r e , t h e c o s t s of r e h a b i l i t a t i o n and m a i n t e n a n c e a r e t y p i c a l l y g r e a t e r t h a n l a n d s c a p i n g and m a i n t a i n i n g a p l a z a . The o p t i o n s a v a i l a b l e t o p r e v e n t l o s s o f h e r i t a g e b u i l d i n g s f a l l i n t o two major c a t e g o r i e s : (1) monetary t e c h n i q u e s and (2) non-monetary t e c h n i q u e s . T h e s e a r e summarized i n T a b l e s 1 and 2. 40 Method A l l m o n e t a r y means p u r c h a s e b u i l d i n g c a s h payment t a x r e l i e f r e s i d e n t i a l h e r i t a g e m a i n t e n a n c e g r a n t f a c a d e easement p u r c h a s e , r e n o -v a t i o n , r e s a l e p u b l i c improvements t o i n f r a s t r u c t u r e A d v a n t a g e i m p r o v e d v i a b i l i t y , use f u n d s f o r r e h a b i l i t a t i o n g u a r a n t e e s p r e s e r v a t i o n owner i s p a i d f o r l o s s s t r a i g h t f o r w a r d s t r a i g h t f o r w a r d c o s t s l e s s t h a n p u r c h a s e e n s u r e s r e h a b i 1 i t a t i o n improve s i t e a m e n i t y D i s a d v a n t a g e c o s t l y c i t y o w n e r s h i p may not be r e q u i r e d o r p r e f e r r e d d i f f i c u l t t o c a l c u l a t e l o s s h i d d e n s u b s i d y a n n u a l r e v i e w means f u n d i n g i n s e c u r e h i g h a d m i n i s t r a t i o n c o s t s needs s t a f f t o o v e r s e e work i n d i r e c t and l i m i t e d T a b l e 1 - M o n e t a r y C o m p e n s a t i o n T e c h n i q u e s D e s i g n a t i o n f o r H e r i t a g e 41 Method A d v a n t a g e D i s a d v a n t a g e A l l non-monetary means improve v i a b i l i t y a t low c o s t t o c i t y l i m i t e d a p p l i c a b i l i t y , h i g h a d m i n i s t r a t i o n c o s t s t r a n s f e r of d e v e l o p m e n t p o t e n t i a l z o n i n g & b u i l d i n g c o n c e s s i o n s amend N a t i o n a l B u i l d i n g Code government l e a s e of s p a c e remove r e n t c o n t r o l s amend Income Tax A c t p r e s e n t use a s s e s s m e n t p l a q u e s ; p e r s u a s i o n a d d r e s s e s l o s s of r e d e v e l o p m e n t p o t e n t i a l overcomes non-c o n f o r m i t y , r e d u c e s c o s t s r e d u c e s c o s t s of r e h a b i l i t a t i o n p r o v i d e s r e n t a l l o w s i n c r e a s e d r e v e n u e t o remove d i s i n c e n t i v e s f o r r e n o v a t i o n l o w e r s t a x e s t o owner v e r y low c o s t c r e a t e s h i g h e r d e n s i t y e l s e w h e r e c o u l d be u n s a f e , c a u s e l o c a l o p p o s i t i o n c o u l d be u n s a f e , beyond l o c a l powers o f t e n u n s u i t a b l e l o s s of low-income h o u s i n g beyond l o c a l powers beyond l o c a l powers l i m i t e d T a b l e 2 - Non-Monetary C o m p e n s a t i o n T e c h n i q u e s f o r H e r i t a g e D e s i g n a t i o n 42 The d i s a d v a n t a g e of monetary c o m p e n s a t i o n i s , o f c o u r s e , t h e l i m i t e d f i n a n c i a l r e s o u r c e s o f most c i t i e s . The d i s a d v a n t a g e of non-monetary t e c h n i q u e s i s a l s o o b v i o u s : few owners a r e l i k e l y t o m a i n t a i n h e r i t a g e s t r u c t u r e s w i t h o u t a d e q u a t e f i n a n c i a l s u p p o r t f o r p r e s e r v a t i o n . Most c o m m u n i t i e s have d e v e l o p e d a r a n g e of p r e s e r v a t i o n t e c h n i q u e s t o accommodate t h e v a r i o u s c i r c u m s t a n c e s w h i c h may be e n c o u n t e r e d . A d e n s i t y t r a n s f e r a d d r e s s e s t h e p r e s e r v a t i o n p r o b l e m b e s t f o r h e r i t a g e b u i l d i n g s w h i c h have s m a l l f l o o r a r e a s i n r e l a t i o n t o t o t h a t p e r m i t t e d by t h e r e l e v a n t z o n i n g b y - l a w . C o s t o n i s (1980, p.4) d e s c r i b e s i t as b e i n g " v i r t u a l l y t a i l o r made f o r p r e s e r v i n g i n d i v i d u a l l a n d m a r k s , a t l e a s t t h o s e t h a t a r e d i m i n u t i v e b u i l d i n g s l o c a t e d i n t h r i v i n g downtown m a r k e t s . " H i s o b s e r v a t i o n i s not s u r p r i s i n g s i n c e t h e o r i g i n a l p o l i c y p r o p o s a l by t h e New Y o rk Landmarks P r e s e r v a t i o n Commission i n 1967 was i n t e n d e d t o change t h e t r a d i t i o n a l E u c l i d e a n z o n i n g s u f f i c i e n t t o remove the r e s i d u a l z o n i n g r i g h t s from a landmark l o t , and a l l o w t h e owner of t h e landmark t o t r a n s f e r them from t h e landmark t o a n o t h e r l o t . A p p e n d i x I documents v a r i o u s examples of d e n s i t y t r a n s f e r p r ograms and p r o p o s a l s i n t e n d e d f o r h e r i t a g e p r e s e r v a t i o n , e a c h of w h i c h v a r i e s s l i g h t l y . F o r example, most p r o p o s a l s s t i p u l a t e t h a t t h e q u a n t i t y of t r a n s f e r a b l e f l o o r s p a c e i s t h e d i f f e r e n c e between t h a t a l l o w e d ( e x c l u d i n g b o n u s e s ) and t h a t b u i l t , but t h e C h i c a g o p r o p o s a l and Edmonton's p o l i c y have added d e n s i t y b o n u s e s t o r e d u c e th e economic b u r d e n of m a i n t a i n i n g h e r i t a g e b u i l d i n g s . The p e r m i t t e d l o c a t i o n f o r r e c e i v e r s i t e s v a r i e s 43 from b e i n g l i m i t e d t o a d j a c e n t p r o p e r t i e s t o anywhere w i t h i n a z o n i n g d i s t r i c t . 2. U r b a n P a r k s An o b j e c t i v e of many c i t i e s i s t o improve t h e v a r i e t y and l i v e a b i l i t y o f c o r e a r e a s by w e l l l o c a t e d and w e l l d e s i g n e d p a r k s , but t h e a t t r i b u t e s a s s o c i a t e d w i t h t h e t r a d i t i o n a l " g r e e n g r a s s ' and t r e e s " s p a c e r a r e l y can be p r o v i d e d due t o t h e h i g h c o s t s of a c q u i r i n g l a n d . A l t h o u g h p l a z a s a r e now b e i n g e n c o u r a g e d t h r o u g h bonus p r o v i s i o n s t o c r e a t e p a r k - l i k e a m e n i t i e s , t h e y u s u a l l y have h a r d s u r f a c e s , l i m i t e d l a n d s c a p i n g , and poor l o c a t i o n s due t o shade or w i n d . A f u r t h e r p r o b l e m w i t h p l a z a s i s t h a t w h i l e t h e f i r s t p l a z a on an avenue may be a welcome r e l i e f , "by t h e t i m e t h e r e a r e f i v e t h e s p a c e s t h e y c r e a t e seem c o n f u s e d and i r r e g u l a r ; and, as even more a r e b u i l t , one b e g i n s t o r e a l i z e t h a t t h e s e open s p a c e s would have been much more e f f e c t i v e i f t h e y had been g r o u p e d t o g e t h e r or c o -o r d i n a t e d i n t o e s p l a n a d e s . " ( B a r n e t t , 1970, p.127) The t r a d i t i o n a l means of c r e a t i n g p a r k s i n u r b a n a r e a s i s by t h e p u b l i c p u r c h a s e of p r o p e r t y i n d e s i r e d l o c a t i o n s . In d e n s e l y b u i l t up a r e a s t h i s c o u r s e of a c t i o n i s e x p e n s i v e . A d e n s i t y t r a n s f e r p r o g r am i n t r o d u c e s a way t o c r e a t e p a r k s by a l l o w i n g t r a n s f e r of a l l o f a s i t e ' s d e v e l o p m e n t p o t e n t i a l and a means t o c o n s o l i d a t e s p a c e w h i c h would o t h e r w i s e be p r o v i d e d i n s m a l l , s e p a r a t e p l a z a s . New York C i t y has a t t e m p t e d t o p r e s e r v e two p r i v a t e l y owned p a r k s t h r o u g h t h e i r d e n s i t y t r a n s f e r program, b u t , as documented 44 i n A p p e n d i x I, t h e r e g u l a t i o n was o v e r - r u l e d by t h e C o u r t o f A p p e a l s . A l t h o u g h t h e d e n s i t y t r a n s f e r c o n c e p t was s u p p o r t e d , i t was not deemed s u f f i c i e n t c o m p e n s a t i o n p a r t i a l l y due t o t h e u n c e r t a i n t y a b o u t t h e v a l u e of t h e t r a n s f e r a b l e d e n s i t y . 3. D e n s i t y E x c h a n g e s In o r d e r t o i n c r e a s e t h e v a r i e t y , a m e n i t y , and s a f e t y o f Downtown, w e l l d e s i g n e d r e s i d e n t i a l u s e s w i l l be b o t h p e r m i t t e d and e n c o u r a g e d t h r o u g h o u t t h e Downtown. A mix of u s e s w i t h i n s i n g l e d e v e l o p m e n t s or i n n e i g h b o u r i n g s i t e s i s a l s o p e r m i t t e d and e n c o u r a g e d . ( C i t y o f V a n c o u v e r , Downtown O f f i c i a l Development P l a n , 1975 ) The o b j e c t i v e of i n c r e a s i n g r e s i d e n t i a l l a n d u s e s i n c o m m e r c i a l d i s t r i c t s i s b e i n g e n c o u r a g e d i n many c i t i e s t h r o u g h " a s - o f -r i g h t " b o nuses f o r a d d i t i o n a l o f f i c e or c o m m e r c i a l s p a c e . A l t h o u g h bonuses work t o e n c o u r a g e r e s i d e n t i a l d e v e l o p m e n t , t h e i r use i s d i s c o u r a g e d by t h e expe n s e i n v o l v e d i n c o m b i n i n g s e p a r a t e u s e s i n t h e same b u i l d i n g . 1 A l s o , o f f i c e s p a c e r e q u i r e s g r e a t e r v i s i b i l i t y t h a n r e s i d e n t i a l use and i t i s n o t as s e n s i t i v e t o h i g h t r a f f i c l e v e l s . D e n s i t y t r a n s f e r s may be u s e d t o f a c i l i t a t e t h e p r o v i s i o n of r e s i d e n t i a l u n i t s . As i l l u s t r a t e d below i n F i g u r e 3, t h e r e s i d e n t i a l d e n s i t y from S i t e "A" has been t r a n s f e r r e d t o s i t e "B" i n exchange f o r t h e c o m m e r c i a l d e n s i t y from s i t e "B" b e i n g 1 E x t r a c o s t s i n v o l v e d i n mixed u s e s i n c l u d e m u l t i p l e b i d d i n g of c o n t r a c t s , r e d u n d a n t s t r u c t u r e s b u i l t t o c l a r i f y o w n e r s h i p r e q u i r e m e n t s , and a d d i t i o n a l p l a n n i n g and l e g a l c o s t s ( P r o c o s , 1 970) . 45 l o c a t e d on s i t e " A " . ; QZD-, \: Bl h Mixed Commercial/Residential "A" 1 — — [7 — M q 0 • 0 • 3 3 i o H E / 1 B b t — 2 n u / 4 (I 7 1 1 i Commercial "A" 0 UK /J •7\r\ v/ Mixed LommerciaT/Residenti al 'B' HilllllllllfflllllUl flfliiiiujiiui ~wh ] CE L7J El H I Residential "B" F i g u r e 3 - Exchange of D e n s i t y 46 4. D e n s i t y I n c r e a s e s The r e s i d e n t s o f many o l d e r , i n n e r c i t y a r e a s d e v e l o p e d f o r s i n g l e - f a m i l y use a r e r e s i s t i n g new d e v e l o p m e n t p r e s s u r e s . A l t h o u g h t h e m u n i c i p a l i t y may d e s i r e m o d e r a t e i n c r e a s e s i n d e n s i t y where e x i s t i n g s e r v i c e s c o u l d accommodate s u c h i n c r e a s e s , t h e r e i s no mechanism t o a c h i e v e l i m i t e d change or e n c o u r a g e p u b l i c a c c e p t a n c e of c h a n g e . S u g g e s t i o n s f o r e x p a n d i n g upon t h e d e n s i t y t r a n s f e r c o n c e p t t o e n c o u r a g e h i g h e r d e n s i t i e s i n s i n g l e - f a m i l y n e i g h b o u r h o o d s a r e b e i n g made i n t h e l i t e r a t u r e . N e l s o n (1977, p.287) p r o p o s e d ... a s y s t e m by w h i c h a few l o t s i n a n e i g h b o u r h o o d c a n be g i v e n t h e r i g h t t o m o n o p o l i z e a l l t h e l i m i t e d i n c r e a s e i n r e s i d e n t i a l d e n s i t y t h a t t h e n e i g h b o u r h o o d as a whole c a n a b s o r b - i n terms of market demand, of n e i g h b o u r h o o d c h a r a c t e r , and of i n f r a s t r u c t u r e c a p a c i t y . A c o m p l e m e n t a r y i d e a of Babcock and Weaver's (1979, p.238) i s : What i s needed, we b e l i e v e , i s a r e g u l a t o r y s y s t e m t h a t p e r m i t s and e n c o u r a g e s t h e m a i n t e n a n c e o f e x i s t i n g sound s t r u c t u r e s w h i l e a t t h e same t i m e p e r m i t t i n g t h e i r owners t o r e a l i z e t h e d e v e l o p m e n t p o t e n t i a l of t h e u n d e r l y i n g g r o u n d . I f t h a t i s t h e p r o b l e m t h e n c e r t a i n l y s e e d s of t h e s o l u t i o n l i e i n TDR t h e o r y and i t s u n d e r l y i n g a s s u m p t i o n s . P r o p o s a l s i n c o r p o r a t i n g t h e s e s u g g e s t i o n s have y e t t o be c r y s t a l l i z e d . One s u g g e s t i o n i s a program which a l l o c a t e s c r e d i t s t o p r o p e r t y owners w h i c h c o u l d be s o l d t o d e v e l o p e r s f o r moderate d e n s i t y i n c r e a s e s i n t h e n e i g h b o u r h o o d . The c r e d i t s would compensate owners f o r t h e change, e n c o u r a g i n g t h e i r 47 a c c e p t e n c e o f t h e d e n s i t y i n c r e a s e . 1 D e n s i t y t r a n s f e r s c o u l d p r o v i d e a means f o r i m p l e m e n t a t i o n of t h e a p p a r e n t l y c o n f l i c t i n g g o a l s of c o n s e r v i n g t h e e x i s t i n g h o u s i n g s t o c k w h i l e e n c o u r a g i n g a v a r i e t y o f h o u s i n g t y p e s and accommodating more p e o p l e c l o s e t o employment c e n t e r s . C . DENSITY TRANSFERS BETWEEN ZONES A l t h o u g h t h e b a s i c i d e a b e h i n d t h e t r a n s f e r of d e n s i t y between z o n e s i s s i m i l a r t o t h e one w i t h i n z o n e s , i t i s much more complex. The p r o b l e m s a d d r e s s e d by i n t e r - z o n e t r a n s f e r s a r e l e s s e a s i l y d e f i n e d and t y p i c a l l y more c o n t r o v e r s i a l . The programs d e v e l o p e d t o d a t e have p r o v e d d i f f i c u l t t o implement. The r a t i o n a l e f o r d e n s i t y t r a n s f e r s i n s u b u r b a n / r u r a l s e t t i n g s a r o s e from t h e same r e q u i r e m e n t t h a t prompted d e v e l o p m e n t of PUD's ( p l a n n e d u n i t d e v e l o p m e n t s ) and c l u s t e r z o n i n g : t h e p r o v i s i o n of p o o l e d open s p a c e w i t h o r a d j o i n i n g a d e v e l o p m e n t be h e l d - u n d e r common o w n e r s h i p . L l o y d (1961, p.136) s u g g e s t e d d e n s i t y t r a n s f e r s a s a way t o r e s e r v e v a l u a b l e open s p a c e s s e p a r a t e d from d e v e l o p m e n t s i t e s . H i s s u g g e s t i o n was n o t g i v e n f u r t h e r a t t e n t i o n u n t i l t h e end of t h e d e c a d e when p e r s o n s c o n c e r n e d about e n v i r o n m e n t a l p r o t e c t i o n , open s p a c e p r e s e r v a t i o n and c o n t a i n m e n t o f u r b a n s p r a w l began s e a r c h i n g f o r a l t e r n a t i v e s t o e x i s t i n g r e g u l a t i o n s . C o n v e n t i o n a l z o n i n g was seen as b e i n g p a r t i c u l a r l y i n e f f e c t i v e when a p p l i e d t o t h e s e o b j e c t i v e s and l i m i t e d f i n a n c i a l r e s o u r c e s p r e v e n t e d o u t r i g h t S u g g e s t i o n by Dr. Ann McAfee, p e r s o n a l c o n v e r s a t i o n . 48 p u r c h a s e o f t h e p r o p e r t y . A s k e l e t a l model was d e v e l o p e d f o r z o n e - t o - z o n e t r a n s f e r s , c o n s i s t i n g of a p r e s e r v a t i o n d i s t r i c t and a t r a n s f e r a r e a t o r e c e i v e f o r e g o n e d e v e l o p m e n t r i g h t s . To a c h i e v e t h i s end, a means of d e l i n e a t i n g r i g h t s and p e r m i t t i n g t h e i r p u r c h a s e and s a l e was t o be e s t a b l i s h e d . ( C h a v o o s h i a n , Nieswand and Norman, 1975) A p p e n d i x I documents t h e p r o g r a m s w h i c h have been p r o p o s e d or a d o p t e d by v a r i o u s m u n i c i p a l i t i e s . Of t h e t e n m u n i c i p a l and two c o u n t y programs a d o p t e d i n t h e U n i t e d S t a t e s t o p r e s e r v e f a r m l a n d or open s p a c e , none have f o l l o w e d t h e s k e l e t a l model f o r a d m i n i s t r a t i v e and p o l i t i c a l r e a s o n s . F o r example, a l t h o u g h t r a n s f o r m a t i o n of d e v e l o p m e n t r i g h t s i n t o m a r k e t a b l e c o m m o d i t i e s i s recommended, i t has p r o v e d t o be t o o complex f o r t h e j u r i s d i c t i o n s i n v o l v e d s i n c e a l l programs have r e q u i r e d t h a t t h e r i g h t s r e m a i n a t t a c h e d t o e i t h e r t h e donor o r t h e r e c e i v e r p a r c e l s . None o f t h e programs c o u l d be d e s c r i b e d as b e i n g p o p u l a r b e c a u s e few examples of t r a n s f e r s have been r e c o r d e d . 49 v - A CRITICAL ANALYSIS OF DENSITY TRANSFERS A. PLANNING AND DESIGN ELEMENTS The p r i m a r y p l a n n i n g c o n c e r n i s whether o r n o t d e n s i t y t r a n s f e r s s h o u l d be i n t r o d u c e d . I f t h e r e a r e c o m m u n i t y - h e l d o b j e c t i v e s w h i c h a r e not b e i n g met by c u r r e n t r e s o u r c e s and c o n t r o l methods, t h e n d e n s i t y t r a n s f e r s s h o u l d be e v a l u a t e d as one p o s s i b l e means f o r t h e i r a c h i e v e m e n t . I t s h o u l d ' be e s t a b l i s h e d t h a t t h e c o s t s i n v o l v e d i n i m p l e m e n t i n g a d e n s i t y t r a n s f e r p r o g r am w i l l be o f f s e t by t h e b e n e f i t s r e c e i v e d from a c h i e v e m e n t of t h e o b j e c t i v e s . 1. T r a n s f e r s W i t h i n Zones Two c o n s i d e r a t i o n s w h i c h must be a d d r e s s e d when e v a l u a t i n g p o t e n t i a l t r a n s f e r s w i t h i n z o n e s a r e (1) t h e i m p a c t s on s i t e c a p a c i t y and (2) t h e i m p a c t s on u r b a n d e s i g n . A d e n s i t y t r a n s f e r r e s u l t s i n one s i t e b e i n g r e q u i r e d t o accommodate a l a r g e r b u i l d i n g t h a n was e n v i s a g e d under t h e e x i s t i n g z o n i n g b ylaw. W h i l e i t c o u l d be p o s s i b l e t h a t t h e i n f r a s t r u c t u r e was d e s i g n e d f o r t h e maximum zo n e d d e n s i t y , an a l l o w a n c e f o r u n c e r t a i n t y i s made i n s i z i n g u r b a n s e r v i c e s and u t i l i t i e s so t h a t some v a r i a t i o n i n b u i l d i n g s i z e s can u s u a l l y be accommodated. L i m i t i n g t h e d i s t a n c e between the donor and r e c e i v e r s i t e s may h e l p m i n i m i z e o v e r l o a d i n g of t h e i n f r a s t r u c t u r e . T hese f a c t o r s w i l l o n l y be known when an a p p l i c a t i o n u s i n g t r a n s f e r r e d d e n s i t y i s r e c e i v e d and t h e i mpact of t h e p r o p o s a l on t h e i n f r a s t r u c t u r e s e r v i n g t h e s i t e i s e v a l u a t e d . 50 C a r e f u l c o n s i d e r a t i o n must a l s o be g i v e n t o t h e impact of a t r a n s f e r on t h e r e c e i v e r s i t e as i t r e l a t e s t o i t s s i t u a t i o n . Added d e n s i t y p o s e s an a e s t h e t i c p r o b l e m s i m i l a r t o t h a t c r e a t e d by b o n u s i n g . B o t h t y p e s o f i n c e n t i v e z o n i n g a r e i n t e n d e d t o a c h i e v e u r b a n d e s i g n o b j e c t i v e s t h r o u g h t h e m a n i p u l a t i o n o f d e n s i t i e s . In San F r a n c i s c o , i n c e n t i v e z o n i n g has been a c c u s e d of d e s t r o y i n g t r a n s i t i o n a r e a s and w a t e r f r o n t a m e n i t i e s ( S v i r s k y , 1970, p . 1 5 6 ) . In New Y o r k , new b u i l d i n g s have been c r i t i c i s e d f o r b e i n g o u t - o f - s c a l e , p a r t i c u l a r l y when l o c a t e d n e a r h e r i t a g e s t r u c t u r e s . P e r h a p s t h e most g l a r i n g example o f t h e e f f e c t of bonus p r o v i s i o n s i s i n C h i c a g o , where t h e s k y l i n e has been d r a m a t i c a l l y a l t e r e d by mammoth t o w e r s o f 96 and 110 s t o r i e s . S i t e - t o - s i t e t r a n s f e r s between a d j a c e n t o r n e a r b y s i t e s c o u l d c a u s e a p r e s e r v e d s i t e t o be d w a r f e d by a l a r g e s t r u c t u r e . A l t h o u g h any b u i l d i n g a l l o w e d by t h e z o n i n g bylaw would be l a r g e r , t h e i s s u e c o n c e r n s t h e a e s t h e t i c impact of a d d i t i o n a l d e n s i t y . I t i s a s u b j e c t i v e m a t t e r d e p e n d i n g on a b s t r a c t q u a l i t i e s and p e r s o n a l t a s t e . D e n s i t y t r a n s f e r programs may a l t e r a b u i l d i n g ' s d e s i g n by r e d u c i n g t h e p r o v i s i o n of a m e n i t i e s w h i c h a r e e n c o u r a g e d by d e n s i t y b o n u s e s . B e r g e r (1977, p.76) s u g g e s t s t h a t " t o engage t r a n s f e r r i g h t s e f f i c i e n t l y demands a t r a d e - o f f o f a r c h i t e c t u r a l l a n d m a r k s f o r p l a z a s and a r c a d e s " b e c a u s e a b u i l d i n g i n c o r p o r a t i n g t r a n s f e r r e d d e n s i t y may be l e s s l i k e l y t o a l s o u t i l i z e a s - o f - r i g h t bonus i n c e n t i v e s . The d e s i g n of b u i l d i n g s may a l s o be a l t e r e d by a m u n i c i p a l i t y w h i c h p e r m i t s r e l a x a t i o n of s i t i n g and b u l k r e g u l a t i o n s f o r p r o j e c t s i n v o l v i n g 51 d e n s i t y t r a n s f e r s . F o r example, use of t r a n s f e r r e d d e n s i t y c o u l d p e r m i t b u l k i e r b u i l d i n g s i n p l a c e of z o n i n g ' s r e q u i r e m e n t s f o r more c o s t l y narrow t o w e r s . The c o n t r o v e r s y s u r r o u n d i n g t h e impact of d e n s i t y t r a n s f e r s on u r b a n d e s i g n i s e s s e n t i a l l y s i m i l a r t o d e b a t e s o v e r t h e m e r i t s of a e s t h e t i c c o n t r o l s . A s e n s i t i v e a p p r o a c h i s n e c e s s a r y , one w h i c h a v o i d s b e i n g u n d u l y r e s t r i c t i v e or i m p o s i n g one p e r s o n ' s t a s t e o v e r a n o t h e r , but p r e v e n t s g r o s s a b u s e . One a p p r o a c h i s t o d e s i g n a t e an u r b a n d e s i g n c o m m i t t e e t o o v e r s e e p r o p o s a l s i n v o l v i n g d e n s i t y t r a n s f e r s . A n o t h e r i s t o e x c l u d e a r e a s where any a l t e r a t i o n i n d e n s i t y would " u p s e t d i m e n s i o n a l s c a l e and s e t o f f s p e c u l a t i v e p r e s s u r e s t h a t would endanger t h e i r s p e c i a l c h a r a c t e r . " ( C o s t o n i s , 1974a, p. 138) 2. T r a n s f e r s Between Zones T r a n s f e r r i n g d e n s i t y between z o n e s as p r e s e n t e d i n t h e model by C h a v o o s h i a n e t a l . (1975) r e q u i r e s major i n v o l v e m e n t by p l a n n e r s t o c r e a t e sound p r o g r a m s and t o d e a l w i t h t h e complex p r o b l e m s w h i c h may be c r e a t e d . U n l i k e t r a n s f e r s w i t h i n z o n e s , where u r b a n d e s i g n i s s u e s a r e t h e most t r o u b l e s o m e a s p e c t s , a wide range of u n r e s o l v e d i s s u e s , u n c e r t a i n outcomes, and t r a d e - o f f s c o n f r o n t t h e p l a n n e r i n d e s i g n i n g a program f o r t r a n s f e r s between z o n e s . The f i r s t s t a g e i n t h e s k e l e t a l model d e v e l o p e d f o r z o n e -t o - z o n e t r a n s f e r s i s t h e d e s i g n a t i o n of p r e s e r v a t i o n and g r o w th a r e a s . To d e t e r m i n e where t h e s e a r e a s s h o u l d be and t h e i r s i z e r e q u i r e s c a r e f u l s t u d y and e v a l u a t i o n of numerous a s p e c t s o f 52 p l a n n i n g and l a n d use c o n t r o l , f i n a n c e , m a r k e t i n g , t a x a t i o n , law, and a d m i n i s t r a t i o n . Richman and K e n d i g - ( 1978, p.6) u n d e r s t a t e t h i s by s a y i n g t h a t " i n w r i t i n g a TDR o r d i n a n c e p l a n n e r s must be more r i g o r o u s t h a n u s u a l . Any TDR o r d i n a n c e must meet t h e a c i d t e s t of t h e m a r k e t p l a c e . " B a s e d on t h e l i m i t e d e x p e r i e n c e of r u r a l TDR programs w h i c h have been b a s e d on t h e model, i n i t i a l s t u d i e s s h o u l d encompass t h e f o l l o w i n g : • f i n a n c i a l a n a l y s i s of t h e m a r k e t s f o r r e s i d e n t i a l d e v e l o p m e n t and l a n d t o e s t a b l i s h t h e w o r t h of t r a n s f e r a b l e d e n s i t y ; • h o u s i n g market demand a n a l y s i s t o d e f i n e p r e f e r r e d h o u s i n g t y p e , c o s t and l o c a t i o n s ; • p o p u l a t i o n p r o j e c t i o n s t o compare e x i s t i n g z o ned c a p a c i t y w i t h f u t u r e n e e d s . I f a s - o f - r i g h t d e n s i t i e s a r e t o o h i g h , t h e r e w i l l be no market f o r d e n s i t y t r a n s f e r s , n e c e s s i t a t i n g d o wnzoning; • l e g a l o p i n i o n s on t h e v a l i d i t y of t h e p r e f e r r e d a p p r o a c h and e n a b l i n g l e g i s l a t i o n ; • e v a l u a t i o n of o t h e r a l t e r n a t i v e s w h i c h c o u l d work t o w a r d s a c h i e v e m e n t of t h e p r e s e r v a t i o n o b j e c t i v e ; • p u b l i c i n v o l v e m e n t t o i d e n t i f y community a t t i t u d e s t o w a r d g r o w t h and p r e s e r v a t i o n n e e d s . From a l o c a l p e r s p e c t i v e , d e s i g n a t i o n as a growth a r e a may be p e r c e i v e d as a s e r i o u s t h r e a t t o a community's s u b u r b a n c h a r a c t e r , r e s u l t i n g i n o p p o s i t i o n . L o c a l i n v o l v e m e n t s h o u l d a l s o e v a l u a t e p r e s e r v a t i o n needs 53 and e s t a b l i s h p r i o r i t y among c o n f l i c t i n g g o a l s ; • a s s e s s m e n t of t h e p o t e n t i a l impact on t a x r e v e n u e s and e v a l u a t i o n of ways t o a l t e r t a x d i s t r i b u t i o n i f n e c e s s a r y ; • i n v e s t i g a t i o n of t h e c a p a c i t y o f t h e i n f r a s t r u c t u r e t o a b s o r b g r o w th i n p o t e n t i a l r e c e i v i n g a r e a s ; • d e c i s i o n s on t h e t y p e of u r b a n growth d e s i r e d , s u c h as one growth c e n t e r o r s e v e r a l . I f t h e r e i s a r e g i o n a l p l a n n i n g p r o c e s s i t s h o u l d be p a r t of t h e program's d e v e l o p m e n t ; • e s t i m a t e s of t h e c o s t o f t h e s e s t u d i e s and of i m p l e m e n t i n g t h e pr o g r a m . G i v e n t h i s e x t e n s i v e , but not e x h a u s t i v e , l i s t b a s e d on t h e model by C h a v o o s h i a n t h e e f f o r t t o e s t a b l i s h a d e n s i t y t r a n s f e r p r o g r am might p l a c e " d i f f i c u l t t o i m p o s s i b l e r e s p o n s i b l i t i e s on th e p l a n n e r " ( B a r t e l s , 1974, p . 2 4 ) . Even one o f t h e s t r o n g e s t p r o p o n e n t s of d e n s i t y t r a n s f e r s , C o s t o n i s (1980, p . 1 3 ) , q u e s t i o n s i t s a p p l i c a t i o n on a l a r g e s c a l e g i v e n t h e " r e l a t i v e l y few e x e c u t e d t r a n s f e r s and s o b e r i n g i n v e n t o r y o f p i t f a l l s . " A l t h o u g h m o d i f i c a t i o n s t o t h e model a r e p o s s i b l e w h i c h would e l i m i n a t e some p r o b l e m s ( s u c h as l e t t i n g market n e g o t i a t i o n s on a p r o j e c t - b y - p r o j e c t b a s i s e s t a b l i s h t h e v a l u e of t r a n s f e r a b l e d e n s i t y ) i t i s worth c o n s i d e r i n g c a r e f u l l y t h e d i f f i c u l t i e s of a z o n e - t o - z o n e t r a n s f e r p r ogram. 54 B. ECONOMIC ASPECTS The e conomic a s p e c t s o f any d e n s i t y t r a n s f e r p r o g r am r e v e a l t h e h i g h d e g r e e o f c o m p l e x i t y w h i c h may be i n v o l v e d i n i t s i m p l e m e n t a t i o n . S i n c e many d e n s i t y t r a n s f e r p r o p o s a l s a r e i n t e n d e d t o p r o v i d e an a l t e r n a t i v e t o o u t r i g h t f i n a n c i a l c o m p e n s a t i o n , c o r r e c t u n d e r s t a n d i n g of t h e i r f i s c a l i m p a c t i s e s s e n t i a l . 1. The V a l u e Of T r a n s f e r a b l e D e n s i t y I f a d e n s i t y t r a n s f e r i s t o o c c u r , t h e r e must be a market demand a t a p a r t i c u l a r s i t e f o r d e n s i t y i n a d d i t i o n t o t h a t p e r m i t t e d by " a s - o f - r i g h t " z o n i n g r e g u l a t i o n s . D e v e l o p e r s w i l l a q u i r e a d d i t i o n a l d e n s i t y i f t h e y e x p e c t i t w i l l c r e a t e h i g h e r p r o f i t s t h a n would be a t t a i n e d w i t h o u t t h e a d d i t i o n a l s p a c e . Landowners w i l l s e l l t h e i r unused d e n s i t y a l l o c a t i o n s o n l y i f an o f f e r p r o v i d e s s u f f i c i e n t c o m p e n s a t i o n f o r t h e i r l o s s of d e v e l o p m e n t p o t e n t i a l . A c r i t i c a l e l e m e n t of a w o r k a b l e d e n s i t y t r a n s f e r i s , t h e r e f o r e , t o e n s u r e t h a t t h e v a l u e o f m a r g i n a l u n i t s of d e n s i t y ( t h o s e w h i c h p e r m i t an i n c r e a s e i n t h e a l l o w a b l e d e n s i t y ) a r e c o m p a t i b l e w i t h t h e v a l u e of t h e t r a n s f e r a b l e d e n s i t y t o o t h e r l a n d o w n e r s . In a c i t y ' s c e n t r a l b u s i n e s s d i s t r i c t , t h e v a l u e o f t h e t r a n s f e r a b l e d e n s i t y w i l l be b a s e d on demand s i d e p a r a m e t e r s . I t s v a l u e w i l l be d e t e r m i n e d by a c o m p a r i s o n w i t h t h e c o s t s of a d d i t i o n a l s p a c e p e r m i t t e d t h r o u g h a c q u i s i t i o n of an a d j a c e n t s i t e . Such c o m p a r i s o n i s most l i k e l y t o f a v o r t r a n s f e r r e d d e n s i t y when t h e d e n s i t y may be a c q u i r e d from a l e s s d e s i r a b l e 55 l o c a t i o n t h a n t h e s i t e i t i s b e i n g t r a n s f e r r e d t o . (An i m p l i c a t i o n of t h i s e v a l u a t i o n i s t h a t d e n s i t y t r a n s f e r s w i l l c a u s e g r e a t e r d e v e l o p m e n t o f p r i m e , h i g h r e n t s i t e s . ) The p r o b l e m of d e f i n i n g v a l u e i s more complex i n i n t e r -z o n a l t r a n s f e r s . C h a v o o s h i a n e l a l ' s model r e q u i r e s a b a l a n c e between t h e donor p r o p e r t i e s ( t y p i c a l l y f a r m l a n d ) and r e c e i v e r p r o p e r t i e s ( d e s i g n a t e d g r o w t h a r e a s ) . The p r i c e p a i d f o r a d d i t i o n a l d e n s i t y w i l l depend on demand f o r h o u s i n g u n i t s a t h i g h e r d e n s i t i e s t h a n t h e a s - o f - r i g h t z o n i n g p e r m i t s . F o r example, townhouses may p r o v i d e a g r e a t e r r e t u r n t h a n s i n g l e -f a m i l y homes on a g i v e n s i t e , b u t a d e v e l o p e r must be s u r e t h e r e a r e s u f f i c i e n t p r o s p e c t i v e home b u y e r s w i l l i n g t o f o r e g o t h e l a r g e r l o t s i z e i n exchange f o r a low e r p u r c h a s e p r i c e . G i v e n t h i s demand,' i t i s t h e n p o s s i b l e t o c a l c u l a t e t h e v a l u e of a c q u i r i n g a d d i t i o n a l d e n s i t y b a s e d on t h e m a r g i n a l l a n d v a l u e ( t h e m a r g i n a l l a n d v a l u e d e r i v e d f r o m t h e a d d i t i o n a l h o u s i n g u n i t s made p o s s i b l e by a c q u i s i t i o n of a d d i t i o n a l d e n s i t y from f a r m l a n d ) . F i g u r e 4 i l l u s t r a t e s t h e supply/demand r e l a t i o n s h i p s f o r t r a n s f e r a b l e d e n s i t y . P r i c e (1982, p.9) has d e t e r m i n e d t h a t t h e i n i t i a l v a l u e w i l l be b a s e d on s u p p l y - s i d e p a r a m e t e r s , i . e . t h e minimum l e v e l s e l l e r s w i l l r e q u i r e ( P o i n t A ) . Over t i m e he e x p e c t s v a l u e s t o be i n c r e a s i n g l y d e p e n d e n t on demand-side p a r a m e t e r s , i . e . t h e p r i c e s e t by t h e b u y e r s ( C u r v e D 2 ) . 56 F i g u r e 4 - Demand/Supply D e n s i t y T r a n s f e r R e l a t i o n s h i p s Quantity of Transferable Density An e q u i l i b r i u m p r i c e , P 1 i s t h e p o i n t a t w h i c h t h e demand would c r e a t e a s u f f i c i e n t s u p p l y o f a d d i t i o n a l d e n s i t y w i t h o u t s i g n i f i c a n t l y i n c r e a s i n g t h e c o s t of h o u s i n g . I f demand i n c r e a s e s ( D 2 ) a d d i t i o n a l s u p p l y ( S 1 ) w i l l be n e c e s s a r y i f i t i s d e s i r e d t o m a i n t a i n P 1 v a l u e s f o r a c q u i s i t i o n of d e n s i t y u n i t s . 2. F i n a n c i a l I m p l i c a t i o n s L and use r e g u l a t i o n s a f f e c t l a n d v a l u e s s i g n i f i c a n t l y and a l t e r t h e t y p e of d e v e l o p m e n t s b u i l t . 1 I f t h e r e g u l a t i o n s a r e c a r e f u l l y d e s i g n e d , p r o p e r l y a d m i n i s t e r e d and t h e o r e t i c a l l y sound, i t i s e x p e c t e d t h a t t h e community and p r o p e r t y owners 1 Kahn (1981,p.556) c l a i m s t h e g e n e r a l p u b l i c i s n o t aware of t h e major f o r c e of government a c t i o n s on r e a l e s t a t e v a l u e s . 57 w i l l b e n e f i t . To e s t a b l i s h whether or n o t t h e s e c o n d i t i o n s c an be met i f d e n s i t y t r a n s f e r p rograms a r e u s e d , i d e n t i f i c a t i o n o f c o s t s and b e n e f i t s a s s o c i a t e d w i t h t h e programs i s r e q u i r e d . The e x p e r i m e n t a l TDR programs i n t h e U n i t e d S t a t e s a r e t o o few t o p r o v i d e m e a n i n g f u l e v i d e n c e o f t h e f i n a n c i a l i m p l i c a t i o n s of d e n s i t y t r a n s f e r s . I t i s t h e r e f o r e n e c e s s a r y t o e v a l u a t e p rograms w i t h s i m i l a r i m p a c t s by u t i l i z i n g economic t h e o r y , a. T r a n s f e r s W i t h i n Zones S i t e - t o - s i t e d e n s i t y t r a n s f e r s r e s u l t i n two p r i m a r y f i n a n c i a l i m p l i c a t i o n s : (1) t h e income t o t h e p r e s e r v e d s i t e f r o m s a l e o f i t s unused d e n s i t y and (2) t h e v a r i a t i o n i n v a l u e of s u r r o u n d i n g p r o p e r t i e s a s a r e s u l t of t h e t r a n s a c t i o n . D e n s i t y t r a n s f e r p rograms a r e f r e q u e n t l y d i s c u s s e d a s a means by w h i c h t o p r o v i d e c o m p e n s a t i o n f o r h e r i t a g e d e s i g n a t i o n t h r o u g h t h e s a l e of unused d e v e l o p m e n t p o t e n t i a l . I d e a l l y , t h e l o s s i n v a l u e t o a s i t e w h i c h i s s u b j e c t t o a p r e s e r v a t i o n r e s t r i c t i o n would be e q u a l t o t h e wo r t h of t h e s i t e ' s t r a n s f e r a b l e d e n s i t y . However, t h i s i s r a r e l y t h e c a s e b e c a u s e t h e unused d e v e l o p m e n t p o t e n t i a l i s o n l y one a s p e c t of t h e f i n a n c i a l l o s s . C o s t o n i s (1974b, p.407) measures l o s s e s r e s u l t i n g from d e s i g n a t i o n u s i n g an income a p p r a i s a l t e c h n i q u e w h i c h has t h e f o l l o w i n g f o r m u l a : DAMAGES = (ECF + REV) - ( e c f + r e v ) - D where DAMAGES = t h e v a l u e of t h e p r e s e r v a t i o n r e s t r i c t i o n . ECF = t h e p r e s e n t v a l u e of e q u i t y c a s h f l o w of t h e p o t e n t i a l b u i l d i n g . REV = t h e p r e s e n t v a l u e of r e v e r s i o n a r y v a l u e of t h e 58 p o t e n t i a l b u i l d i n g . e c f = p r e s e n t v a l u e o f e q u i t y c a s h f l o w o f t h e landmark b u i l d i n g a f t e r p r o p e r t y t a x r e d u c t i o n r e v - t h e p r e s e n t v a l u e of t h e l a n d m a r k ' s r e v e r s i o n a r y v a l u e . D = d e m o l i t i o n and m i s c e l l a n e o u s e x p e n s e s o f g e t t i n g t h e new p r o j e c t underway. Where t h e i d e n t i f i e d "DAMAGES" i s g r e a t e r t h a n t h e v a l u e o f t h e t r a n s f e r a b l e d e n s i t y , t h e h e r i t a g e b u i l d i n g owner does not r e c e i v e f u l l c o m p e n s a t i o n f r o m t h e d e n s i t y t r a n s f e r . To e n s u r e t h e c o n t i n u e d m a i n t e n a n c e o f h e r i t a g e s t r u c t u r e s o t h e r forms o f c o m p e n s a t i o n , s u c h as p e r m i t t i n g a b e n e f i c i a l change of use o r r e d u c i n g t a x e s , may c o n t i n u e t o be n e c e s s a r y . A p r o g r a m d e s i g n e d t o a l l o w t r a n s f e r s from any s m a l l s t r u c t u r e c o u l d have t h e p o s i t i v e impact o f e n c o u r a g i n g t h e c o n t i n u e d e x i s t e n c e of b u i l d i n g s where d e s i r a b l e . A d e n s i t y t r a n s f e r p r o g r am c o u l d a l s o have a p o s i t i v e i mpact on t h e c o n s o l i d a t i o n of l a r g e p a r c e l s by r e m o v i n g t h e monopoly p o s i t i o n f o r m e r l y h e l d by owners o f s m a l l p r o p e r t i e s . I f t h e i r s i t e i s no l o n g e r n e c e s s a r y f o r s u f f i c i e n t d e n s i t y b e c a u s e a d d i t i o n a l d e n s i t y has been a c q u i r e d from o t h e r s i t e s , t h e n t h e s m a l l p r o p e r t i e s can e i t h e r r e m a i n o r d e c i d e t o s e l l w i t h o u t n e g o t i a t i n g from a monopoly p o s i t i o n . ( A l t h o u g h t h e l o c a t i o n o f t h e p r o p e r t y w i l l c o n t i n u e t o a f f e c t t h e outcome.) The s e c o n d f i n a n c i a l i m p l i c a t i o n c o n c e r n s the e x t e r n a l c o s t s and b e n e f i t s of t h e t r a n s f e r and i s a p p l i c a b l e t o b o t h p a r k s i t e s and b u i l d i n g s . The a m e n i t y v a l u e o f a p r e s e r v e d s i t e may be r e f l e c t e d i n h i g h e r v a l u e s of s u r r o u n d i n g p r o p e r t i e s , p a r t i c u l a r l y t h o s e w i t h g u a r a n t e e d v i e w s . T h i s a m e n i t y may be 59 augmented by new d e v e l o p m e n t i n c o r p o r a t i n g t h e t r a n s f e r r e d d e n s i t y u n l e s s t h e s c a l e of t h e b u i l d i n g i s e x c e s s i v e f o r t h e a r e a and c r e a t e s n e g a t i v e e x t e r n a l e f f e c t s s u c h as shadow o r t r a f f i c c o n g e s t i o n . Any l a r g e new b u i l d i n g has t h e p o t e n t i a l t o d e t r a c t from a h e r i t a g e s t r u c t u r e but whether d e n s i t y t r a n s f e r s would a g g r a v a t e t h i s impact i s a s u b j e c t i v e m a t t e r , b. T r a n s f e r s Between Zones P r e s e r v a t i o n of open s p a c e o r a g r i c u l t u r a l l a n d i n r u r a l a r e a s t h r o u g h a d e n s i t y t r a n s f e r p r o g r a m would have v a r i a b l e f i n a n c i a l i m p a c t s . The d e s i r e d r e l a t i o n s h i p i s t o have t h e v a l u e of t h e t r a n s f e r a b l e d e n s i t y e q u a l t o t h e d e v e l o p m e n t p o t e n t i a l component of a donor p r o p e r t y . T h i s i s d i f f i c u l t t o a c h i e v e due t o t h e i n h e r e n t v a r i a b i l i t y of p r o p e r t y . F o r example, a p r o g r a m w h i c h f a i l s t o t a k e i n t o a c c o u n t s i t e s p e c i f i c v a r i a t i o n c o u l d l e a d t o payment f o r t r a n s f e r a b l e d e n s i t y u n r e l a t e d t o t h e l i k e l i h o o d t h a t t h e p r o p e r t y would be d e v e l o p e d . Owners of p r o p e r t y u n s u i t e d t o d e v e l o p m e n t c o u l d t h e r e f o r e g a i n , w h i l e t h o s e h o l d i n g l a n d h i g h l y s u i t e d f o r d e v e l o p m e n t ( o f t e n by s p e c u l a t o r s ) would l o s e (Wolfram, 1981). In p u r c h a s e o f d e v e l o p m e n t r i g h t s (PDR) p r o g r a m s , s u c h f a c t o r s a r e l i k e l y t o be of g r e a t e r c o n c e r n . N e g a t i v e i m p a c t s c o u l d r e s u l t f r o m a v o l u n t a r y t r a n s f e r p r o g r a m w h i c h l e a d s t o s c a t t e r e d p r e s e r v a t i o n s i t e s . F a r m l a n d a d j a c e n t t o u r b a n d e v e l o p m e n t would f a l l i n v a l u e or i n a d e q u a t e a c r e a g e c o u l d r e m a i n f o r v i a b l e o p e r a t i o n s . A m a ndatory program c o u l d a l s o have n e g a t i v e i m p a c t s s i m i l a r t o t h o s e documented f o r g r e e n b e l t s : h i g h e r l a n d p r i c e s and i n c r e a s e d d e n s i t y i n t h e 60 u r b a n a r e a , l e a p f r o g d e v e l o p m e n t l e a d i n g t o h i g h e r t r a n s p o r t c o s t s , h i g h e r l a n d v a l u e s a d j a c e n t t o t h e a m e n i t y , and i n c r e a s e d t a x e s t o pay f o r t h e p r e s e r v a t i o n c o s t s (Bergman e t a l . 1974, p. 122). It- c o u l d a l s o t e n d t o l i m i t g r o w t h by i n t r o d u c i n g a d d i t i o n a l r i s k . U l t i m a t e l y g r o w t h may be d e f l e c t e d e l s e w h e r e , and u n l e s s a community's t r u e o b j e c t i v e was t o l i m i t g r o w t h , s i m i l a r t o e x c l u s i o n a r y z o n i n g p u r p o s e s , t h e n d e s i r e d g r o w t h c o u l d be l o s t . 1 On t h e p o s i t i v e f i n a n c i a l s i d e , i f a p r o g ram was c a r e f u l l y d e s i g n e d i t c o u l d l e a d t o more v i a b l e f arm o p e r a t i o n s w i t h i n v e s t m e n t b a s e d on l o n g - t e r m c e r t a i n t y t h a t t h e l a n d would r e m a i n a g r i c u l t u r a l . A l s o t h e r e s t r i c t i o n s on u r b a n s p r a w l would r e d u c e t h e h i g h c o s t s of s e r v i c i n g v e r y low d e n s i t y d e v e l o p m e n t s . 3. P u b l i c F i s c a l E f f e c t s I t i s d i f f i c u l t t o f i n d a s e n s e i n w h i c h t h e g e n e r a l p u b l i c p a y s f o r TDR. Tax r e v e n u e s a r e i n no way d i m i n i s h e d , l a n d m a r k s and open s p a c e s a r e p r e s e r v e d and t h e community can b e n e f i t from i m p r o v e d p l a n n i n g . ( S c h l a e s , 1974, p. 3 3 3 ) . D e s p i t e S c h l a e s o p t i m i s t i c s t a t e m e n t , t h e r e a r e two major f i n a n c i a l i m p a c t s f e l t by t h e p u b l i c a s s o c i a t e d w i t h d e n s i t y t r a n s f e r p r o g r a m s : a d m i n i s t r a t i v e c o s t s and l o s s i n t a x The n e g a t i v e i m p a c t s of e x c l u s i o n a r y z o n i n g have r e c e i v e d e x t e n s i v e c r i t i c i s m i n many r e c e n t s t u d i e s o f z o n i n g and l a n d use c o n t r o l . 61 r e v e n u e s . N e i t h e r s h o u l d be under e s t i m a t e d . The e x p e r i e n c e o f one c o u n t y i n d e v e l o p i n g a TDR o r d i n a n c e was t h a t s e l l i n g an i n n o v a t i v e c o n c e p t i s t i m e c o n s u m i n g : two-t h i r d s o f t h e t o t a l c o s t was s p e n t on p u b l i c m e e t i n g s and a n s w e r i n g q u e s t i o n s (Richman and K e n d i g , 1978, p . 3 ) . The c o s t s o f a d m i n i s t e r i n g New York C i t y ' s TDR program l e d M a r c u s (1980, p.29) t o o b s e r v e t h a t "a m u n i c i p a l i t y must c a r e more f o r i t s p s y c h i c c o s t s t h a n i t s f i s c a l ones t o p u r s u e many d i s c r e t i o n a r y TDR a v e n u e s . " I f a j u r i s d i c t i o n w i s h e s t o e n c o u r a g e p r e s e r v a t i o n of p r o p e r t i e s u s i n g a d e n s i t y t r a n s f e r program, a s s e s s m e n t s s h o u l d be a t t h e l e v e l of t h e e x i s t i n g d e v e l o p m e n t . The impact of r e m o v i n g t h e t a x on d e v e l o p m e n t p o t e n t i a l on t a x r e v e n u e s may be s i g n i f i c a n t , p a r t i c u l a r l y f o r z o n e - t o - z o n e t r a n s f e r s . F o r example, one c o u n t y f o u n d i t s t a x base d i m i n i s h e d by $45 m i l l i o n when i t d e s i g n a t e d i t s w e t l a n d s f o r p r e s e r v a t i o n (Spagna, 1980, p . 2 3 ) . A l t h o u g h growth a r e a s were a l s o d e s i g n a t e d , t h e c o u n t y had l e s s g r o w t h p o t e n t i a l t h a n i t had p r e v i o u s l y . However, t h e impact f o r an a r e a s h o u l d not be as h a r m f u l s i n c e t r a n s f e r p r ograms s h o u l d i n v o l v e t h e r e d i s t r i b u t i o n of t a x i n c i d e n c e , not an o v e r a l l r e d u c t i o n . W i t h a r e a - w i d e p r o g r a m s , a t a x a t i o n p r o b l e m may a r i s e when t h e most s u i t a b l e d e s i g n a t e d g r o w th a r e a i s i n a d i f f e r e n t t a x a t i o n d i s t r i c t t h a n t h e d e s i r e d p r e s e r v a t i o n a r e a . P o s s i b l e s o l u t i o n s may i n c l u d e c o l l e c t i n g t a x r e v e n u e s a t a r e g i o n a l l e v e l or r e d e f i n i n g l o c a l b o u n d a r i e s . 62 4. The Development R i g h t s Bank The C h i c a g o p l a n p r o p o s e d c r e a t i o n of a d e v e l o p m e n t r i g h t s bank as a means o f e n s u r i n g a b u y e r f o r t r a n s f e r a b l e d e n s i t y . Under e m i n e n t domain powers, t h e bank c o u l d p u r c h a s e a l a n d m a r k ' s d e v e l o p m e n t r i g h t s i f t h e landmark owner r e j e c t e d t h e t r a n s f e r a c t i o n . In a d d i t i o n , i t wo u l d a c c e p t p r i v a t e d o n a t i o n of u n u s e d r i g h t s and would i n c o r p o r a t e r i g h t s from p u b l i c b u i l d i n g s . T h e s e would be s o l d when needed t o f i n a n c e bank o p e r a t i o n s ( C o s t o n i s , 1974a, p. 4 0 ) . One r e a s o n g i v e n why no p u b l i c d e v e l o p m e n t r i g h t s bank has y e t been c r e a t e d , i s b e c a u s e i t i s p e r h a p s t h e most a u d a c i o u s of any [ i d e a ] a d v a n c e d under t h e TDR r u b r i c . I t p o s i t i v e l y s c a r e s t h e h e l l o ut of c i t i e s (and c i t y a t t o r n e y s ) i n i t s i m p l i c a t i o n t h a t c i t i e s p u t up o r s h u t up. A f t e r a l l i t ' s one t h i n g f o r government t o m a n i p u l a t e p r i v a t e s e c t o r r e s o u r c e s t h r o u g h r e g u l a t i o n ; b u t i t ' s q u i t e a n o t h e r t h i n g f o r i t t o b a n k r o l l i t s i n t e r v e n t i o n i t s e l f ( C o s t o n i s , 1980, p . 9 ) . The a s s e s s m e n t i s e c h o e d by Marcus (1980b, p . 1 6 ) : M u n i c i p a l i n v e s t m e n t i n a d e v e l o p m e n t r i g h t s bank would p r o v i d e a f a s c i n a t i n g c a s e s t u d y of J e k y l l and Hyde s c h i z o p h r e n i a : c o n f l i c t i n g p r e s s u r e s t o s e l l t h e r i g h t s and r e c o u p m u n i c i p a l i n v e s t m e n t v e r s u s community p r e s s u r e s t o l i m i t t h e e x t e n t and l o c a t i o n o f t h e a d d i t i o n a l t r a n s f e r a b l e d e n s i t i e s . T h e r e a r e p e r s u a s i v e a rguments b o t h f o r and a g a i n s t a bank. The i d e a has been s u p p o r t e d by t h e A m e r i c a n c o u r t s a s a way t o 63 e n s u r e a mandatory t r a n s f e r has some v a l u e . 1 a s a way t o e n s u r e a m andatory t r a n s f e r has some v a l u e . One p r i v a t e bank has been e s t a b l i s h e d . 1 However, economic c o n c e r n s and a d m i n i s t r a t i v e r e q u i r e m e n t s o f a d e v e l o p m e n t r i g h t s bank l e a d t o s c e p t i c i s m on t h e p a r t of most m u n i c i p a l i t i e s . C. LEGAL CONSIDERATIONS A b a s i c r e q u i r e m e n t of a d e n s i t y t r a n s f e r p r o g ram i s t h a t i t must be l e g a l l y d e f e n s i b l e . I t must be a d o p t e d under p r o p e r e n a b l i n g l e g i s l a t i o n , and must not v i o l a t e j u d i c i a l p r a c t i c e i n i t s o p e r a t i o n . The l e g a l q u e s t i o n s s u r r o u n d i n g t h e use of d e n s i t y t r a n s f e r s have g e n e r a t e d l e n g t h y d i s c o u r s e s on t h e m a t t e r , but t h e q u e s t i o n s r e m a i n u n r e s o l v e d . Few c o u r t c a s e s have d e a l t e x p l i c i t l y w i t h d e n s i t y t r a n s f e r s , and t h e d e c i s i o n s i n t h e s e c a s e s have not been c o n s i s t e n t . As e x p l a i n e d i n C h a p t e r I I , s i n c e t h e l e g i s l a t i v e b a s i s i n t h e U.S. i s s u b s t a n t i a l l y d i f f e r e n t from t h a t i n Canada, t h e a p p r o p r i a t e l e g a l r a t i o n a l e i s a l s o l i k e l y t o be d i f f e r e n t . However, j u s t as t h e d e c i s i o n t o make z o n i n g a r e g u l a t o r y power was v e r y i m p o r t a n t i t i s a l s o i m p o r t a n t t o d e t e r m i n e what t y p e of c o n t r o l d e n s i t y t r a n s f e r s s h o u l d be. The two s t r o n g e s t l e g a l p o s i t i o n s i n l a n d use c o n t r o l m a t t e r s a r e t h o s e s u p p o r t i n g e x p r o p r i a t i o n ( e m i n e n t domain) and 1 In t h e Tudor P a r k s c a s e t h e ju d g e s u g g e s t e d a bank would p r o v i d e some a s s u r a n c e of a market f o r t h e t r a n s f e r a b l e d e n s i t y . ( B a r n h a r t , 1977) 1 F o r t h e S o u t h S t r e e t S e a p o r t D i s t r i c t i n t h e C i t y of New Y o r k ; d e s c r i b e d i n A p p e n d i x I 64 r e g u l a t o r y ( p o l i c e ) powers. In t h e U n i t e d S t a t e s , a d v o c a t e s of a n o n - z o n i n g o p t i o n ( S i e g a n , 1 9 7 2 ; R o s s , 1972) a r g u e t h a t any r e g u l a t o r y a c t i o n w h i c h r e s u l t s i n a " t a k i n g " s h o u l d be c o m p e n s a t e d , c i t i n g t h e g e n e r a l r u l e e s t a b l i s h e d i n P e n n s y l v a n i a  C o a l Co.v.Mahon. (1922) " w h i l e p r o p e r t y may be r e g u l a t e d t o a c e r t a i n e x t e n t , i f r e g u l a t i o n goes t o o f a r i t w i l l be r e c o g n i z e d as a t a k i n g . " Some l a n d use c o n t r o l s have been h e l d i n v a l i d b e c a u s e no r e a s o n a b l e use of t h e l a n d r e m a i n e d f o l l o w i n g r e s t r i c t i v e r e g u l a t i o n s . T hese i n c l u d e a w e t l a n d s p r o t e c t i o n p r o g r a m 1 and numerous downzoning c a s e s . Those who s u p p o r t r e g u l a t o r y powers h o l d t h e o p p o s i t e view t h a t " . . . r e g u l a t i o n of l a n d , i f r e a s o n a b l y r e l a t e d t o a v a l i d p u b l i c p u r p o s e , can n e v e r c o n s t i t u t e a t a k i n g . " 2 T h i s g r o u p c i t e s more r e c e n t U.S. c o u r t d e c i s i o n s s u p p o r t i n g b y - l a w s i n t e n d e d f o r p u b l i c b e n e f i t , r e f l e c t i n g a change i n j u d i c i a l a t t i t u d e . They i n c l u d e d e c i s i o n s w h i c h have u p h e l d major d o w n z o n i n g s a s s o c i a t e d w i t h a w e t l a n d s p r o t e c t i o n p r o g r a m , 3 view p r o t e c t i o n , " and p u b l i c use of s h o r e l i n e s . 5 The C a n a d i a n s i t u a t i o n i s n o t t h e same as i n t h e U n i t e d S t a t e s due t o l e g i s l a t i v e d i f f e r e n c e s as d e s c r i b e d i n C h a p t e r S t a t e of Maine v. J o h n s o n r u l i n g t h a t a r e g u l a t i o n p r e c l u d i n g f i l l i n g o f " v a l u e l e s s " l a n d c o n s t i t u t e s a t a k i n g . ( M a r c u s , 1980b p . 4 3 f . ) T h i s was t h e c o n c l u s i o n a r r i v e d a t i n The T a k i n g I s s u e but t h e i s s u e r e m a i n s d e b a t e d ( C o s t o n i s , I974a~ p . 6 ) . J u s t v. M a r i n e t t e C o u n t y , w h i c h r e q u i r e d l a k e s i d e p r o p e r t y t o be k ept i n i t s n a t u r a l s t a t e ( C o s t o n i s , 1974b, p . 1 1 ) . A g i n s V. C i t y of T i b e r o n , i n a c a s e m a i n t a i n i n g v i e w s of San F r a n c i s c o Bay ( Marcus, i~980a, p. 3 7 ) . T h o r n t o n v. Hay, f i n d i n g p u b l i c b e n e f i t of O r e g o n ' s s h o r e l i n e s o u t w e i g h e d p r i v a t e i n t e r e s t ( M a r c u s , 1980b, p . 3 1 ) . 65 I I . L a r g e l y as a r e s u l t of t h e B r i t i s h h e r i t a g e i n l a n d use law, C a n a d i a n government a g e n c i e s a r e empowered t o a c t i n - t h e p u b l i c i n t e r e s t w i t h o u t t h e i r a c t i o n s b e i n g s u b j e c t t o l e g i s l a t i v e r e v i e w f o r v i o l a t i o n of p r o p e r t y r i g h t s . T h i s d i f f e r e n c e has meant t h a t a p o t e n t i a l l e g a l c h a l l e n g e t o a z o n i n g d i s t r i c t w h i c h o n l y p e r m i t s a g r i c u l t u r a l u s e s i s more l i k e l y t o be v a l i d i n Canada t h a n i n t h e U n i t e d S t a t e s . B r i t i s h C o l u m b i a ' s A g r i c u l t u r a l Land R e s e r v e i s a p r i m e example of t h i s a u t h o r i t y . F o r t h i s r e a s o n , a z o n e - t o - z o n e t r a n s f e r program w h i c h i n v o l v e s d e s i g n a t i o n o f l a r g e p r e s e r v a t i o n d i s t r i c t s ( s u c h as a g r i c u l t u r a l a r e a s or u r b a n h e r i t a g e d i s t r i c t s ) i s not n e c e s s a r y t o meet C a n a d i a n l e g i s l a t i v e r e q u i r e m e n t s . A l t h o u g h downzoning may be j u s t i f i e d on an a r e a b a s i s and i s l e g a l l y d e f e n s i b l e , i t i s much more d i f f i c u l t on a s i t e -s p e c i f i c b a s i s , as i s r e q u i r e d f o r d e s i g n a t i o n of many h e r i t a g e s i t e s . The r e g u l a t o r y power i s i n s u f f i c i e n t t o a c h i e v e many o b j e c t i v e s and t h e f i n a n c i a l r e s o u r c e s of most m u n i c i p a l i t i e s do not p e r m i t s u f f i c i e n t use of e x p r o p r i a t i o n powers t o overcome z o n i n g ' s l i m i t a t i o n s . D e n s i t y t r a n s f e r s r e p r e s e n t an i n t e r m e d i a t e s o l u t i o n 1 w h i c h s h o u l d be i n c o r p o r a t e d i n law t o u t i l i z e a d v a n t a g e o u s a s p e c t s o f b o t h e x p r o p r i a t i o n and r e g u l a t o r y powers. Norman W i l l i a m s , " P l a n n i n g Law i n t h e 8 0 s " . Speech g i v e n a t t h e 1982 APA C o n f e r e n c e i n D a l l a s . 66 D. POLITICAL FACTORS D e n s i t y t r a n s f e r s i n v o l v e d i f f i c u l t t r a d e - o f f s . R e s i d e n t s o f a r e a s s u b j e c t e d t o a d d i t i o n a l d e n s i t y w i t h o u t t h e a t t e n d e n t i n c r e a s e i n l a n d v a l u e a s s o c i a t e d w i t h u p z o n i n g c o u l d be e x p e c t e d t o p r o t e s t v i g o r o u s l y a g a i n s t t h e p r o g r a m . P r o p e r t y owners who gambled on o b t a i n i n g r e z o n i n g s t o h i g h e r d e n s i t i e s i n o t h e r d i s t r i c t s w i l l p r o t e s t when t h e i r a p p l i c a t i o n s a r e t u r n e d down. However, t h e r e must be r e a s o n a b l y r i g i d d e n s i t y c o n t r o l s f o r d e n s i t y t r a n s f e r s t o work. The s u c c e s s o f t h e c o n c e p t w i l l t h e r e f o r e depend t o a l a r g e e x t e n t on t h e s u p p o r t of m u n i c i p a l c o u n c i l s and z o n i n g a p p e a l b o a r d s , w h i c h i s a f a c t o r beyond t h e c o n t r o l of t h e p l a n n e r . I n t e r j u r i s d i c t i o n a l f a c t o r s may a l s o a f f e c t t h e c h a n c e s of s u c c e s s f u l l y i m p l e m e n t i n g a d e n s i t y . t r a n s f e r program. A community w h i c h c h o o s e s t o l i m i t i t s zoned c a p a c i t y t o c r e a t e an i n c e n t i v e f o r d e v e l o p e r s t o a c q u i r e a d d i t i o n a l s p a c e w i l l f a c e c o m p e t i t i o n from n e a r b y p l a c e s w i t h o u t s i m i l a r r e s t r i c t i v e c o n t r o l s . However, t o a d v o c a t e a r e g i o n a l , s t a t e , o r p r o v i n c e wide c o n t r o l l e a d s t o a c c u s a t i o n s t h a t "TDR c a n be d e s c r i b e d as a u n i q u e s y s t e m of s o c i a l i z a t i o n of l a n d . " (Kahn, 1981, p. 5 6 2 ) . 1 More i m p o r t a n t l y , any c o n t r o l w h i c h r e d u c e s t h e r o l e of l o c a l government i s u n l i k e l y t o be p o l i t i c a l l y a c c e p t a b l e . F o r an example o f a n a t i o n a l p rogram, r e f e r t o A p p e n d i x I f o r a d e s c r i p t i o n of t h e B r i t i s h e x p e r i e n c e . 67 E. ADMINISTRATIVE ASPECTS S p e c i f i c a d m i n i s t r a t i v e r e q u i r e m e n t s must be met f o r i m p l e m e n t i o n o f a d e n s i t y t r a n s f e r program, whether i t i s i n t e n d e d f o r l i m i t e d s i t e t o s i t e a p p l i c a t i o n o r f o r c o m p l i c a t e d t r a n s f e r s between d i s t r i c t s . A m u n i c i p a l i t y f i r s t f a c e s t h e c h a l l e n g e of t r a n s l a t i n g a complex mechanism i n t o s o m e t h i n g w h i c h i s e a s i l y u n d e r s t o o d by a l l p a r t i c i p a n t s i n t h e l a n d d e v e l o p m e n t and a p p r o v a l p r o c e s s : a d m i n i s t r a t o r s , p r o p e r t y owners, d e v e l o p e r s , and t h e community a t l a r g e . S i n c e t h e c o n c e p t i n v o l v e s a m a j o r a l t e r a t i o n t o t h e way l a n d d e v e l o p m e n t has been u n d e r t a k e n , i t w i l l demand a s u b s t a n t i a l e f f o r t i n e x p l a i n i n g why i t i s n e c e s s a r y and how i t works. The t a s k w i l l be made e a s i e r i f t h e p r o b l e m b e i n g a d d r e s s e d i s u n d e r s t o o d , t h e o b j e c t i v e i s s t r o n g l y s u p p o r t e d by t h e community, and t h e p r o g r a m meets p l a n n i n g , l e g a l , and p o l i t i c a l c r i t e r i a f o r s u c c e s s f u l a p p l i c a t i o n . The s e c o n d r e q u i r e m e n t i s t o e s t a b l i s h a s t r a i g h t f o r w a r d a p p r o v a l mechanism. Complex b u r e a u c r a t i c p r o c e d u r e s o f an e x c e s s i v e , t i m e consuming n a t u r e c r e a t e a b u i l t - i n d i s i n c e n t i v e f o r u s i n g a p r o g ram i n w h i c h t h e " t i m e i s money" adage h o l d s not o n l y f o r p r o j e c t d e v e l o p e r s but a l s o t h e m u n i c i p a l i t y . A c o n t r i b u t i n g f a c t o r t o z o n i n g ' s w i d e s p r e a d a d o p t i o n was i t s i n i t i a l a d m i n i s t r a t i v e s i m p l i c i t y , b a s e d on an " a s - o f - r i g h t " c h a r a c t e r and u n i f o r m t r e a t m e n t of p r o p e r t i e s . The t r e n d t o w a r d s d i s c r e t i o n a r y z o n i n g r e s u l t e d i n g r e a t l y i n c r e a s e d a d m i n i s t r a t i v e c o s t s w h i c h were o n l y p a r t i a l l y o f f s e t by d e v e l o p m e n t p e r m i t f e e s . 68 P i z o r (1978, p.393) s u g g e s t s a p r i o r i t y s e r v i c e t o s h o r t e n t h e t i m e between i n i t i a l a p p l i c a t i o n and f i n a l a p p r o v a l f o r d e v e l o p e r s who u t i l i z e d e v e l o p m e n t r i g h t s . W h i l e t h i s would r e d u c e c o s t s t o t h e d e v e l o p e r s u t i l i z i n g t r a n s f e r a b l e d e n s i t y , i t would l e a d t o i n c r e a s e d t i m e and c o s t s t o o t h e r p r o j e c t s and demands f o r e q u a l t r e a t m e n t f o r o t h e r p r o j e c t s , s u c h as low income h o u s i n g o r h o u s i n g r e h a b i l i t a t i o n p r o g r a m s . A f i n a l a d m i n i s t r a t i v e c o n c e r n i s o v e r r i s k s of abuse of t h e mechanism. F o r example, u r b a n p a r k s c r e a t e d by d e n s i t y t r a n s f e r s c o u l d be r e s t r i c t e d t o p r i v a t e a c c e s s o n l y . P r o b l e m s of t h i s n a t u r e c o u l d be p r e v e n t e d t h r o u g h c a r e f u l l y p r e p a r e d l e g a l a g r e e m e n t s s u c h as r e s t r i c t i v e c o v e n a n t s . F. EQUITY ISSUES Land use c o n t r o l s must be b a s e d on t h e p r i n c i p l e s of j u s t i c e a n d f a i r n e s s . One of t h e b a s i c f e a t u r e s of z o n i n g , e q u a l t r e a t m e n t of a l l p r o p e r t i e s w i t h i n a z o n i n g d i s t r i c t , i s i n t e n d e d t o meet t h e e q u i t y r e q u i r e m e n t . However, t h i s f e a t u r e s u f f e r s from abuse and by i t s f a i l u r e t o accommodate s i t e s p e c i f i c d i f f e r e n c e s . D e n s i t y t r a n s f e r s w i t h i n d i s t r i c t s a r e d e s i g n e d t o overcome t h e l a t t e r c o n s t r a i n t by c r e a t i n g a mechanism t o overcome i n e q u i t a b l e s p o t r e g u l a t i o n f o r p u b l i c p u r p o s e s . A h e r i t a g e s i t e w i l l s u f f e r from b e i n g u n a b l e t o u t i l i z e u nused z o n i n g p o t e n t i a l , so a l l o w i n g i t t o t r a n s f e r i t s unused s p a c e t o a n o t h e r p a r c e l p r o v i d e s j u s t i c e f o r t h e d i s c r i m i n a t o r y r e g u l a t i o n . A p r o v i s i o n f o r z o n e - t o - z o n e t r a n s f e r s f o r r u r a l 69 p r e s e r v a t i o n i s more d i f f i c u l t t o j u s t i f y on e q u i t a b l e g r o u n d s b e c a u s e i t i n v o l v e s t h e d e l i b e r a t e c r e a t i o n of z o n e s w h i c h do no t r e f l e c t t h e i r i n t e n d e d l e v e l of d e v e l o p m e n t . Schnidman (1975, p.14) q u e s t i o n s "How do you j u s t i f y z o n i n g i n t e n t i o n a l l y u n d e r t a k e n t o c r e a t e a market f o r d e v e l o p m e n t r i g h t s ? " One p o t e n t i a l answer i s f o u n d i n r e d e f i n i t i o n o f t r a d i t i o n a l e x p e c t a t i o n s a s s o c i a t e d w i t h l a n d o w n e r s h i p . R a d i c a l p r o p o s a l s t o r e p l a c e z o n i n g a r e "based on t h e n o t i o n t h a t d e v e l o p m e n t p o t e n t i a l i s a community a s s e t w h i c h government s h o u l d c o n t r o l f o r g e n e r a l w e l f a r e . N e l s o n (1977, p.217) c l a i m s t o d i s p o s e of t h e e q u i t y i s s u e (a " t r a n s i t i o n a l c o n c e r n " ) by a "once and f o r a l l d e t e r m i n a t i o n t h a t h e n c e f o r t h a l l l a n d would be s u b j e c t t o p u b l i c c o n t r o l w i t h o u t r e g a r d t o l a n d v a l u e . " T h i s s t r i k e s a t f u n d a m e n t a l b e l i e f s c o n c e r n i n g p r o p e r t y o w n e r s h i p as t h e y have e v o l v e d i n N o r t h A m e r i c a ; t h e r e f o r e , b e f o r e d e c i s i o n makers a r e l i k e l y t o a d o p t s u c h a major a l t e r a t i o n i n l a n d use c o n t r o l m ajor c h a n g e s i n community v a l u e s would be r e q u i r e d . 70 V I . ZONING AND DENSITY TRANSFERS: AN INTEGRATION A. INTRODUCTION The p r e c e d i n g a n a l y s i s has had two p u r p o s e s : (1) t o p r e s e n t a c l e a r e v a l u a t i o n t h e e s s e n t i a l c h a r a c t e r i s t i c s and e l e m e n t s of z o n i n g and d e n s i t y t r a n s f e r s ; and, (2) t o p r o v i d e a b a s i s f o r t h e i r i n t e g r a t i o n . T h i s c h a p t e r w i l l f o l l o w on t h e s e c o n d p u r p o s e i n i t s e f f o r t s t o a c h i e v e an u n d e r s t a n d i n g of t h e i n t e r -r e l a t i o n s h i p of t h e two c o n c e p t s w i t h i n an o v e r a l l t h e o r e t i c a l framework. In C h a p t e r I , a t h e o r e t i c a l a p p r o a c h was j u s t i f i e d as a way of e x p l a i n i n g r e l a t i o n s h i p s between e v e n t s . By d o i n g t h i s , a n s w e rs t o q u e s t i o n s r e g a r d i n g why and how t h i n g s happen a r e f a c i l i t a t e d . T h i s a p p r o a c h i s p a r t of t h e e x p l i c i t p u r p o s e s of s c i e n c e w h i c h R e y n o l d s (1971, p.4) d e s c r i b e s a s : a method of o r g a n i z i n g and c a t e g o r i z i n g t h i n g s , a t y p o l o g y ; p r e d i c t i o n s of f u t u r e e v e n t s ; e x p l a n a t i o n s of p a s t e v e n t s ; 1 a s e n s e of  u n d e r s t a n d i n g about what c a u s e s e v e n t s ; and t h e p o t e n t i a l f o r c o n t r o l o f e v e n t s . E x p l a n a t o r y t h e o r y r e l a t e s t o t h e s e p u r p o s e s as p a r t o f s c i e n t i f i c knowledge i n i t s d e s c r i p t i o n of c a u s a l p r o c e s s e s . 2 A d i s c u s s i o n of t h e o r y , c a u s a l i t y , and s c i e n t i f i c knowledge i n u n d e r s t a n d i n g an a s p e c t of t h e s o c i a l s c i e n c e s c o u l d l e a d t o 1 P r e d i c t i o n and e x p l a n a t i o n s h o u l d b o t h be d e f i n e d u s i n g t h e f o r m a t : under c e r t a i n c o n d i t i o n s a change i n one v a r i a b l e i s f o l l o w e d by a change i n a n o t h e r v a r i a b l e . 2 The c a u s a l p r o c e s s form of t h e o r y i s an i n t e r r e l a t e d s e t of d e f i n i t i o n s , e x i s t e n c e s t a t e m e n t s , and c a u s a l s t a t e m e n t s ( R e y n o l d s , 1971 , p . 9 7 ) . 71 d e b a t e o v e r t h e a p p r o p r i a t e use of e a c h term and an e x t e n s i v e r e v i e w and a n a l y s i s f a r beyond t h e s c o p e of t h i s t h e s i s . The a c c o u n t p r e s e n t e d h e r e i s n e c e s s a r i l y l i m i t e d t o c o n c l u s i o n s and o b s e r v a t i o n s b a s e d on what a p p e a r t o be p r e v a i l i n g v i e w s and my i n t e r p r e t a t i o n s . The framework f o r i n t e g r a t i o n of z o n i n g and d e n s i t y t r a n s f e r s b e g i n s w i t h an a b s t r a c t i o n of two l e v e l s of t h e o r y : (1) T h e o r y h e l d by phenomena, i e . human b e i n g s ' c o n c e p t u a l i z a t i o n o f t h e p u r p o s e s f o r z o n i n g and d e n s i t y t r a n s f e r s . T h i s l e v e l i n c o r p o r a t e s a p p r o a c h e s d e v e l o p e d t h r o u g h s t u d i e s of t h e p h i l o s o p h y of s o c i a l s c i e n c e . (2) T h e o r y a b o u t phenomena, i . e . t h e r e l a t i o n s h i p between z o n i n g and d e n s i t y t r a n s f e r s . T h i s i s t h e l e v e l w h i c h t h e s o c i a l s c i e n c e s a r e c o n c e r n e d w i t h u n d e r s t a n d i n g . T h i s a b s t r a c t i o n i s s i m i l a r t o t h a t of Ryan (1970, p . 1 4 2 ) , who s t a t e s , F o r t h e r e a r e h e r e [ i n t h e s o c i a l s c i e n c e s ] what i t i s not t o o f a n c i f u l t o d e s c r i b e as two l e v e l s of t h e o r y -t h e l e v e l o f t h e s c i e n t i s t s ' t h e o r i e s , a b o u t t h e phenomena, and t h e l e v e l of t h e o r i e s w h i c h a r e h e l d by t h e phenomena [ s o c i a l b e i n g s ] t h e m s e l v e s . B. A GOAL ORIENTED FRAMEWORK A s e a r c h f o r an a p p r o p r i a t e way t o i n t e g r a t e z o n i n g and d e n s i t y t r a n s f e r s a t t h e h i g h e r l e v e l of t h e o r y began w i t h a c o n s i d e r a t i o n o f t h e q u e s t i o n s , "Why zone? and "Why t r a n s f e r d e n s i t i e s ? " When z o n i n g was i n i t i a l l y a d o p t e d by m u n i c i p a l i t i e s , i t was g e n e r a l l y e x p e c t e d t o improve m u n i c i p a l 72 l a n d use and d e v e l o p m e n t t h r o u g h p r e v e n t i o n of u n d e s i r e d l o c a t i o n s of - b u i l d i n g s and u s e s . More r e c e n t l y , e x p l i c i t g o a l d e f i n i t i o n has d e r i v e d from t h e g r e a t e r r o l e o f p l a n n i n g i n d e t e r m i n i n g a p p r o p r i a t e zone d e s i g n a t i o n s . D e n s i t y t r a n s f e r s have o r i g i n a t e d i n m u n i c i p a l d e s i r e s t o a c h i e v e g o a l s f o r w h i c h z o n i n g i s seen t o be i n s u f f i c i e n t or i n a p p r o p r i a t e . The e v i d e n c e t h a t a m u n i c i p a l i t y c h o o s e s t o use t h e s e t e c h n i q u e s t o h e l p a c h i e v e some d e s i r e d f u t u r e s t a t e l e a d s t o s t u d y of works w i t h i n t h e p h i l o s o p h y o f s o c i a l s c i e n c e f o r a g o a l - o r i e n t e d framework. T h r o u g h t h e l i t e r a t u r e of t h i s s t u d y a t e l e o l o g i c a l framework was i d e n t i f i e d as b e i n g a p p r o p r i a t e b e c a u s e i t i s t h e d o c t r i n e or s t u d y of ends o r f i n a l c a u s e s , e s p e c i a l l y as r e l a t e d t o e v i d e n c e of d e s i g n or p u r p o s e . 1 In t h e s o c i a l s c i e n c e s , t h e o r i s t s have w r e s t l e d w i t h q u e s t i o n s t o e x p l a i n human b e h a v i o u r . They have d e v e l o p e d two p r i m a r y t y p e s o f e x p l a n a t i o n f o r b e h a v i o u r : (1) c a u s a l e x p l a n a t i o n , w h i c h has t h e f o r m a t "x (outcome) o c c u r s b e c a u s e of y ( e v e n t ) " ; and (2) t e l e o l o g i c a l e x p l a n a t i o n , w h i c h has t h e f o r m a t "y ( e v e n t ) o c c u r s i n o r d e r t h a t x ( o u t c o m e ) . " 1 The d i s t i n c t i o n i s i m p o r t a n t i n i n t e r p r e t a t i o n o f how a change i n x, t h e d e s i r e d end s t a t e , would a l t e r e x p l a n a t i o n o f i t s c h a n g e . A c a u s a l e x p l a n a t i o n would s u g g e s t t h a t a change i n x be u n d e r s t o o d as t h e r e s u l t of a change i n y, o r , g i v e n x, y must have o c c u r r e d . A t e l e o l o g i c a l e x p l a n a t i o n would d e t e r m i n e t h a t 1 O x f o r d D i c t i o n a r y , 2nd E d i t i o n 1 R y a n ( l 9 7 0 , p . 1 8 5 ) e x p l a i n s p r e v i o u s e r r o r s i n u n d e r s t a n d i n g g o a l -d i r e c t e d n e s s by u t i l i z i n g t h e x and y t e r m i n o l o g y . 73 a change i n x would c a u s e a change i n y, y does not mean x w i l l o c c u r , but i t i m p l i e s t h e s y s t e m w i l l e n s u r e y w i l l seek or m a i n t a i n x. U s i n g t h i s d e f i n i t i o n , t h e two t y p e s of e x p l a n a t i o n a r e c l e a r l y r e l a t e d b u t c o n c e p t u a l l y d i f f e r e n t . An u n d e r s t a n d i n g of how e v e n t s a r e r e l a t e d w i t h i n a sy s t e m , t h e impact o f change i n one a c t i v i t y on o t h e r a c t i v i t i e s , and t h e p a t t e r n o f r e l a t i o n s h i p s e v i d e n t o v e r t i m e , i s one of t h e g o a l s of s c i e n t i f i c s t u d y . T e l e o l o g i c a l e x p l a n a t i o n h a s , i n t h e p a s t , been d i s m i s s e d by p r o p o n e n t s o f f u n c t i o n a l e x p l a n a t i o n . T h e i r e r r o r i s e v i d e n t i n . Ryan (1970, p . l 9 2 ) ' s example from e c o n o m i c s : "we do n o t , f o r i n s t a n c e , b e l i e v e t h a t a p r i c e d r o p s i n o r d e r t o c l e a r t h e market of a g l u t , we know t h a t t h e mechanism a t work i s one wh i c h i n v o l v e s t h e w i s h e s of s e l l e r s t o g e t s o m e t h i n g f o r t h e i r w a r e s . . . " A t e l e o l o g i c a l framework p e r m i t s z o n i n g and d e n s i t y t r a n s f e r s t o be v i e w e d as a c t i o n s d i r e c t e d t o w a r d s g o a l a c h i e v e m e n t . I t r e c o g n i z e s t h a t some p e r s o n , or g r o u p of p e r s o n s , has t h o u g h t of a p u r p o s e w h i c h i s b e i n g p u r s u e d by use of t h e s e t e c h n i q u e s . I t a l s o r e c o g n i z e s a f e e d back mechanism, one i n wh i c h t h e urb a n s y s t e m i s l i n k e d back t o i t s e n v i r o n m e n t , i n a c c o r d a n c e w i t h s y s t e m s a n a l y s i s t h o u g h t ( D u b a i n , 1978, p . 2 5 2 ) . T h i s a n a l y s i s s u g g e s t s p l a n n i n g can r e v e a l s o c i e t y - h e l d g o a l s . B u t , as P r a t t (1978, p.119) q u e s t i o n s , i s i t p o s s i b l e f o r s o c i e t y t o have a p u r p o s e , r a t h e r t h a n i n d i v i d u a l s w i t h i n i t ? C e r t a i n l y , i n d i v i d u a l g o a l s v a r y from t h o s e e x p r e s s e d by a g r o u p . However, P r a t t comes t o t h e p o i n t t h a t s o c i e t i e s a r e d i s t i n c t from i n d i v i d u a l s by n o t o n l y s howing p e r s i s t e n t 74 b e h a v i o u r t o some end s t a t e but a l s o d i r e c t i n g i t s i n t e r n a l o r g a n i z a t i o n w i t h g r o u p o r i e n t e d m o t i v a t i o n . T h i s framework p e r m i t s c o n c e p t u a l i z a t i o n o f how z o n i n g and d e n s i t y t r a n s f e r s a r e p a r t of t h e p l a n n i n g p r o c e s s . P l a n n i n g d e f i n e s t h e x s t a t e s , t h e d e s i r e d end s t a t e s as h e l d by members of t h e community, f o r w h i c h z o n i n g , a y f a c t o r , i s i n t e n d e d t o work t o w a r d s . I f a g o a l i s c h a n g e d t h e n z o n i n g must be c h a n g e d t o f a c i l i t a t e t h e amendment. F o r example, i f g r e a t e r v a r i e t y i n t h e mix o f h o u s i n g t y p e s becomes d e s i r a b l e , z o n i n g s h o u l d be r e v i s e d t o accommodate t h e v a r i a t i o n . The z o n i n g does not c a u s e g r e a t e r v a r i e t y , but a l l o w s i t . S i m i l a r l y , d e n s i t y t r a n s f e r s s h o u l d be g o a l d i r e c t e d . They w i l l not e n s u r e t h a t g o a l s of open s p a c e p r e s e r v a t i o n o r s a v i n g h e r i t a g e b u i l d i n g s w i l l be a c h i e v e d , but w i l l c o n t r i b u t e t o t h e i r a c h i e v e m e n t . The framework p l a c e s emphasis on l a n d use p l a n n i n g a s an a c t i v i t y w h i c h d e f i n e s s o c i e t y - h e l d g o a l s and f u r t h e r d e f i n e s measures i n t e n d e d t o complement t h e g o a l s . M i l n e r (1963a, p.165) has s u g g e s t e d t h e main t a s k of t h e p l a n n e r s h o u l d be " t h e c l a r i f i c a t i o n of l a n d use g o a l s o f a g e n e r a l i z e d n a t u r e w h i c h , when a d o p t e d by t h e l e g i s l a t u r e , w i l l become t h e b r o a d framework f o r f u r t h e r i m p l e m e n t a t i o n . " H i s o p i n i o n , w h i c h c o n t i n u e s t o be h e l d by p l a n n e r s c o n c e r n e d w i t h d e v e l o p i n g u s a b l e p l a n s , p r e d i c t e d a g r e a t e r emphasis on p o l i c i e s i n p l a n n i n g . H i s s t a t e m e n t a l s o r e l a t e s t o B o o h e r ' s (1973, p . i i i ) f i n d i n g s t h a t p l a n n e r s b e l i e v e t h e y s h o u l d t a k e a more a c t i v e r o l e i n d i r e c t i n g p u b l i c p o l i c y t o w a r d t h e i m p l e m e n t a t i o n o f sound p l a n s . P l a n n i n g t h u s s h o u l d be an o n - g o i n g p r o c e s s , w h i c h 75 a p p l i e s r a t i o n a l t h o u g h t and methods t o p u b l i c d e c i s i o n making. A l t h o u g h i t c o u l d be i n f e r r e d a g o a l - o r i e n t e d framework i s i n t e n d e d t o p r e o r d a i n t h e f u t u r e , c r e a t i n g a s t a t i c e n d - s t a t e p l a n , s u c h an i n f e r e n c e would be i n e r r o r . The framework does r e q u i r e t h a t d e c i s i o n s be made a b o u t how a community w i s h e s t o have d e v e l o p e d a t some f u t u r e d a t e and t h a t l a n d use c o n t r o l s be a p p l i e d w i t h i n an e x p l i c i t y d e f i n i t i o n o f t h i s g o a l . F o r example, a community must d e f i n e i t s g o a l f o r d e s i r e d p o p u l a t i o n , w h i c h must t h e n make i t p o s s i b l e t o p r e p a r e an a p p r o p r i a t e i m p l e m e n t a t i o n s t r a t e g i e s i n t e n d e d t o e n c o u r a g e or r e s t r i c t g r o w t h . I f t h e community l a t e r c h a n g e s i t s g o a l r e g a r d i n g p o p u l a t i o n , t h e s t r a t e g i e s employed t o r e a c h t h e g o a l s h o u l d a l s o be c h a n g e d . C. ZONING AND DENSITY TRANSFERS To s u g g e s t t h a t a t e l e o l o g i c a l framework i s u s e f u l c o u l d e n t a i l g r e a t e r e l a b o r a t i o n t h a n t h e p r e c e d i n g comments. T h i s t h e s i s can o n l y p r e s e n t a s t a r t i n g p o i n t . However, the g o a l -o r i e n t e d framework does p r o v i d e a g e n e r a l way t o i n t e g r a t e z o n i n g and d e n s i t y t r a n s f e r s . T h i s s e c t i o n w i l l p r e s e n t t h e t h e o r e t i c a l c o n s i d e r a t i o n s f o r i n t e g r a t i o n o f t h e two c o n c e p t s a t t h e s e c o n d , l o w e r l e v e l of t h e o r y a b o u t t h e phenomena. 1. Z o n i n q ' s T h e o r e t i c a l C h a r a c t e r i s t i c s To i n t e g r a t e z o n i n g w i t h d e n s i t y t r a n s f e r s i t i s u s e f u l t o b e g i n w i t h a summary of t h e d e f i c i e n c i e s of z o n i n g . To i d e n t i f y t h e s e i s d i f f i c u l t b e c a u s e , as i s e v i d e n t i n C h a p t e r I l l ' s c r i t i c a l r e v i e w of z o n i n g ' s p r i n c i p l e s and e l e m e n t s , th e outcome 76 of z o n i n g i m p l e m e n t a t i o n v a r i e s a c c o r d i n g t o s p e c i f i c s i t u a t i o n s . A l s o , t h e r e i s a c l o s e c o r r e l a t i o n between v a r i o u s a d v a n t a g e s and d i s a d v a n t a g e s . However, t h e g e n e r a l d e f i c i e n c i e s of z o n i n g c a n be i d e n t i f i e d as f o l l o w s : • f a i l u r e t o r e c o g n i z e f u n c t i o n a l r e l a t i o n s h i p s between u s e s ; • c o n c e p t u a l r i g i d i t y u s i n g what may be a r b i t r a r y l a n d use d e s i g n a t i o n s o r s i t i n g r e g u l a t i o n s ; • an i n c o r r e c t r e l a t i o n s h i p w i t h r e a l i t y b e c a u s e z o n i n g i s a s t a t i c c o n t r o l d e s p i t e b e i n g a p p l i e d i n c o n s t a n t l y c h a n g i n g s i t u a t i o n s ; • an o r g a n i z i n g c o n c e p t b a s e d on s m a l l , i n d i v i d u a l p a r c e l s of l a n d b e i n g d e v e l o p e d but a p p l i c a t i o n t o d e v e l o p m e n t of l a r g e u n d e v e l o p e d or r e d e v e l o p i n g a r e a s ; • no f e e d b a c k mechanism ( o t h e r t h a n p o l i t i c a l ) . P l a n n e r s and a d m i n i s t r a t o r s ' a c t i o n s can g r e a t l y r e d u c e p r o p e r t y v a l u e s w i t h o u t t h e i r b e a r i n g any of t h e c o s t s ; • s u s c e p t i b i l i t y t o abuse f o r p a r o c h i a l and e x c l u s i o n a r y p u r p o s e s ; • a s s u m p t i o n t h a t u s e s and s i t i n g r e g u l a t i o n s s h o u l d a p p l y e q u a l l y t o a l l p a r c e l s , w i t h i n a c o h e s i v e d i s t r i c t w i t h o u t a c c o u n t i n g f o r s i t e - s p e c i f i c v a r i a t i o n ; • c o n c e p t u a l s i m p l i c i t y i n a complex e n v i r o n m e n t . A l t h o u g h s i m p l i c i t y i s an a d v a n t a g e , by not 77 c o u n t i n g e x t e r n a l b e n e f i t s , i t a c t s t o f o r b i d h a r m l e s s s i t u a t i o n s , p r e v e n t b e n e f i c i a l o n es, and c a u s e c o n s t a n t demand f o r e x c e p t i o n s ; • c o n t r o l by a p r o c e s s of n e g a t i o n has l i m i t e d i n f l u e n c e i n t h e p o s i t i v e d i r e c t i o n of g r o w t h . T h e s e d i s a d v a n t a g e s have been c i t e d as s u f f i c i e n t argument f o r a b o l i t i o n of z o n i n g ( S i e g a n , 1972). However, t h e r e i s p o p u l a r s u p p o r t f o r z o n i n g b a s e d on i t s t h e o r e t i c a l a d v a n t a g e s and i t s p r o v e n r e c o r d t o a c c o m p l i s h some w i d e l y - h e l d g o a l s p a r t i c u l a r l y p r o t e c t i o n of n e i g h b o u r h o o d s and s e p a r a t i o n of i n c o m p a t i b l e u s e s . A c c o r d i n g l y , t h e most s t r o n g l y s u p p o r t e d o p t i o n i s n o t o n l y t o m a i n t a i n z o n i n g as t h e m a j o r f o r m o f government i n t e r v e n t i o n i n t h e use and d e v e l o p m e n t of p r i v a t e p r o p e r t y but t o improve upon i t . 2. D e n s i t y T r a n s f e r s ' T h e o r e t i c a l C h a r a c t e r i s t i c s D e n s i t y t r a n s f e r s a r e t y p i c a l l y p r o p o s e d as a means t o a c h i e v e o b j e c t i v e s not b e i n g met due t o z o n i n g ' s t h e o r e t i c a l d i s a d v a n t a g e s . F o r example, M a n d e l k e r (1974, p. 1) c l a i m s t h a t t h e gap i n t h e z o n i n g s y s t e m w h i c h l e d t o t h e d e v e l o p m e n t of d e n s i t y t r a n s f e r s i s z o n i n g ' s f a i l u r e t o p e r m i t payment o f c o m p e n s a t i o n . The p r o p o s a l from Babcock and Weaver (1979) f o r i n c r e a s i n g r e s i d e n t i a l d e n s i t i e s t h r o u g h a d e n s i t y t r a n s f e r s y s t e m a r o s e from t h e i r c o n c e n s u s t h a t t h e g r e a t e s t f a i l u r e o f z o n i n g i s i t s r o l e i n t h e c r e a t i o n of s l u m s . When low d e n s i t y a r e a s a r e r e z o n e d f o r h i g h e r d e n s i t y d e v e l o p m e n t , t h e h o u s i n g s t o c k g r a d u a l l y d e t e r i o r a t e s f r o m l a c k of m a i n t e n a n c e u n t i l i t i s e c o n o m i c a l l y f e a s i b l e t o d e m o l i s h t h e s t r u c t u r e s . M o d e r a t e 78 i n c r e a s e s i n d e n s i t y t h r o u g h a d e n s i t y t r a n s f e r scheme c o u l d e n c o u r a g e m a i n t e n a n c e of s i t e s w h i c h would not be r e d e v e l o p e d . V a r i o u s t h e o r e t i c a l a d v a n t a g e s and d i s a d v a n t a g e s a r e e v i d e n t i n t h e d e n s i t y t r a n s f e r c o n c e p t . As w i t h z o n i n g , i t i s d i f f i c u l t t o s e p a r a t e t h e s e . In a d d i t i o n , s i n c e few j u r i s d i c t i o n s have a t t e m p t e d t o i n t r o d u c e d e n s i t y t r a n s f e r p r o g r a m s e m p i r i c a l e v i d e n c e on t h e o r e t i c a l d e f i c i e n c i e s i s l i m i t e d . However, t h e p r i m a r y d e f i c i e n c i e s of d e n s i t y t r a n s f e r s w h i c h can be i d e n t i f i e d a r e : • c o m p l e x i t y o f z o n e - t o - z o n e t r a n s f e r s . P l a n n e r s f i n d t h e model d i f f i c u l t t o implement, p o l i t i c i a n s t o s u p p o r t , and p r o p e r t y owners t o u s e . • i n a b i l i t y t o accommodate s i t u a t i o n s where t h e r e a r e no a p p r o p r i a t e l o c a t i o n s f o r t r a n s f e r r e d d e n s i t y ; • t h e t h r e a t t o d o w n zoning, w h i c h s h o u l d c o n t i n u e t o be f e a s i b l e when a p p r o p r i a t e ; • dependence upon r e s t r i c t i v e c o v e n a n t s o r o t h e r l e g a l documents t o e n s u r e p r e s e r v e d p a r c e l s a r not d e v e l o p e d . The most s e r i o u s s h o r t c o m i n g of t h e d e n s i t y t r a n s f e r c o n c e p t i s t h e p r a c t i c a l d i f f i c u l t y of i m p l e m e n t i n g a new, complex c o n c e p t , as i s e v i d e n t from A p p e n d i x I . A l t h o u g h C o s t o n i s (1980, p.2) d e c i d e d " t h e c a s e f o r TDR [ d e n s i t y t r a n s f e r s ] r e s t s p r i n c i p a l l y on t h e c o n c e p t ' s p l a u s i b i l i t y , not on t h e p a r t i c u l a r f o r t u n e s of t h i s o r t h a t TDR program", th e l a c k o f s u c c e s s f u l programs s u g g e s t e d f u r t h e r a n a l y s i s of t h e c o n c e p t i s n e c e s s a r y . 79 D. A THEORETICAL RELATIONSHIP I t i s p r o p o s e d t h a t d e n s i t y t r a n s f e r s , as a p a r t of a l a n d use c o n t r o l s y s t e m , s h o u l d be d e s i g n e d t o r e d u c e z o n i n g d e f i c i e n c i e s w i t h o u t c r e a t i n g g r e a t e r d i f f i c u l t i e s i n o t h e r a s p e c t s of l a n d use c o n t r o l . The summary of t h e d e f i c i e n c i e s o f b o t h z o n i n g and d e n s i t y t r a n s f e r s p r o v i d e s t h e base f o r how, i n t h e o r y , t h i s s h o u l d o c c u r . A r e v i e w of t h e e l e m e n t s o f z o n i n g t o i l l u s t r a t e ho-w d e n s i t y t r a n s f e r s a r e t h e o r e t i c a l l y c o m p l e m e n t a r y i s as f o l l o w s . a. S e p a r a t i o n Of I n c o m p a t i b l e U ses D e n s i t y t r a n s f e r s p r o v i d e a mechanism t o e n c o u r a g e a mix o f h o u s i n g d e n s i t y i n low d e n s i t y a r e a s and t o e n c o u r a g e m i x e d - u s e d e v e l o p m e n t s . A l t h o u g h z o n i n g c o u l d be a l t e r e d t o accommodate a v a r i e t y of d e n s i t i e s and u s e s d e n s i t y t r a n s f e r s p r o v i d e a means f o r i m p l e m e n t a t i o n w i t h g r e a t e r c o n t r o l . b. R e s t r i c t i o n On The S i z e And S i t i n g Of S t r u c t u r e s T h i s e l e m e n t d e f i n e s t h e amount of d e n s i t y w h i c h may be t r a n s f e r r e d f r o m a s i t e and i s t h u s i n t e g r a l t o a d e n s i t y t r a n s f e r . D e n s i t y t r a n s f e r s p r o v i d e a means f o r r e l a x a t i o n of t h e s e r e s t r i c t i o n s when d e s i r a b l e i n a manner c o m p a r a b l e t o bonus t e c h n i q u e s . 80 c . U n i f o r m i t y B e c a u s e z o n i n g a p p l i e s s i t i n g and use r e g u l a t i o n s e q u a l l y t o e a c h p a r c e l of l a n d w i t h i n a d i s t r i c t , i t i s u n a b l e t o accommodate s i t u a t i o n s when s i t e - s p e c i f i c v a r i a t i o n i s r e q u i r e d or d e s i r a b l e . D e n s i t y t r a n s f e r s p r o v i d e a mechanism f o r t h i s v a r i a t i o n . d. P r o t e c t i o n Of P r o p e r t y V a l u e s The use of d e n s i t y t r a n s f e r s as a means t o i n c r e a s e d e n s i t i e s i n l o w e r - d e n s i t y r e s i d e n t i a l n e i g h b o u r h o o d s i s c l o s e l y r e l a t e d t o t h i s e l e m e n t s i n c e d e n s i t y t r a n s f e r s p r o v i d e a way t o i n t r o d u c e moderate i n c r e a s e s i n d e n s i t i e s and t o e n c o u r a g e c o n t i n u e d m a i n t e n a n c e o f e x i s t i n g h o u s i n g s t o c k . e. Noncompensatory The market v a l u e of a p r o p e r t y r e f l e c t s t h e assumed d e v e l o p m e n t p o t e n t i a l a s d e f i n e d by z o n i n g r e g u l a t i o n s . When a community w i s h e s t o a d o p t a r e s t r i c t i v e r e g u l a t i o n w h i c h would g r e a t l y r e d u c e d e v e l o p m e n t p o t e n t i a l , and a c c o r d i n g l y market v a l u e , t h e n p e r m i t t i n g t h e s a l e of d e n s i t y p r o v i d e s a way t o compensate f o r t h e r e s t r i c t i o n . In t h i s way d e n s i t y t r a n s f e r s t r a n s l a t e a c o m m u n i t y - h e l d a s s e t , i . e . t h e p e r m i s s i o n t o d e v e l o p a t a s p e c i f i c d e n s i t y on a s p e c i f i c p r o p e r t y , i n t o a p r i v a t e l y - h e l d a s s e t , t r a n s f e r a b l e d e n s i t y . 81 f . R i g i d i t y D e n s i t y t r a n s f e r s augment g r e a t e r f l e x i b i l i t y i n z o n i n g by a l l o w i n g v a r i a t i o n w i t h i n p r e - d e t e r m i n e d z o n e s w i t h o u t n e c e s s i t a t i n g t i m e - c o n s u m i n g and e x p e n s i v e r e c o u r s e t o bylaw amendments. g. P r e d i c t a b i l i t y An i m p o r t a n t f a c t o r i n t h e s u c c e s s of z o n i n g has been t h a t p r o p e r t y owners u n d e r s t a n d t h e i r r i g h t s and p r i v i l e g e s . D e n s i t y t r a n s f e r s may i n c r e a s e t h e i r c e r t a i n t y by o v e r c o m i n g f e a r of c o n f i s c a t o r y d ownzoning, but c o u l d r e d u c e c e r t a i n t y i f o u t - o f -s c a l e b u i l d i n g s a r e p o s s i b l e . T h e r e f o r e , t h e g r e a t e r f l e x i b i l i t y w h i c h d e n s i t y t r a n s f e r s p e r m i t s s h o u l d be i m p l e m e n t e d i n a s s o c i a t i o n 'with c o n s i d e r a t i o n of enhanced p r e d i c t a b i l i t y . h. N e g a t i v i t y D e n s i t y t r a n s f e r s can c o u n t e r z o n i n g ' s e s s e n t i a l l y n e g a t i v e c h a r a c t e r i s t i c s w i t h a p o s t i v e , g r o w t h - d i r e c t i n g mechanism. However, t h e n e g a t i v e e l e m e n t c o n t i n u e s t o be e s s e n t i a l as v a l u e f o r d e v e l o p m e n t p o t e n t i a l depends on c o n t r o l l e d g r o w t h . i . Government Immunity T h i s e l e m e n t s h o u l d n o t be a l t e r e d by d e n s i t y t r a n s f e r s . However, i f a j u r i s d i c t i o n c h o o s e s t o become i n v o l v e d i n b u y i n g and s e l l i n g d e n s i t y , g r e a t c a r e must be t a k e n t o a v o i d c h a r g e s of c o n f l i c t of i n t e r e s t . 82 j . N o n r e t r p a c t i v i t y T h i s e l e m e n t i s a l s o u n l i k e l y t o be a f f e c t e d by a d e n s i t y t r a n s f e r p r o g r a m . E. CONCLUSION D e n s i t y t r a n s f e r s s h o u l d be i n t e g r a t e d w i t h z o n i n g w i t h i n a g o a l - o r i e n t e d framework. Where z o n i n g ' s e l e m e n t s a r e i n s u f f i c i e n t t o a c h i e v e c o m m u n i t y - h e l d g o a l s , d e n s i t y t r a n s f e r s p r o v i d e a mechanism t o r e d u c e t h e d e f i c i e n c i e s i n t h r e e ways: (1) D e n s i t y t r a n s f e r s c r e a t e a means t o d i f f e r e n t i a t e i n d i v i d u a l l a n d p a r c e l s w i t h i n zones by a l l o w i n g an exchange of p e r m i t t e d d e n s i t i e s . A l t h o u g h t h i s may r e d u c e t h e c e r t a i n t y o v e r u l t i m a t e d e n s i t i e s w h i c h may be a c h i e v e d under z o n i n g on i n d i v i d u a l p a r c e l s , no a d d i t i o n a l d e n s i t y i s c r e a t e d . G o a l s of open s p a c e p r o t e c t i o n o r c r e a t i o n c o u l d be f a c i l i t a t e d by t h i s mechanism. (2) D e n s i t y t r a n s f e r s p r o v i d e a mechanism t o p r o v i d e s i t e -s p e c i f i c c o m p e n s a t i o n f o r i n e q u i t a b l e r e g u l a t i o n w i t h o u t n e c e s s i t a t i n g j u s t c o m p e n s a t i o n o r h a r m i n g t h e j u r i s d i c t i o n a l a u t h o r i t y t o downzone when a p p r o p r i a t e . When a community d e s i r e s a s p e c i f i c s i t e t o be k ept from d e v e l o p m e n t t o a c h i e v e o b j e c t i v e s s u c h as p r e s e r v a t i o n of h e r i t a g e b u i l d i n g s or p r o t e c t i o n of e n v i r o n m e n t a l l y s e n s i t i v e s i t e s , a p o l i c y t o p e r m i t d e n s i t y t r a n s f e r s would e n c o u r a g e t h e i r a c h i e v e m e n t . 83 (3) F i n a l l y , d e n s i t y t r a n s f e r s can be a p o s i t i v e , g r o w t h d i r e c t i n g mechanism w h i c h enhance f l e x i b i l i t y i n l a n d use c o n t r o l but m a i n t a i n some e l e m e n t of p r e d i c t a b i l i t y . The c o n c e p t i s t h u s s u i t e d t o e n c o u r a g i n g mixed u s e s by a l l o w i n g them t o be d e v e l o p e d on p h y s i c a l l y s e p a r a t e s i t e s or m a i n t a i n i n g s m a l l b u i l d i n g s t o p r o v i d e v a r i e t y i n s c a l e . 84 BIBLIOGRAPHY 1. 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"A P r o p o s a l f o r t h e S e p a r a t i o n and M a r k e t a b i l i t y of Development R i g h t s as a T e c h n i q u e t o 92 P r e s e r v e Open S p a c e . " R e a l E s t a t e Law J o u r n a l 2, W i n t e r 1974, pp. 635-663. 108. Rose, Jerome G. ( e d i t o r ) . The T r a n s f e r o f Development  R i g h t s : A New T e c h n i q u e o f L a n d Use R e g u l a t i o n . New B r u n s w i c k , N . J . : C e n t e r o f Urban P o l i c y R e s e a r c h , R u t g e r s U n i v e r s i t y , 1975. 109. Rose, Jerome G. L e g a l F o u n d a t i o n s of Land Use P l a n n i n g . New B r u n s w i c k , N . J . : C e n t r e of Urban P o l i c y R e s e a r c h , R u t g e r s U n i v e r s i t y , 1979. 110. R o s s , John M. "Land Use C o n t r o l i n M e t r o p o l i t a n A r e a s : t h e F a i l u r e of Z o n i n g and a P r o p o s e d A l t e r n a t i v e . " S o u t h e r n C a l i f o r n i a Law R eview. 45, 1972, pp.335-364. 111. Rudner, R i c h a r d . P h i l o s o p h y of S o c i a l S c i e n c e . Englewood C l i f f s , N . J . : P r e n t i c e - H a l l , I n c . , 1966. 112. Ryan, A l a n . The P h i l o s o p h y of t h e S o c i a l S c i e n c e s London: The M a c m i l l a n P r e s s , 1970. 113. Schnidman, F r a n k . "TDR: A T o o l f o r More E q u i t a b l e Land Management?" E n v i r o n m e n t a l Comment. 1976, pp.12-14. 114. Schnidman, F r a n k . " T r a n s f e r of Development R i g h t s : Q u e s t i o n s and B i b l i o g r a p h y . " Management and C o n t r o l of  Growth. Volume 3. R a n d a l l W. S c o t t ( e d i t o r ) . W a s h i n g t o n , D . C : Urban L a n d I n s t i t u t e , 1975, pp. 127-1 34. 115. Schnidman, F r a n k . " T r a n s f e r of Development R i g h t s " C h a p t e r 23, W i n d f a l l s f o r Wipe O u t s . D. Hagman and D. M i s c z y n i s k i ( e d i t o r s ) . C h i c a g o : ASPO, 1978, pp. 532-660. 116. Schnidman, F r a n k . " S e l l i n g A i r R i g h t s o v e r P u b l i c P r o p e r t y . " Urban L a n d 40, No.10, Nov. 1981, pp.3-9. 117. S h a p i r o , R o n a l d M. "The C ase f o r C o n d i t i o n a l Z o n i n g . " Temple Law Q u a r t e r l y . 41, No. 3, 1968, pp. 267-287. 118. S h l a e s , J a r e d B. "Who Pays f o r T r a n s f e r o f D e velopment R i g h t s ? " P l a n n i n g . 40, J u l y 1974, pp.7-9. 119. S h l a e s , J a r e d B. "The E c o n o m i c s of Devleopment R i g h t s T r a n s f e r s . " A p p r a i s a l J o u r n a l . O c t o b e r 1974. 120.. S i e g a n , B e r n a r d H. Land Use W i t h o u t Z o n i n g . L e x i n g t o n , Mass.: D.C.Heath & Co., 1972. 121. S t e i n , L e s l i e A. "The M u n i c i p a l Power t o Zone i n Canada and t h e U n i t e d S t a t e s : A C o m p a r a t i v e S t u d y . " XLIX  C a n a d i a n Bar Review. December 1971, pp. 534-556. 93 122. S v i r s k y , P e t e r J . "San F r a n c i s c o - t h e Downtown Development Bonus System." The New Z o n i n g : L e g a l ,  A d m i n i s t r a t i v e and Economic C o n c e p t s and T e c h n i q u e s . N. Marcus and M. G r o v e ( e d i t o r s ) . New Y o r k : P r a e g e r , 1970. 123. T a r l a c k , A. Dan. "Toward a R e v i s e d T h e o r y of Z o n i n g " Land Use C o n t r o l s A n n u a l . 1972, pp.141-152. 124. T a r l a c k , A. Dan. " C o n s i s t e n c y w i t h A d o p t e d L a n d Use P l a n s as a S t a n d a r d of J u d i c i a l Review: The Case A g a i n s t . " Urban Law A n n u a l . 9, 1975, pp.69-109. 125. U n i t e d S t a t e s Department of Commerce, The P r e p a r a t i o n of  Z o n i n g O r d i n a n c e s : A G u i d e f o r M u n i c i p a l O f f i c i a l s and  O t h e r s i n t h e A r r a n g e m e n t of P r o v i s i o n s i n Z o n i n g  R e q u l a t i o n s . W a s h i n g t o n : U.S.Government P r i n t i n g O f f i c e , 1 931 126. C i t y of V a n c o u v e r . " H e r i t a g e B u i l d i n g s and Economic C o m p e n s a t i o n . " U n p u b l i s h e d r e p o r t t o V a n c o u v e r C i t y C o u n c i l , J a n u a r y , 1977. 127. Whyte, W i l l i a m . "How t o Make Midtown L i v a b l e . " New Y o r k . March 9, 1981. 128. Wickersham, K i r k J r . "Reform of D i s c r e t i o n a r y L a n d Use D e c i s i o n M a k i n g - P o i n t Systems and Beyond." 1981 Z o n i n g  and P l a n n i n g Law Handbook. F r e d A. Strom ( e d i t o r ) . New Y o r k : C l a r k Boardman Co. L t d . , 1981. 129. W i l l i a m s , Norman J . The S t r u c t u r e of Urban Z o n i n g and i t s  Dynamics i n Urban P l a n n i n g and D e v e l o p m e n t . New Y o r k : B u t t e n h e i m P u b l i s h i n g C o r p o r a t i o n , 1966. 130. W i l l i a m s , Norman J . "The F u t u r e of Land Use C o n t r o l s . " F u t u r e L a n d Use. R. B u r c h e l l and D. L i s t o k i n ( e d i t o r s ) . New B r u n s w i c k , N . J . : C e n t e r f o r Urban P o l i c y R e s e a r c h , R u t g e r s U n i v e r s i t y , 1975. 131. Wolfram, G a r y . "The S a l e of Development R i g h t s and Z o n i n g i n t h e P r e s e r v a t i o n of Open S p a c e : L i n d a h l E q u i l i b i u m and a Case S t u d y . " Land E c o n o m i c s 57, no.3, 1981, pp.398-413 132. Woodbury, S t e v e n R. " T r a n s f e r of Development R i g h t s : A New T o o l f o r P l a n n e r s . " J o u r n a l of t h e A m e r i c a n I n s t i t u t e  of P l a n n e r s . V o l . 4 1 , J a n u a r y 1975, pp. 3-14. 94 APPENDIX A - A DOCUMENTATION OF DENSITY TRANSFER PROGRAMS AND PROPOSALS A. UNITED STATES K_ CITY OF NEW YORK, NEW YORK Program O b j e c t i v e : H i s t o r i c P r e s e r v a t i o n D e s c r i p t i o n : 1961: In a major r e v i s i o n o f t h e C i t y ' s Z o n i n g By-law, t r a n s f e r of d e v e l o p m e n t r i g h t s between c o n t i g u o u s b u i l d i n g s i t e s h e l d i n common o w n e r s h i p i s p e r m i t t e d . 1968: An amendment o t t h e z o n i n g by-law was a d o p t e d t o p e r m i t t r a n s f e r s t o a d j a c e n t p r o p e r t i e s , a l l o w i n g l o t s t o be s e p a r a t e d by a s t r e e t o r s t r e e t i n t e r s e c t i o n . A l i m i t of 20% a d d i t i o n a l f l o o r a r e a s was imposed on r e c e i v i n g l o t s . 1969: E x p a n s i o n of t h e 1968 amendment t o a l l o w a l i n k i n g o f t r a c t s , a l l i n t h e same o w n e r s h i p , o v e r more t h a n one s t r e e t ; t h e 20% o v e r a g e maximum on r e c e i v i n g l o t s was removed i n t h e C e n t r a l B u s i n e s s D i s t r i c t . E xamples o f T r a n s f e r s : a) G r a n d C e n t r a l R a i l w a y S t a t i o n 1 In 1967 t h e L a n d m a r k . P r e s e r v a t i o n C ommission d e s i g n a t e d t h e T e r m i n a l as a landmark. I t s owners, Penn C e n t r a l , d i d not o b j e c t t o t h e d e s i g n a t i o n but d i d w i s h t o t a k e a d v a n t a g e of t h e s i t e ' s c o n s i d e r a b l e unused f l o o r a r e a . They p r o p o s e d t o b u i l d an o f f i c e s t r u c t u r e w h i c h would r e s t on t h e T e r m i n a l ' s r o o f , a p l a n d e n i e d by t h e Landmark Commission due t o i t s n e g a t i v e e x t e r i o r e f f e c t and i n a p p r o p r i a t e n e s s . To p r o v i d e a d d i t i o n a l c o m p e n s a t i o n , th e C i t y a d o p t e d i t s 1969 z o n i n g by-law amendment. Penn C e n t r a l o p p o s e d t h e C i t y ' s a c t i o n i n t h e C o u r t s . The t r i a l c o u r t f o u n d t h e r e s t r i c t i o n u n c o n s t i t u t i o n a l ; t h e New Y ork Supreme C o u r t r e v e r s e d ; t h e C o u r t of A p p e a l s u p h e l d t h e S t a t e C o u r t ' s f i n d i n g s ; t h e U n i t e d S t a t e s Supreme C o u r t a g r e e d . " H e l d : P l a i n t i f f ' s p r o p e r t y was not t a k e n c o n s t i t u t i o n a l l y b e c a u s e t h e combined e f f e c t of t h e r e s t r i c t i o n s and t h e a l l o w e d t r a n s f e r of unused d e v e l o p m e n t r i g h t s p e r m i t t e d t h e owner a r e a s o n a b l e b e n e f i c i a l use of i t s p r o p e r t y . " 2 1 See e s p e c i a l l y D o u g l a s L. B a t e y , " H i s t o r i c P r e s e r v a t i o n -T r a n s f e r a b l e Development R i g h t s as M i t i g a t i o n R a t h e r t h a n J u s t C o m p e n s a t i o n - Penn C e n t r a l T r a n s p o r t a t i o n Co.v.New York C i t y " W a s h i n g t o n Law Review, 54,1979 2 D o u g l a s L. B a t e y , i b i d , p.728 95 S i n c e t h e Supreme C o u r t ' s d e c i s i o n one s a l e o f a p o r t i o n of t h e T e r m i n a l ' s d e v e l o p m e n t r i g h t s has been n e g o t i a t e d , r e s u l t i n g i n an a d d i t i o n a l t h r e e and o n e - h a l f f l o o r s t o an a d j a c e n t o f f i c e b u i l d i n g . b) A R e s i d e n c e In 1972 a s m a l l Greek r e v i v a l landmark r e s i d e n c e t r a n s f e r r e d i t s unused s p a c e t o an a d j a c e n t s i t e . A t r u s t f u n d was s e t up f o r i t s m a i n t e n a n c e . c ) The F e d e r a l R e s e r v e Bank and F i r s t M e t h o d i s t C h u r c h A new F e d e r a l R e s e r v e Bank was c o n s t r u c t e d f o l l o w i n g a p p r o v a l i n 1971 a l l o w i n g t h e s t r u c t u r e t o be augmented by t h e u nused d e v e l o p m e n t r i g h t s of t h e c o n t i g u o u s landmark Bank and t h e C h u r c h l o c a t e d a c r o s s t h e s t r e e t . d) S o u t h S t r e e t S e a p o r t . In 1972 a z o n i n g by-law amendment was p a s s e d t o p e r m i t an a r e a - w i d e TDR scheme f o r a w a t e r f r o n t d i s t r i c t i n l o w e r M a n h a t t e n , t h e S o u t h S t r e e t S e a p o r t a r e a . The f i v e b l o c k d i s t r i c t was t o be r e t a i n e d as a l i v i n g museum t h r o u g h t r a n s f e r of d e v e l o p m e n t r i g h t s t o d e s i g n a t e d r e c e i v i n g l o t s l o c a t e d a d j a c e n t t o t h e d i s t r i c t . A p r i v a t e "middleman bank" a c q u i r e d t h e r i g h t s t o be s o l d t o r e c e i v i n g l o t s . To mid 1980 one s a l e has been c o m p l e t e d w i t h t h e bank n e g o t i a t i n g w i t h a d e v e l o p e r f o r t h e s a l e o f t h e r i g h t s t o 300,000 s q u a r e f e e t . The f u n d s from t h e s a l e w i l l be put t o w a r d s t h e museum's e x p e n s e s . e) The A p p e l l a t e D i v i s i o n C o u r t House. In 1969 a b u i l d e r p u r c h a s e d 100,000 s q u a r e f e e t of unused s p a c e from an a d j a c e n t C i t y - o w n e d landmark, t h e A p p e l l a t e D i v i s i o n C o u r t House. Due t o t h e P l a n n i n g C o m m i s s i o n ' s c o n c e r n a b o u t p u b l i c i n v o l v e m e n t i n TDR, an amendment was p a s s e d t o p r o h i b i t any f u t u r e t r a n s a c t i o n s i n v o l v i n g p u b l i c p r o p e r t y u n l e s s t h e r e c i p i e n t p r o v i d e d major improvements i n t h e t r a n s p o r t a t i o n s y s t e m . Examples o f P r o p o s a l s a) Amster Y a r d In 1970 t h e C i t y a p p r o v e d t h e t r a n s f e r o f u n u s e d d e v e l o p m e n t r i g h t s from Amster Y a r d , a p r i v a t e l y owned s e r i e s of r e s i d e n c e s , t o t h e d e v e l o p e r s of an o f f i c e b u i l d i n g on a c o n t i g u o u s p a r c e l . A $100,000 t r u s t f u n d was e s t a b l i s h e d t o m a i n t a i n t h e h i s t o r i c s t r u c t u r e s . U n f o r t u n a t e l y , t h e t r a n s a c t i o n was not c o m p l e t e d b e c a u s e t h e market f o r o f f i c e s p a c e f e l l . I t has s i n c e been r e v i v e d i n a new p r o p o s a l . 96 b) Tudor P a r k s 1 The Tudor C i t y complex, a p l a n n e d r e s i d e n t i a l community o f 8000, i n c l u d e s two p r i v a t e l y owned p a r k s . In 1976 t h e owners of th e p r o p e r t y p r o p o s e d t o t r a n s f e r t h e r i g h t s t o d e v e l o p t h e p r o p e r t i e s t o a p l a t f o r m o v e r a major s t r e e t o r , i f p e r m i s s i o n was not g r a n t e d , d e v e l o p t h e p a r k s t o t h e i r z o ned p o t e n t i a l of an FAR of 10. The C i t y , o pposed t o b o t h o p t i o n s , zoned t h e p a r k s f o r p u b l i c use and a u t h o r i z e d t h e t r a n s f e r o f d e v e l o p m e n t r i g h t s from t h e p a r k s t o s i t e s i n a n o n - c o n t i g u o u s c o m m e r c i a l a r e a . In c o u r t a c t i o n c o n t e s t i n g t h e C i t y ' s r e g u l a t i o n t h e New York C o u r t of a p p e a l s h e l d t h a t " t h e r e z o n i n g o f b u i l d a b l e p r i v a t e p a r k s e x c l u s i v e l y as p a r k s open t o t h e p u b l i c was an u n c o n s t i t u t i o n a l d e p r i v a t i o n of p r o p e r t y r i g h t s w i t h o u t due p r o c e s s o f law." R a t h e r t h a n v i e w i n g t h e t r a n s f e r p r o v i s i o n a s c o m p e n s a t i o n , t h e i s s u e r e v o l v e d a r o u n d t h e e x i s t i n g p r o p e r t y r i g h t s and whether t h e i r v a l u e was p r e s e r v e d . c) The " B r o w n s t o n e s " T h i s p r o p o s a l from t h e C i t y was s t o p p e d by n e i g h b o u r h o o d o p p o s i t i o n known as t h e " B a t t l e of t h e B r o w n s t o n e s " . The p r o p o s a l from t h e P l a n n i n g Commission was t o a l l o w r e s i d e n t i a l b u i l d i n g s of g r e a t e r h e i g h t and b u l k on major a v e n u e s i n r e t u r n f o r l o w e r d e n s i t i e s i n t h e s i d e b l o c k s . The r e s i d e n t s t h o u g h t t h a t t h e t a l l e r b u i l d i n g s would b l o c k out l i g h t and a i r from t h e m i d d l e of t h e b l o c k d e s t r o y i n g t h e a e s t h e t i c v a l u e of t h e p r e s e r v e d d i s t r i c t . d) S t a t e n I s l a n d G r e e n b e l t TDR was s u g g e s t e d f o r t h e l a r g e n a t u r a l a r e a s as a way t o p r e v e n t d e v e l o p m e n t . I t was r e j e c t e d s i n c e t h e r e was no l o c a t i o n t h e d e v e l o p m e n t r i g h t s c o u l d be r e l o c a t e d w i t h o u t a d v e r s e e f f e c t . The s o l u t i o n a d o p t e d was f o r s p e c i a l d i s t r i c t z o n i n g , mandatory s u b d i v i s i o n r e v i e w , and m i n i m i z i n g d i s t u r b a n c e i n d e v e l o p m e n t . WASHINGTON, D. C^ Program O b j e c t i v e : H e r i t a g e P r e s e r v a t i o n Example o f T r a n s f e r : H e u r i c h M a n s i o n In 1974 t h e owners of the H e u r i c h M a n s i o n s o l d i t s unused 1 See e s p e c i a l l y K e n n e t h B a r n h a r t , " T a k i n g , TDR, and t h e Tudor C i t y P a r k s : F r e d F. F r e n c h I n v e s t i n g C o . v . C i t y of New Y o r k . " Urban Law A n n u a l , 14, 1977. 97 r i g h t s t o an a d j a c e n t p r o p e r t y w h i c h was t o be r e d e v e l o p e d w i t h an o f f i c e b u i l d i n g . The Z o n i n g Commission a p p r o v e d t h e t r a n s f e r by u t i l i z i n g t h e p r o v i s i o n s f o r p l a n n e d u n i t d e v e l o p m e n t s i n t h e z o n i n g b y - l a w . A s u i t was f i l e d a g a i n s t t h e a p p r o v a l by n e i g h b o u r s o p p o s e d t o t h e o f f i c e s t r u c u t r e , b u t i n 1976 t h e C o m m i s s i o n ' s a c t i o n was u p h e l d by t h e D.C. C o u r t of A p p e a l s . The t r a n s f e r t h e n p r o c e e d e d as a g r e e d upon. The u l t i m a t e e f f e c t o f t h e l e g a l a c t i o n was t o p r e v e n t any o t h e r p r o p e r t y owners from i n v e s t i g a t i n g t h e p o s s i b i l i t i e s f o r p r e s e r v a t i o n of o t h e r h e r i t a g e b u i l d i n g s i n a s i m i l a r manner. Example o f P r o p o s a l : Georgetown W a t e r f r o n t B e g i n n i n g i n 1971 e f f o r t was d i r e c t e d t o w a r d s p r e s e r v i n g G eorgetown W a t e r f r o n t t h r o u g h t r a n s f e r of d e v e l o p m e n t r i g h t s t o r e c e i v i n g a r e a s a d j a c e n t t o p r o p o s e d subway s t a t i o n s . D e v e lopment w i t h i n t h e Georgetown D i s t r i c t was not t o be p r o h i b i t e d but was c o n s t r a i n e d by t h e c a p a c i t y of t h e a r e a t o a c c e p t a d d i t i o n a l t r a f f i c . A complex f o r m u l a f o r c a l c u l a t i o n of d e v e l o p m e n t r i g h t s was s u g g e s t e d b a s e d on t h e t r a f f i c g e n e r a t i o n of t h e p r o p o s e d u s e . The p r o p o s a l was not a c t e d upon by W a s h i n g t o n . 3^ CITY OF CHICAGO P r o p o s a l O b j e c t i v e : H i s t o r i c P r e s e r v a t i o n D e s c r i p t i o n The p r o p o s a l f o r t r a n s f e r o f d e v e l o p m e n t r i g h t s i n C h i c a g o was f i r s t a d v a n c e d i n 1971 by a law p r o f e s s o r , John C o s t o n i s i n a s s o c i a t i o n w i t h a r e a l e s t a t e c o n s u l t a n t , J a r e d S h l a e s . A l t h o u g h i t has r e c e i v e d e x t e n s i v e r e f e r e n c e i n t h e l i t e r a t u r e and has been a b l y d e f e n d e d by C o s t o n i s i n t h e p a s t d e c a d e , i t has y e t t o be i m p l e m e n t e d 1 The P l a n f e a t u r e d t h e c r e a t i o n o f a C i t y - o w n e d d e v e l o p m e n t r i g h t s bank t o r e c e i v e d o n a t i o n s o f f l o o r s p a c e r i g h t s , p u r c h a s e r i g h t s above t h r e a t e n e d b u i l d i n g s , and s e l l r i g h t s . I t took an a r e a - w i d e a p p r o a c h by a l l o w i n g t r a n s f e r s anywhere w i t h i n t h e same e s t a b l i s h e d t r a n s f e r d i s t r i c t as t h e landmark was l o c a t e d . T r a n s f e r s were t o measured i n t e r m s o f l o t a r e a , s i n c e c a l u c u l a t i n g t h e p e r m i t t e d FAR was c o m p l i c a t e d due t o b o n u s i n g . I t was h e l d t h a t t h e t o t a l t r a n s f e r a b l e d e n s i t y w i t h i n a d i s t r i c t was l i k e l y not t o have s i g n i f i c a n t impact b e c a u s e t h e amount of t r a n s f e r a b l e f l o o r s p a c e would not be l a r g e . 1 Space A d r i f t i n c o r p o r a t e s t h e r e s u l t s of s c r u t i n y by s p e c i a l i s t s i n r e a l e s t a t e and u r b a n d e s i g n . 98 T h e r e a r e s e v e r a l p o s s i b l e e x p l a n a t i o n s f o r t h e P l a n ' s l a c k of a c c e p t a n c e . The most l i k e l y e x p l a n a t i o n i s t h a t bonus z o n i n g e l s e w h e r e i n t h e C i t y a l l o w s for- b u i l d i n g s l i m i t e d i n s i z e o n l y by t e c h n o l o g y and f e d e r a l a v i a t i o n r e g u l a t i o n s , r a t h e r t h a n z o n i n g l i m i t s , i n d i c a t i n g C h i c a g o ' s p r o - d e v e l o p m e n t s t a n c e . W i t h o u t a l i m i t imposed on d e v e l o p m e n t d e v e l o p e r s a r e l e s s l i k e l y t o f i n d a p u r c h a s e of d e v e l o p m e n t r i g h t s would be f i n a n c i a l l y a d v a n t a g e o u s . The p l a n has been c r i t i c i s e d as not o n l y b e i n g f i n a n c i a l l y u n w o r k a b l e but bad f o r u r b a n p l a n n i n g and d e s i g n , i n e q u i t a b l e i n i t s i m p a c t , and l e g a l l y o b j e c t i o n a b l e . T h ese a r e c o n t r o v e r s i a l a s p e c t s , f o r a t t h e same t i m e C h i c a g o i s l o s i n g i r r e p l a c e a b l e h e r i t a g e b u i l d i n g s . 4_;_ SAN FRANCISCO, CALIFORNIA Program O b j e c t i v e : Urban D e s i g n D e s c r i p t i o n TDR i n San F r a n c i s c o i s i n t e n d e d t o a c h i e v e two o b j e c t i v e s : r e t e n t i o n of landmark s t r u c t u r e s and r e t e n t i o n of l o w e r b u i l d i n g s , a p r o v i s i o n i n c l u d e d t o h e l p d i v e r s i f y t h e s k y l i n e and i n c r e a s e l i g h t and a i r i n t h e c e n t r a l b u s i n e s s d i s t r i c t . The d e v i s e g i v e s g r e a t e r f l e x i b i l i t y i n d e v e l o p m e n t of a b l o c k by a l l o w i n g some o l d e r s m a l l b u i l d i n g s t o be r e t a i n e d s o l v i n g some o f t h e p r o b l e m s of p a r c e l s i s o l a t e d b e h i n d a l l e y s . A number of l i m i t a t i o n s were imposed: a l l o w a b l e t r a n s f e r s were l i m i t e d t o one h a l f t h e f l o o r a r e a of t h e l o t t r a n s f e r r e d from; t h e p r i v i l e g e was c o n f i n e d t o t h e o f f i c e d i s t r i c t ; t r a n s f e r of b o n u s e s was p r o h i b i t e d ; and n o t i c e of t r a n s f e r s was r e q u i r e d t o p l a c e d on t h e l a n d r e c o r d s . TDR has p r o v e d t o be l e s s e f f e c t i v e t h a n a n t i c i p a t e d . D e v e l o p e r s have not u n d e r s t o o d i t p a r t i c u l a r l y w e l l and c o u l d a q u i r e s u f f i c i e n t f l o o r s p a c e t h r o u g h b o n u s i n g w i t h o u t need f o r a d d i t i o n a l s p a c e . 5^ COLLIER COUNTY, FLORIDA ( P o p u l a t i o n 52,000) Program O b j e c t i v e : E n v i r o n m e n t a l P r o t e c t i o n D e s c r i p t i o n C o n c e r n f o r e n v i r o n m e n t a l l y s e n s i t i v e w e t l a n d s r e s u l t e d i n the C o u n t y ' s TDR program. S e n s i t i v e a r e a s were d e s i g n a t e d as " S p e c i a l T r e a t m e n t " (ST) a r e a s w h i c h c o u l d n o t be a l t e r e d u n l e s s p r o o f no e c o l o g i c a l damage would o c c u r was s u b m i t t e d . I f damage was l i k e l y t h e owner c o u l d e l e c t t o d e v e l o p c o n t i g u o u s non.-ST p r o p e r t i e s t h r o u g h t r a n s f e r of p e r m i t t e d r e s i d e n t i a l d e n s i t i e s . One n o t a b l e outcome o f t h e d e s i g n a t i o n o f as ST l a n d s was a r e d u c t i o n i n t h e C o u n t y ' s t a x base of $45 M i l l i o n . E xamples o f T r a n s f e r s 99 One, p r e s e r v i n g 122 a c r e s t h r o u g h d e v e l o p m e n t of an a d d i t i o n a l 379 u n i t s . 6^ ST. GEORGE, VERMONT ( P o p u l a t i o n 500) Program O b j e c t i v e : Growth Management • D e s c r i p t i o n The V i l l a g e d e v e l o p e d t h e i r TDR scheme i n an e f f o r t t o c r e a t e a town c e n t r e and e n c o u r a g e c o n c e n t r a t e d u r b a n g r o w t h , p r e s e r v i n g t h e r u r a l c h a r a c t e r o f t h e a r e a . Examples of T r a n s f e r s One, t r a n s f e r r i n g 18 d e v e l o p m e n t r i g h t s from 36 u n d e v e l o p e d a c r e s . SOUTHAMPTON TOWNSHIP, NEW YORK ( P o p u l a t i o n 45,000) Program O b j e c t i v e : P r e s e r v a t i o n o f a q u i f e r r e c h a r g e a r e a s , t i d a l w e t l a n d s , and g r e e n b e l t s . D e s c r i p t i o n Land owners may t r a n s f e r d e v e l o p m e n t r i g h t s w i t h i n t h e same s c h o o l d i s t r i c t t o a c h i e v e t h e program's o b j e c t i v e s P r e s e r v a t i o n and t r a n s f e r a r e a s a r e not p r e d e s i g n a t e d . Once d e v e l o p m e n t r i g h t s a r e t r a n s f e r r e d t h e p r e s e r v e d p a r c e l must be deeded t o th e t o w n s h i p . In 1980 t h e T o w n s h i p a l s o a u t h o r i z e d $6 M i l l i o n t o p u r c h a s e d e v e l o p m e n t r i g h t s . E xamples of T r a n s f e r s One, a t r a n s f e r f r o m a 36 a c r e r e c h a r g e a r e a t o a n e a r b y p a r c e l . 8. MONTGOMERY COUNTY, MARYLAND Program O b j e c t i v e : P r e s e r v e F a r m l a n d The TDR s y s t e m d e v e l o p e d u t i l i z e s two z o n e s . One, a t r a n s f e r zone e s t a b l i s h i n g a p r e f e r e n t i a l a g r i c u l t u r e a r e a by a l l o w i n g one u n i t p e r 25 a c r e s but z o n i n g one u n i t p e r 5 a c r e s , c r e a t i n g 4 u n i t s f o r t r a n s f e r t o t h e d e s i g n a t e d r e c e i v e r z one. The o t h e r zone i s a c l u s t e r one where s u b d i v i s i o n a c t i v i t y has t a k e n p l a c e . I t p e r m i t s one u n i t f o r e v e r y f i v e a c r e s t o be c l u s t e r e d on one a c r e p a r c e l s . 9^ CHESTERFIELD, NEW JERSEY ( P o p u l a t i o n 4000) Program O b j e c t i v e : P r e s e r v e F a r m l a n d 100 D e s c r i p t i o n The t r a n s f e r of d e v e l o p m e n t c r e d i t s program a d o p t e d a l l o w s an exchange of d e v e l o p m e n t from a g r i c u l t u r a l l a n d s t o a n o t h e r p r o p e r t y . The t e r m " c r e d i t s " i s u s e d b e c a u s e New J e r s e y does not have TDR e n a b l i n g l e g i s l a t i o n . T h e i r use i s r e s t r i c t e d t o t r a n s f e r s between p a r c e l s under common o w n e r s h i p . Examples o f T r a n s f e r s A d e v e l o p e r who had i n t e n d e d t o d e v e l o p a 608 a c r e t r a c t a t th e b a s e l e v e l d e n s i t y of one u n i t p e r a c r e a g r e e d t o d o u b l e t h e d e n s i t y u s i n g t r a n s f e r r e d c r e d i t s f r o m o t h e r l a n d he owned. 10. HILLSBOROUGH, NEW JERSEY ( P o p u l a t i o n 19,000) Program O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n The p rogram a l l o w s a s h i f t i n g t h e t h e number of u n i t s w h i c h c o u l d be o b t a i n e d on a g r i c u l t u r a l l a n d s t o a d e s i g n a t e d d e v e l o p m e n t d i s t r i c t . The p r e s e r v e d p a r c e l s must be d e d i c a t e d t o t h e m u n i c i p a l i t y . Examples of T r a n s f e r s A 70 a c r e f a r m l a n d p a r c e l was d e d i c a t e d i n exchange f o r an i n c r e a s e i n d e n s i t y i n a townhouse p r o j e c t . 11. BUCKINGHAM TOWNSHIP, PENNSYLVANIA Program O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n TDR was i n c o r p o r a t e d i n t h e l o c a l z o n i n g by-law i n 1974. R i g h t s f r o m a 12,000 a c r e a g r i c u l t u r a l zone, a t one r i g h t p e r a c r e , may be t r a n s f e r r e d t o a 2,500 a c r e d e v e l o p m e n t z o n e . Examples of T r a n s f e r s A s m a l l number of t r a n s f e r s have p r e s e r v e d a l i m i t e d amount of a g r i c u l t u r a l l a n d s t h r o u g h t h e e r e c t i o n of an a d d i t i o n a l 24 townhouse u n i t s . 12. BIRMINGHAM, PENNSYLVANIA ( P o p u l a t i o n 834) Program O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n A 1977 z o n i n g o r d i n a n c e amendment d e f i n e d two d e v e l o p m e n t d i s t r i c t s and one t r a n s f e r d i s t r i c t . R i g h t s must r e m a i n 101 a t t a c h e d t o t h e l a n d . E xamples of T r a n s f e r s None. 13. WINDSOR, CONNECTICUT ( P o p u l a t i o n 25,000) Program O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n W i n d s o r ' s sytem i s one p e r m i t t i n g t r a n s f e r of r e s i d e n t i a l d e n s i t y . I f a p a r c e l q u a l i f i e s as s u i t a b l e f o r p r e s e r v a t i o n t h r o u g h TDR by b e i n g d e v e l o p a b l e , t h e n a t r a n s f e r o f t h e number of u n i t s t i m e s t h e d e n s i t y p e r a c r e may be p e r m i t t e d . The p a r c e l must be d e d i c a t e d t o t h e town. Examples o f T r a n s f e r s None. 14. UPPER MAKEFIELD, PENNSYLVANIA ( P o p u l a t i o n 3,000) Program O b j e c t i v e : M a i n t a i n R u r a l C h a r a c t e r D e s c r i p t i o n M a k e f i e l d ' s TDR o r d i n a n c e s t i p u l a t e s t han any owner of l a n d has a s p e c i f i c number of p o i n t s . T h e s e may be bought and s o l d t o o t h e r p r o p e r t y owners u s i n g a model s a l e s c o n t r a c t f r o m w h i c h t h e t o w n s h i p becomes a t h i r d p a r t y . H a v i n g a c q u i r e d d e v e l o p m e n t p o i n t s p e r m i t s t h e d e v e l o p e r t o r e d u c e l o t s i z e by a t h i r d . E x amples of T r a n s f e r s D e s p i t e an e l e g a n t p rogram, none. 15. ST. PETERSBURG, FLORIDA Program O b j e c t i v e : Urban Land T r a n s f e r s D e s c r i p t i o n Not a v a i l a b l e 16. SUFFOLK COUNTY, NEW YORK Program O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n A p u r c h a s e of d e v e l o p m e n t r i g h t s p r o g ram b a s e d on a $21 m i l l i o n bond was a d o p t e d i n 1976 w i t h p r o v i s i o n f o r e v e n t u a l l y 1 02 s e l l i n g t h e a c q u i r e d r i g h t s i n g r o w t h a r e a s . Examples of T r a n s f e r s 3,214 a c r e s a r e c u r r e n t l y (1981) under easement. 17. KING COUNTY, WASHINGTON Program (PDR) O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n In 1979 a $50 m i l l i o n bond f o r p u r c h a s e of l a n d s o f f e r e d v o l u n t a r i l y f o r s a l e was a p p r o v e d . I t e s t a b l i s h e d t h r e e p r i o r i t y l e v e l s f o r p u r c h a s e s : (1) h o r t i c u l t u r a l l a n d s and open s p a c e i n t h r e e t h r e a t e n e d a r e a s ; ( 2 ) l a n d s i n a c t i v e f a r m i n g a r e a s of o v e r t e n a c r e s ; and (3) o t h e r f a r m l a n d s . 18. FAIRFAX COUNTY, VIRGINIA P r o p o s a l O b j e c t i v e : R e p l a c e Z o n i n g D e s c r i p t i o n Moore's p r o p o s a l r e s t s on f i v e p r i n c i p l e s : s e p a r a t i o n of l a n d and l a n d use f o r r e g u l a t i o n ; e q u a l c o m p e n s a t i o n f o r d e v e l o p m e n t p o t e n t i a l a t no p u b l i c c o s t ; f a i r market t a x a t i o n ; s a v i n g s on l a n d f o r p u b l i c u s e ; no z o n i n g h e a r i n g s . TDR was p r o p o s e d t o s e r v e t h e s e p r i n c i p l e s , s i n c e z o n i n g was not seen as a v a l i d t o o l f o r l a n d use p l a n n i n g . 19. MARIN COUNTY, CALIFORNIA P r o p o s a l O b j e c t i v e : P r e s e r v e F a r m l a n d s and Open Space D e s c r i p t i o n The p r o p o s a l was a complex one i n v o l v i n g v o l u n t a r y p r e s e r v a t i o n d i s t r i c t s , r e c e i v e r ' d i s t r i c t s i d e n t i f i e d by o v e r l a y z o n e s which p e r m i t h i g h e r d e n s i t i e s i n s i n g l e f a m i l y a r e a s when de v e l o p m e n t r i g h t s a r e p u r c h a s e d , and a w i n d f a l l t a x on any r e z o n i n g s . The p r o p o s a l was made i n a c c o r d a n c e w i t h a c o m p r e h e n s i v e p l a n b e i n g d e v e l o p e d f o r t h e C o u n t y . 20. SONOMA COUNTY, CALIFORNIA P r o p o s a l O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n S i m i l a r t o Buckingham T o w n s h i p , P e n n s y l v a n i a . 21. A COLORADO COUNTY P r o p o s a l O b j e c t i v e : Improved P l a n n i n g C o n t r o l D e s c r i p t i o n 103 C a r m i c h a e l p r o p o s e d a s y s t e m b a s e d on an i n t e r e s t i n McHarg's a n a l y t i c mapping t e c h n i q u e s , a c o n v i c t i o n t h a t m a s s i v e w i n d f a l l s / w i p e o u t s s h o u l d not o c c u r , and a f a i t h i n p l a n n n i n g ' s a b i l i t y t o d e a l w i t h t h e d i f f i c u l t p r o b l e m s . He a r g u e s f o r a mandatory s y s t e m , p h a s e d a l l o c a t i o n of r i g h t s , and d i s t r i b u t i o n b a s e d p a r t i a l l y on l a n d v a l u e and d e v e l o p m e n t c a p a c i t y . 22. THE STATE OF MASSACHUSETTS Program (PDR) O b j e c t i v e : P r e s e r v e F a r m l a n d D e s c r i p t i o n In 1977 a S t a t e b i l l p a s s e d e s t a b l i s h i n g a $15 m i l l i o n p i l o t p r o g r a m f o r p u r c h a s e of d e v e l o p m e n t r i g h t s of a g r i c u l t u r a l l a n d . 1349 a c r e s (1981) a r e under easement. 23. THE STATE OF MARYLAND P r o p o s a l (TDR) and Program (PDR) O b j e c t i v e : P r e s e r v e Open Space D e s c r i p t i o n The p r i n c i p a l of a p r o p o s a l from a S e n a t o r was, "The l e s s s p r a w l i n g t h e d e v e l o p m e n t , and t h e r e f o r e t h e more e c o l o g i c a l , t h e fewer r i g h t s p e r u n i t would be r e q u i r e d . " To d e v e l o p a d e v e l o p e r would be r e q u i r e d t o p o s s e s s a p r e d e t e r m i n e d number of r i g h t s f o r t h e p r o p o s e d u s e . R i g h t s were a s s i g n e d b a s e d on a c r e a g e , a s s e s s e d v a l u e , s u i t a b i l i t y o f l a n d f o r d e v e l o p m e n t , owner income, v a l u e of improvement and o t h e r c r i t e r i a . The amount of c o m p e n s a t i o n and amount o f b e t t e r m e n t " t a x " were t o e q u a l s a l e s p r i c e , making t h e program's f u n d i n g s e l f s u f f i c i e n t . T h i s p r o p o s a l was not a p p r o v e d , but a l i m i t e d p u r c h a s e of d e v e l o p m e n t r i g h t s p r o g r a m a d o p t e d i n 1977 has p u t 2400 a c r e s (1981) under easement. 24. THE STATE OF CONNECTICUT Program (PDR) O b j e c t i v e : P r o t e c t F a r m l a n d D e s c r i p t i o n A $9.0 m i l l i o n f u n d a u t h o r i z e d i n 1978 has r e s u l t e d i n 2,585 a c r e s (1981) under easement. 25. THE STATE OF NEW JERSEY P r o p o s a l (TDR) and Program (PDR) O b j e c t i v e : P r e s e r v e Open Space D e s c r i p t i o n A j o i n t g o v e r n m e n t - r e s e a r c h c o m m i t t e e p r o p o s e d use of TDR 1 04 t o p e r m i t c o m p e n s a t i o n f o r open s p a c e p r e s e r v a t i o n . A recommended p r o c e d u r e f o l l o w e d t h e b a s i c TDR model f o r open s p a c e w i t h r i g h t s t o be a l l o c a t e d i n p r o p o r t i o n t o l a n d v a l u e . A b i l l was i n t r o d u c e d i n 1975 t o t h e New J e r s e y S t a t e l e g i s l a t u r e t o a l l o w f o r d e v e l o p m e n t r i g h t s p r o g r a m s , but f a i l e d t o p a s s . A s m a l l e r b i l l f o r p u r c h a s e of d e v e l o p m e n t r i g h t s o f $5 m i l l i o n was p a s s e d . 26 THE STATE OF NEW HAMPSHIRE Program (PDR) O b j e c t i v e : F a r m l a n d P r e s e r v a t i o n D e s c r i p t i o n $3.0 m i l l i o n was a u t h o r i z e d i n 1979 f o r p u r c h a s e o f f a r m l a n d . 27. PUERTO RICO P r o p o s a l O b j e c t i v e : E n v i r o n m e n t a l P r e s e r v a t i o n D e s c r i p t i o n The P u e r t o R i c o P l a n i n v o l v e d d e s i g n a t i o n o f p r e s e r v a t i o n z o n e s , t h e P r o t e c t i v e E n v i r o n m e n t a l Zones (PEZs) and g r o w t h a r e a s . An owner of PEZ l a n d s c o u l d p e t i t i o n a p l a n n i n g b o a r d f o r c o m p e n s a t i o n , w h i c h would o n l y be g r a n t e d i f t h e y p r o v e t h e y have been d e n i e d r e a s o n a b l e use o f t h e i r p r o p e r t y . The b o a r d w i l l be t h e o n l y agency a u t h o r i z e d f o buy and a c q u i r e d e v l e o p m e n t r i g h t s . In t h i s way t h e government would assume g r e a t e r r e s p o n s i b i l i t y f o r p r e s e r v a t i o n c o s t s t h a n o t h e r TDR p r o g r a m s . B. CANADA K_ METROPOLITAN TORONTO, ONTARIO Program O b j e c t i v e : P a r k s i n A p a r t m e n t A r e a s D e s c r i p t i o n P r i o r t o 1969 m u n i c i p a l i t i e s w i t h i n t h e M e t r o p o l i t a n T o r o n t o a r e a ( T o r o n t o , N o r t h Y o r k , E t o b i c o k e , and S c a r b o r o u g h ) c o u l d p e r m i t t r a n s f e r s of d e n s i t y between two s i t e s t o a l l a l l t h e p e r m i t t e d d e n s i t y t o be l o c a t e d on one p a r c e l and t h e o t h e r p a r c e l be r e t a i n e d as open s p a c e . The s i t e s c o u l d be s e p a r a t e d by no more t h a n a s t r e e t o r l a n e . Examples of T r a n s f e r s At l e a s t s i x c a s e s : f o u r d e d i c a t e d t h e p a r c e l f o r p u b l i c use; two r e m a i n e d i n t h e d e v e l o p e r ' s o w n e r s h i p and management. The open s p a c e was c o n t i g u o u s i n two s i t e s and s e p a r a t e d by a p u b l i c r o a d i n f o u r . 105 T h e r e i s no r e c o r d e d e x p l a n a t i o n as t o why t h e p r o v i s i o n f o r open s p a c e was a l t e r e d i n t h e r e g i o n . 2_;_ CITY OF TORONTO, ONTARIO Program O b j e c t i v e : E n c o u r a g e R e s i d e n t i a L Development D e s c r i p t i o n In 1976 t h e C i t y i n t r o d u c e d a p r o v i s i o n whereby C o u n c i l c o u l d p a s s b y - l a w s i n r e s p e c t t o any two- l o t s l o c a t e d w i t h i n t h e same d i s t r i c t or a r e a t o a l l o w an exchange of mixed use d e n s i t i . e s . The P l a n a l l o w s c o n s t r u c t i o n of r e s i d e n t i a l s p a c e on a r e c e i v i n g l o t and c o m m e r c i a l s p a c e on a donor l o t , w i t h t h e g r o s s f l o o r a r e a f o r e a c h l o t b e i n g b a s e d on t h e maximum p e r m i t t e d f o r e a c h use on b o t h l o t s . C o n s i d e r a t i o n o f t h i s p r o v i s i o n i s l i m i t e d t o h i g h o r medium d e n s i t y m i x e d c o m m e r c i a l - r e s i d e n t i a l a r e a s or t h e f i n a n c i a l d i s t r i c t . The two l o t s may be no more t h a n 150 m e t r e s (500 f e e t ) a p a r t from e a c h o t h e r and t h e maximum s i t e s i t e may be no l a r g e r t h a n one a c r e . The a p p r o v a l p r o c e s s i n v o l v e s r e z o n i n g s of t h e s i t e s i n q u e s t i o n . Examples of T r a n s f e r s The o n l y t r a n s a c t i o n t o be r e a l i z e d t o d a t e from t h i s s e c t i o n of t h e O f f i c i a l P l a n was a p p r o v e d e a r l y i n 1981. The p r o j e c t i n v o l v e s t h e t r a n s f e r of c o m m e r c i a l d e n s i t y from two h e r i t a g e s i t e s owned by S t . Andrew's C h u r c h t o two o f f i c e -r e t a i l b u i l d i n g s b e i n g b u i l t by Sun L i f e A s s u r a n c e Company. The C h u r c h e x c h a n g e d i t s c o m m e r c i a l d e n i s i t y f o r Sun L i f e ' s r e s i d e n t i a l d e n s i t y , but i n s t e a d o f u s i n g t h e d e n s i t y has s i g n e d a H e r i t a g e Easement Agreement c o m m i t t i n g i t s e l f t o c o n s e r v e , m a i n t a i n , and use t h e C h u r c h and Manse b u i l d i n g s . They have n o t i n d i c a t e d whether t h e r e s i d e n t i a l s p a c e w i l l be b u i l t . The C h u r c h a l s o r e c e i v e d f u n d s f o r i t s exchange of c o m m e r c i a l f l o o r s p a c e w h i c h w i l l be u s e d t o f u n d a r e s t o r a t i o n p r o g r a m and improve t h e C h u r c h ' s s e r v i c e s . 3^ CITY OF VANCOUVER, B. C^ Program O b j e c t i v e : Not A p p l i c a b l e D e s c r i p t i o n The C i t y has a l l o w e d s e v e r a l a p p l i c a t i o n s of t h e t r a n s f e r of d e v e l o p m e n t p o t e n t i a l c o n c e p t and has u n d e r t a k e n s e v e r a l s t u d i e s o f i t , p r i m a r i l y c o n c e r n e d w i t h h e r i t a g e p r e s e r v a t i o n . C i t y C o u n c i l r e s o l v e d i n 1979 t o s u p p o r t use of t h e c o n c e p t f o r h e r i t a g e p r e s e r v a t i o n but have y e t t o i n c o r p o r a t e a p o l i c y t o t h a t e f f e c t i n t h e i r l a n d use c o n t r o l r e g u l a t i o n s . 106 Examples of T r a n s f e r s The f i r s t a p p l i c a t i o n o f t h e d e n s i t y t r a n s f e r c o n c e p t was f o r t h e C h r i s t C h u r c h C a t h e d r a l . The c h u r c h s i t e was combined w i t h a c o n t i g u o u s s i t e f o r c a l c u l a t i o n of p e r m i t t e d d e n s i t y . A p r i v a t e t r a n s a c t i o n between t h e C h u r c h and t h e owners of t h e d e v e l o p m e n t p r o p e r t y r e s u l t e d i n f u n d s b e i n g p a i d t o t h e c h u r c h f o r i t s upkeep and o p e r a t i o n s . The s e c o n d t r a n s a c t i o n o c c u r e d t h r o u g h r e z o n i n g p r o v i s i o n s . G a b r i o l a M a n s i o n was p r e s e r v e d t h r o u g h t r a n s f e r o f i t s unused d e n s i t y t o t h e d e v e l o p m e n t p a r c e l l o c a t e d a c r o s s t h e l a n e . S i n c e b o t h p r o p e r t i e s were i n common o w n e r s h i p no n e g o t i a t i o n s f o r s a l e of t h e d e n s i t y was i n v o l v e d . A t h i r d example amounted t o an e x c h a n g e , where one s i t e was r e n o v a t e d f o r r e s i d e n t i a l use i n c o r p o r a t i n g t h e r e s i d e n t i a l p o t e n t i a l o f t h e s i t e a c r o s s t h e s t r e e t , w h i c h was d e v e l o p e d t o p r o v i d e f o r t h e p a r k i n g r e q u i r e m e n t s . T h i s was a c c o m p l i s h e d by c o m b i n i n g t h e two s i t e s f o r d e n s i t y c a l c u l a t i o n p u r p o s e s . 4^ CITY OF EDMONTON, ALBERTA Program O b j e c t i v e : H e r i t a g e P r e s e r v a t i o n D e s c r i p t i o n The d e n s i t y t r a n s f e r p r o v i s i o n of Edmonton's z o n i n g bylaw p e r m i t s t h e unused f l o o r a r e a o f a h e r i t a g e b u i l d i n g t o be t r a n s f e r r e d t o any s i t e w i t h i n t h e same c h a r a c t e r a r e a . The amount of t r a n s f e r a b l e d e n s i t y i s b a s e d on a c o m b i n a t i o n of t h e amount o f b u i l t f l o o r a r e a and a bonus. A l t h o u g h t h e d e t a i l s of t h e p r o g r a m a r e complex, t h e b o n u s e s s u g g e s t a g e n e r o u s program. In some c a s e s 2.0 t i m e s t h e e x i s t i n g f l o o r a r e a , or d i f f e r e n c e between e x i s t i n g and p e r m i t t e d f l o o r a r e a , ( w h i c h e v e r i s g r e a t e r ) t o a maximum of 25% of t h e s i t e ' s p e r m i t t e d c o m m e r c i a l f l o o r a r e a , may be t r a n s f e r r e d . Where t h e e x i s t i n g FAR of a h e r i t a g e s i t e e x c e e d s 4.4:1 t h e bonus may be t h e f u l l 100%. The p r o v i s i o n s a r e a l s o v a r i e d i n mixed use z o n e s . A l l r e s i d e n t i a l s p a c e p e r m i t t e d f o r a s i t e may be t r a n s f e r r e d i n d e p e n d e n t of t h e 25% l i m i t a t i o n , or i t may be c o n v e r t e d t o c o m m e r c i a l use i n exchange f o r t h e p r e s e r v a t i o n o f a h e r i t a g e b u l d i n g on s i t e . The p r o g ram has o n l y r e c e n t l y been i n t r o d u c e d i n Edmonton. I t i s s u b j e c t t o c o n s i d e r a b l e d i f f i c u l t y , i n p a r t due t o i t s c o m p l e x i t y . D e v e l o p e r s a r e u n c e r t a i n w h i c h b u i l d i n g s a r e e l i g i b l e f o r t h e t r a n s f e r a b l e p r o v i s i o n s due t o t h e a b s e n c e of e x i s t i n g d e s i g n a t i o n s . More i m p o r t a n t l y , t h e y a r e u n c e r t a i n a b o u t p a y i n g f o r s p a c e from h e r i t a g e s i t e s when C o u n c i l has a p p r o v e d b u i l d i n g s of h i g h e r d e n s i t i e s t h a n a l l o w e d i n t h e r e g u l a t i o n s . 107 DISTRICT OF WEST VANCOUVER, B.C. Program O b j e c t i v e : E n v i r o n m e n t a l P r e s e r v a t i o n and D e s i g n F l e x i b i l i t y . D e s c r i p t i o n P r o p e r t y owners i n West V a n c o u v e r have t h e o p t i o n o f d e v e l o p i n g a t t h e maximum p e r m i t t e d d e n s i t y of 1.5 u n i t s p e r a c r e i n a zone d e s i g n a t e d RS-8, or 2.5 u n i t s p e r a c r e i n RS-7, or t a k i n g a d v a n t a g e of a c l u s t e r i n g p r o v i s i o n where t h e p e r m i t t e d d e n s i t y may be t r a n s f e r r e d t o c r e a t e a h o u s i n g c l u s t e r w i t h a maximum d e n s i t y o f 8 u n i t s p e r a c r e . The open s p a c e c r e a t e d must be r e t a i n e d and d e s i g n a t e d as open s p a c e . I f t h e e n t i r e p a r c e l i s t o r e m a i n v a c a n t t h e n t h e l a n d must be t r a n s f e r r e d t o t h e M u n i c i p a l i t y . I f o n l y a p a r t of t h e p a r c e l i s r e t a i n e d i n open s p a c e t h e n i t must be p r o t e c t e d by r e s t r i c t i v e c o v e n a n t . One p r o p o s a l f o r a p p l i c a t i o n o f t h e c o n c e p t r e s u l t e d i n f e a r t h a t p r o p e r t y v a l u e s would be l e s s t h a n t h a t w h i c h c o u l d be a c h i e v e d t h r o u g h s a l e of c o n v e n t i o n a l s i n g l e - f a m i l y l o t s . D e s p i t e t h e h i g h c o s t of s e r v i c i n g t h e s t e e p l y s l o p i n g l a n d , t h e p r o v i s i o n was not u s e d . However, o t h e r p r o j e c t s have been d i s c u s s e d . A l t h o u g h t h e u n d e r l y i n g p r i n c i p l e o f t h e c o n c e p t c ombines t r a n s f e r of d e v e l o p m e n t r i g h t s w i t h p l a n n e d u n i t d e v e l o p m e n t s , t h e t e r m i n o l o g y " a r e a of d e n s i t y v a r i a t i o n " i s employed t o r e f l e c t l e g a l o p i n i o n s on t h e t y p e . o f c o n t r o l b e i n g i n t r o d u c e d . 5_;_ CITY OF WINNIPEG, MANITOBA P r o p o s a l O b j e c t i v e : N e i g h b o u r h o o d P r e s e r v a t i o n and R e h a b i l i t a t i o n D e s c r i p t i o n A p r o p o s a l t o use t h e TDR c o n c e p t t o p r e s e r v e and upgrade an o l d e r n e i g h b o u r h o o d i n a manner s i m i l a r t o t h a t u s e d f o r open s p a c e p r o t e c t i o n was a d v a n c e d i n a s t u d e n t t h e s i s . The c o n c e p t i n v o l v e d c o m p e n s a t i o n from h i g h d e n s i t y a p a r t m e n t b u i l d i n g s t o th e o l d e r , d e t a c h e d homes b a s e d on t h e d e g r e e t o wh i c h t h e y were a f f e c t e d by t h e d e v e l o p m e n t s n e g a t i v e e x t e r n a l i t i e s . C. GREAT BRITAIN Program O b j e c t i v e : N a t i o n a l P l a n n i n g D e s c r i p t i o n 108 The e x p e r i e n c e o f G r e a t B r i t a i n 1 p r o v i d e s a v a l u a b l e i l l u s t r a t i o n of a n a t i o n a l a t t e m p t t o a l t e r t h e s y s t e m of l a n d use c o n t r o l by a c q u i r i n g a l l p r i v a t e d e v e l o p m e n t r i g h t s . The change a r o s e b e c a u s e t h e B r i t i s h P a r l i a m e n t was c o n c e r n e d a b o u t m a j o r l a n d use i s s u e s i n c l u d i n g t h e i n a b i l i t y of t h e c u r r e n t p l a n n i n g c o n t r o l s t o a c h i e v e good d e v e l o p m e n t , t h e v u l n e r a b i l i t y of t h e n a t i o n ' s p o p u l a t i o n and i n d u s t r y f o r d e f e n s e p u r p o s e s , and t h e o v e r a l l c o n g e s t e d c o n d i t i o n s r e s u l t i n g f r o m u n p l a n n e r m a j o r u r b a n g r o w t h i n c o n j u n c t i o n w i t h r u r a l d e p r e s s e d c o n d i t i o n s . T h r e e c o m m i t t e e s were formed between 1937 and 1941 t o s t u d y and r e p o r t on t h e s e p r o b l e m s , e a c h p r o d u c i n g a major r e p o r t : (1) t h e B a r l o w R e p o r t ( 1 9 4 0 ) ; (2) t h e S c o t t R e p o r t ( 1 9 4 2 ) ; and (3) t h e U t h w a t t R e p o r t ( 1 9 4 2 ) . A l l t h r e e recommended some form of n a t i o n a l p l a n n i n g c o n t r o l , w h i c h would t a k e away u n c o - o r d i n a t e d l o c a l a u t h o r i t y . In 1947 a L a b o u r government a d o p t e d t h e t h e Town and  C o u n t r y P l a n n i n g A c t . I t v e s t e d a l l d e v e l o p m e n t r i g h t s i n l a n d w i t h t h e S t a t e and s e t a 300 m i l l i o n pound r e v o l v i n g f u n d t o pay c o m p e n s a t i o n f o r a l l owners. The B i l l p r o v i d e d t h a t a d v a n c e p e r m i s s i o n from t h e l o c a l p l a n n i n g a u t h o r i t y would be r e q u i r e d f o r a l l new d e v e l o p m e n t . A c h a r g e would be l e v i e d t o i n c o r p o r a t e u n e a r n e d i n c r e m e n t s i n l a n d v a l u e s . The B r i t i s h e x p e r i e n c e w i t h d e v e l o p m e n t r i g h t s was not s u c c e s s f u l . The A c t was a c c u s e d of h a v i n g a s t a g n a t i n g e f f e c t on t h e l o c a l economy and of b e i n g g e n e r a l l y i n e f f e c t i v e . I t s f a i l u r e was a t t r i b u t e d t o a d e p r e s s i o n i n t h e c o n s t r u c t i o n i n d u s t r y , s h o r t a g e of b u i l d i n g m a t e r i a l s , and a n o n - c o - o p e r a t i v e economy. Land owners demanded p r i c e s d e v e l o p e r s were u n a b l e t o pay w i t h t h e added d e v e l o p m e n t c h a r g e s . These f a c t o r s meant t h a t t h e r e was no market f o r d e v e l o p m e n t r i g h t s and c o n s e q u e n t l y no d e v e l o p m e n t . The s e c t i o n s o f t h e A c t c o n c e r n i n g n a t i o n a l i s m of d e v e l o p m e n t r i g h t s and d e v e l o p m e n t c h a r g e s were r e p e a l e d by t h e newly e l e c t e d C o n s e r v a t i v e government i n 1951. 1 R e f e r t o John V. H e l b (1976) f o r an i n - d e p t h d i s c u s s i o n of t h e B r i t i s h e x p e r i e n c e w i t h d e v e l o p m e n t r i g h t s . 

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