This is a presentation prepared for the course Methodology for Urbanism (Ar2U090) of the the TU Delft, Faculty of Architecture. In this presentation we discuss what is theory and why we need theories in Urbanism.

1. What is the role of
THEORY
in Urbanism and
Architectural studies?
Prepared by
Roberto Rocco
Faculty of Architecture, Spatial Planning and Strategy, TU Delft
URBANISM
Challenge(the(future
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&Strategy

2. Many people think that theories
are:
‘a guess,
a hunch,
not a fact,
not proven’

3. ‘I don’t
believe in the
theory of
evolution. It is
just a theory’.
Ron Paul, former American
presidential candidate asserted
he didn’t believe in evolution in
2007.
For a video of Ron Paul denying evolution go to http://www.cbsnews.com/2100-205_162-20098876.html Photo Source: http://
evangelicalsforronpaul.wordpress.com/2012/03/05/why-christians-wont-vote-for-ron-paul/

4. What is theory?
A common definition*:
- A system of ideas intended to
explain something, esp. one
based on general principles
independent of the thing to be...:
"Darwin's theory of evolution"
*Merriam Webster

5. What is theory?
✦
- A set of principles on
which the practice of an
activity is based: "a theory
of education"; "music
theory".
*Merriam Webster

6. For Peter Marcuse
(Columbia University)
✦
✦
Theory is the attempt to understand to
understand,
explain and to illuminate the meaning
and possibilities of the world in which
practice takes place.
It is the conscious and articulated aspect
of practice and of action. (Marcuse,
2009)
Image Source: http://www.arch.columbia.edu/about/people/pm35columbiaedu

7. Theory Practice

8. ‘There is nothing
more practical than
a good theory’.
*Phrase attributed to Kurt Lewin, German-American
psychologist, known as one of the modern pioneers
of social, organizational, and applied psychology.

9. Practice?
✦
✦
✦
More than practice, we need ACTION, but
action that is informed, enlightened, rooted,
based, supported, grounded, evidence-based.
Practice is needed for theory formation and
Any good theory should lead to practice, if it is
taken seriously.

10. But it is not so simple
(according to Marcuse, 2009)
✦
✦
There are many many examples of
practice that has emerged without
any theory underpinning it.
There are many theoretical authors
who write as if writing a message in
a bottle, hoping their message will be
understood later on.

11. Critical urban theory is...
“...analysis that flows from the experience
of practice in developing the potentials of
existing urban society and urban space,
and critical theory is intended to illuminate
and inform the future course of such
practice”. (Marcuse, 2009: 186)

12. Modern Scientific Method
Experiment is one key to the modern
scientific method, pioneered five
centuries ago by Galileo (observation +
mathematics).
The other is Theory.
(So, what is the role of Design in a
modern scientific method?)

13. Some good theoreticians
Isaac Newton
(universal gravitation)
Charles
Darwin
Albert
Einstein
(evolution)
(relativity)

14. I don’t believe in gravity!
Also visit the newsgroup “I don’t believe in gravity” for
a lesson in logic!

15. In Urbanism and Architecture...
We use theories all the time
in order to guide our actions
in research and in practice.
But...they are not tied to one
single logic of enquiry

16. Sir Peter Hall said:

17. We must combine different logics
of enquiry
Design
Physical
Sciences
Human
Sciences

18. Mind mapping Urbanism

20. Theory in architecture and
planning
Alexander (2010) argues that
theory affects (architectural
and planning) practice, but
not in the way that many
designers understand or
expect.

21. Urbanism as ‘social technology’
✦
Many people still view architecture
and planning as a kind of ‘social
engineering’ where, by applying
spatial formulas (many times
derived from theoretical spatial
models), one can achieve expected
results.

22. Models derived from the physical
sciences
✦
The application of theory in this
model supposes a theory-practice
interaction that resembles the
link between the physical/natural
sciences and their respective
technologies and applications.

23. Physical and applied sciences
model
Basic
theory and
research in
quantum
physics
Applied
research in
(e.g.)
molecular
reactions
Nano
technologies
CAT
scanners
Source: ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how? Planning Theory, 9, 99-107.

24. This is called the
TRANSLATION
model
Source: ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how? Planning Theory, 9, 99-107.

25. The problem is the
translation model of
knowledge formation
and application has very
limited value outside of
the physical sciences
Source: ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how? Planning Theory, 9, 99-107.

26. According to Alexander (2010),
in urban studies,
another model of
knowledge formation
and application is used:

27. the
ENLIGHTENMENT
MODEL

28. The enlightenment-model
✦
✦
✦
Lacks the systemic process of diffusion of the
‘translation model’
Works in a much more random way
Works through a process of multilevel and
multiple arena discourse
Source: ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how?
Planning Theory, 9, 99-107.

29. The enlightenment-model
✦
This process ‘informs’ good
practice by ‘enlightening’
practitioners to IMPROVE
THEIR JUDGEMENT,
rather then equipping them
with better technologies.
Source: ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how?
Planning Theory, 9, 99-107.

30. The Human Sciences
(theories of urbanization)
Lefebvre
Jacobs
Harvey
Castells

31. Design theory
Herbert Simons
Rolf Faste
Nigel Cross
(the rational model)
(human centered design)
(design thinking)
empathy+creativity+rationality
Kees Dorst
(design knowing + design and
academia)

32. Old fashioned paradigm?
✦
✦
Using theories to explain and act on
reality is considered by some oldfashioned modernist positivist-empiricism
ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how? Planning Theory, 9, 99-107.
After all, postmodernism tells us there
aren’t meta-narratives, as reality can
be deconstructed in relation to each
signifier.
From ‘Defining Post-Modernism’ available at http://www2.iath.virginia.edu/elab/hfl0242.html

33. The Humpty-Dumpty dilemma
When I use
a word, it means
just what I choose
it to mean—
neither more
nor less.
Lewis Carroll's Through
the Looking-Glass (1872)
Image source: http://aliceinwonderland.wikia.com/wiki/Humpty_Dumpty

34. Hello and Good-bye to
Post-postmodernism
•
But scholars in post-postmodernism have come to
recognise that, although meta-narratives can be
used as instruments of power and domination
(*Foucault), we still need theories and narratives to
guide critical thinking and judgment in order to
avoid pure relativism.
Postmodernism and Its Critics Daniel Salberg and Robert Stewart and Karla Wesley and Shannon Weiss From http://
anthropology.ua.edu/cultures/cultures.php?culture=Postmodernism%20and%20Its%20Critics
•
Most importantly, we need narratives and ideas that
we can share and discuss, so that we can achieve
what Habermas calls ‘communicative reasoning’.

35. The many alternative narratives
✦
✦
Postmodernism opened the
door for MANY VOICES
and MULTIPLE
MULTIFACETED
NARRATIVES.
This has put some old
fashioned theories in check.

37. ✦
Theories are doing very well,
thank you very much! These
theories have survived the test
of experiment, observation
and communicative reasoning.

38. We have some directions
(Spatial)Justice+(Environmental)Sustainability+
(Intervention/Design) Governance

39. Other knowledges
✦
✦
Instead of the ivory-tower type of knowledge,
we now have knowledge being constructed
and communicated by many actors,
this means that knowledge is not univocal,
but diverse, multi-faceted and ever
changing.
Theories are contingent!

40. On the contingency of theories
✦
✦
✦
This means that theories explain possible or liable
events or probabilities, but not certainties.
Theories are possible and even likely explanations
of reality, but they are bound to have gaps or they
can seem good today and be replaced by a new
more complete theory tomorrow.
A well-fundamented theory, like the theory of
mechanics and of gravity will hold for many years
(for ever?) but theories about society and space
are much more ambiguous.

41. ch
r
A
ec
it
re
tu
The ‘function’ of theory in
nd
Urbanismais...
✦
✦
✦
...to guide judgment and
subsequent action.
But even the best theory does not
eliminate the need for critical thinking.
In fact, a good theory will make you be
able to assess a situation critically.

42. Examples of theories
in Urbanism
The following slides contain only examples of theories on
urbanisation that have influenced our discipline. They don’t explain
theories in their full complexity, nor do they give an exhaustive
account of theories in the field. They are here merely to illustrate.
These are some of the theories explored by Orum (2004).

43. The German school
(What is society?)
One of the first theorists to acknowledge the
deep and important impact of urbanisation on
social life was the German scholar, Georg
Simmel.
Simmel developed a sociology that focused on the
special ways that forms, such as the numbers of
people in groups, influenced social life.
From: ORUM, A. 2004. Urbanization, London, Sage

44. Christaller, and the
central place theory
This is a geographical theory that seeks to
explain the number, size and location of
human settlements in a territory.
He inaugurated what we call today
economic geography. In economic
geography, we try to understand how the
economic life of societies is bound to space
and how space influences production,
exchange and development.
Read more at http://sapiens.revues.org/843

45. The Chicago School
(Human Ecology).
Besides the theory of urbanism and
the concentric pattern of
metropolitan growth (Burgess), the
Chicago School also gave rise to a
general theoretical perspective on
the nature of the metropolis,
rooted in a view of the city in terms
of its population and broad social
environment, which results in type
of ‘ecology’ of social relationships
largely defined by the built
environment.
From: ORUM, A. 2004. Urbanization, London, Sage
Part of the built environment – suburban tract housing in Colorado
Springs, Colorado Source: Wkipedia Commons
The Cantagalo favela is located on a hill in Rio's Copacabana
neighborhood. Source: Wkipedia Common

46. Burgess: the
Concentric Model
In The City, Burgess conceptualized the city into the concentric zones (Concentric
zone model), including the central business district, transitional (industrial,
deteriorating housing), working-class residential (tenements), residential, and
commuter/suburban zones. They also viewed cities as something that experiences
evolution and change, in the Darwinian sense.

47. The City as Neighbourhood and
Community (Claude Fischer):
One of the first and most important critiques
of the Chicago School view of the city came
from the sociologist Claude Fischer.
Fischer argued that the city was not
characterised by impersonality and
anonymity but, rather, by a variety of social
ties and subcultures that connected people to
one another.
From: ORUM, A. 2004. Urbanization, London, Sage

48. The Political Economy
Perspective:
The dominant critique and most substantial
alternative to the view of the Chicago
School came in the writings of Marxist
scholars who began to build their
alternative theory in the early 1970s. There
are several variants of this perspective.
The leading Marxist theorist on the city is
Henri Lefebvre, followed today by David
Harvey and others.
From: ORUM, A. 2004. Urbanization, London, Sage

49. Henri Lefebvre
Henri Lefebvre was a French Marxist
philosopher and sociologist, best known for
pioneering the critique of everyday life, for
introducing the concepts of the right to the city
and the production of social space, and for his
criticism of structuralism.
His 1974 book ‘The production of space’ is a
classic in Urbanism.

50. Manuel Castells
Lefebvre inspired several important
theorists. Among them are the sociologist
Manuel Castells. He leveled the most major
charges at the Chicago School view of the
city. He argued specifically that it was not
simply population growth that created the
various forms of social disorganization, such
as higher crime rates in the city, but instead it
was the forces of Capitalism.
From: ORUM, A. 2004. Urbanization, London, Sage

51. Collective consumption
✦
✦
Moreover, Castells suggested, the Marxist view of
the world, when applied carefully to the city and to
the process of urbanization, emphasized the forces of
collective consumption, not those of production, as
Marx himself originally argued.
Thus, Castells argued, it is the conditions of public
housing and of other forms in which urban laborers
are exploited as consumers, to which sociologists
studying urbanization must turn their attention and
seek to correct.
From: ORUM, A. 2004. Urbanization, London, Sage

52. David Harvey:
the right to the city
Harvey has had the widest influence over modern writings about the city.
He maintains that from a Marxist perspective the major economic activity
in urbanization is that which deals with the use and value of land. Thus,
those social actors, such as real estate developers and bankers, actually
exploit the value of urban space through their investment and selling
strategies. Only these strategies have become truly GLOBAL and the
‘urban process’ is almost universally unfair.
Whereas capitalist employers secure profit by, for example, paying
workers low wages, real estate developers and bankers secure their profits
by setting high prices on the land in cities through a series of mechanisms
of speculation, scarcity, exclusiveness, luxury, image, etc.
From: ORUM, A. 2004. Urbanization, London, Sage

53. Jane Jacobs:
why cities exist and
what are they for?
✦
✦
In the “Economy of Cities”, Jacobs
explored the origin of cities and why cities
are important for growth and innovation.
In “Life and Death of the Great American
Cities”, Jacobs argues against values from
modernism, towards the role of
communities and the influence of the built
environment on human behaviour.

54. Saskia Sassen:
the Global City
✦
The GLOBAL CITY (Sassen, Hall and others),
Aerotropolis (Kasarda), the Edge City (Garreau),
the City as a machine (Mumford), the City as a
living organism (Sert), the Knowledge City
(Carrillo), the Creative City (Florida), the city is
physical expression of of the political (Arendt), the
city as instrument of citizenship (Holston) etc etc
etc
This is by no means an exhaustive list of urban theories.
This would have been utterly impossible and useless.

55. But now that we know
what a theory is, what
is a theoretical
framework?

56. In the human sciences
In the human sciences, we must rely on logical,
reasonable, disinterested INTERPRETATION
of facts, figures, ideas and observations of reality.
This interpretation must be done within a
THEORETICAL FRAMEWORK, something
that will help us structure the interpretation.
It does so by providing us with a structured set
of ideas and hypotheses about the problem that
will guide our own judgement and interpretation.

57. In the social sciences
A THEORETICAL FRAMEWORK usually
presupposes a certain logic of enquiry and
consequently a certain METHODOLOGY (a set
of actions that will allow for the question to be
answered properly in a verifiable way).

58. Interpretation
Any interpretive exercise relies on one’s own
mental abilities, values, biases, place in the
world, etc. Therefore, in order to eliminate
biases as much as possible, it is important that
we develop interpretation within a theoretical
framework and in communication with a
community of people, with whom we can
reason together.

59. Building on the
shoulders of giants
A theoretical framework
presupposes accumulated
knowledge on something. You are
not set to reinvent the wheel.
Others have dedicated time and
research to similar issues. They
are part of the community you are
reasoning with.

60. We must combine different
‘logics of enquiry’
Design
Physical
Sciences
Human
Sciences

61. OTB
Chair:
Urban an Regional
Development
Sect
ion
:S
Prof. Wil Zonneveld
pa
tia
l
OTB
Chair:
Neighbourhood Change
and Housing
Prof. Maarten van Ham
Chair:
Cultural History & Design
Remember the different logics of enquiry!
nn
Pl
Prof. Eric Luiten
Chair:
Spatial Planning & Strategy
Chair:
Design & Politics
Prof. Wouter Vanstiphout
esi
gn
D
Section: Urban
Chair:
Urban Design
Prof. Han Meyer
Prof. Dirk Sijmons
Section:
Urba
n
Chair:
Environmental Technology
Prof. Henco Bekkering
Prof. Arjan van Timmeren
Chair:
The Why Factory
Prof. Winy Maas
URBANISM @ TU DELFT
an
ds
cape
L
Chair:
Theory & Methods
Chair:
Landscape Architecture
Stra
te
gy
Prof. Vincent Nadin
&
rganisational Tree of the Department of Urbanism, TU Delft, jan 2013 by Roberto Rocco
a
ing

62. In summary
A theoretical framework consists of concepts,
together with their definitions, and existing
theory/theories that are used for your
particular study.
The theoretical framework must demonstrate an
understanding of theories and concepts that
are relevant to the topic of your research
project and that will relate it to the broader fields
of knowledge.
Source: University of Southern California: http://libguides.usc.edu/content.php?
pid=83009&sid=618409

63. Because each research paradigm implies different
questions being asked, different methods to answer them
and different kinds of answers.
questions
answers
methods
Audience (logic of enquiry)

64. The Practical
Question
The Theoretical
Question
design
oriented
theory
oriented
HOW TO?
WHAT IS?
How to design a
What is a child-
child-friendly city?
friendly city?

65. The Research Question
MUST INTEGRATE DESIGN AND
THEORY
What are local spatial strategies based
on generalisable criteria of child
friendliness?

66. Theoretical Framework
✦
✦
The theoretical framework is not something
that is found readily available in the
literature.
You must review course readings and pertinent
research literature for theories and analytic
models that are relevant to the research
problem you are investigating. The selection of
a theory should depend on its appropriateness,
ease of application, and explanatory power.
Source: University of Southern California: http://libguides.usc.edu/content.php?pid=83009&sid=618409

67. The theoretical framework strengthens
the study in the following ways:
The theoretical framework connects the researcher
to existing knowledge and a community of
knowledge. Guided by a relevant theory, you are
given a basis for your hypotheses and choice of
research methods.
Articulating the theoretical assumptions of a research
study forces you to address questions of what and
why (rather than only how). It allows you to move
from simply describing a phenomenon observed to
generalizing about various aspects of that
phenomenon.
Source: University of Southern California: http://libguides.usc.edu/content.php?pid=83009&sid=618409

68. The theoretical framework strengthens
the study in the following ways:
•Having a theory helps you to identify the
limits to those generalizations.
•A theoretical framework specifies which
key variables influence a phenomenon of
interest. It alerts you to examine how
those key variables might differ and under
what circumstances.
Source: University of Southern California: http://libguides.usc.edu/content.php?pid=83009&sid=618409

69. But...
does theory affect
practice? And if
so, how?

70. Yes, it does!
Please read:
ALEXANDER, E.
R. 2010. Introduction:
Does planning theory
affect practice, and if so,
how? Planning Theory,
9, 99-107.

71. Theories have an enormous
impact on policy making and on
design of the built environment
✦
Theories like concentric growth, central place
theory, the MODEN city, the global city, the
knowledge city and the creative city have an
enormous impact in policy making, for good
and for worse.

72. But what about new
technologies?
✦
Modern spatial analysis tools have been
moderately successful in providing TOOLS
that can help judgement (but do not replace
the enlightenment model).
Inspired by Rhiel's
map, one of almost ten
million buildings in the
Netherlands, Source:
http://
dev.citysdk.waag.org/
buildings/

73. Knowledge in urbanism
✦
Works through a very dynamic network of
academic research, professional institutions,
literature in books (many times not books
specifically written for urbanists), scholarly
and professional journals, planning and
designing education through programs and
courses, etc.
Source: ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so,
how? Planning Theory, 9, 99-107.

74. In short...
There is
nothing more
practical than a
good theory...when
you are dealing with
dynamic social and
spatial realities

75. References
ALEXANDER, E. R. 2010. Introduction: Does planning theory affect practice, and if so, how?
Planning Theory, 9, 99-107.
KAVLI INSTITUTE. 2013. What is the role of theory in science? [Online]. Santa Barbara CA:
University of California. Available: http://www.kitp.ucsb.edu/kitp-explained/role-of-theory-in-science
[Accessed 10.01 2013].
KEEP, C., MCLAUGHLIN, T. & PARMAR, R. 2000. Defining Postmodernism [Online]. Available:
http://www2.iath.virginia.edu/elab/hfl0242.html [Accessed 01.10.2013 The Electronic Labyrinth].
MARCUSE, P. 2009. from critical urban theory to the right to the city. City, 13, 185-197.
OKASHA, S. 2002. Philosophy of science: a very short introduction, Oxford ; New York, Oxford
University Press.
ORUM, A. 2004. Urbanization, London, Sage
SALBERG, D., STEWART, R., WESLEY, K. & WEISS, S. 2012. Postmodernism and its critics
[Online]. University of Alabama. Available: http://anthropology.ua.edu/cultures/cultures.php?
culture=Postmodernism%20and%20Its%20Critics [Accessed 01.10 2012].
USC LIBRARIES. 2012. Definition of theoretical framework [Online]. San Diego: University of
Southern California. Available: http://libguides.usc.edu/content.php?pid=83009&sid=618409
[Accessed 01.10 2013].
WARBURTON, N. 2000. Thinking from A to Z. 2nd ed. London ; New York: Routledge.

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&Strategy
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