Title: Planning Theory
1Planning Theory
- Alan A. Lew
- Northern Arizona University
2Why study Planning Theory?
- Two Reasons
- 1. Complexity of Data Issues that Planners Deal
With - 2. Values and Questions that Planners Ask
- 1. Complexity of Data Issues
- Theory gives a basis for
- What data we collect
- How we organize it
- How we use it to make decisions
32. Values Questions
- What questions should we be asking about our role
in society as planners? - WHAT - is or should be the Topic or Focus of
Planning? - WHO - does the planner work for?
- WHY - what is the goal of planning?
- Is equitable distribution of resources possible?
- HOW - do we achieve are goals?
- Is rational decision making possible?
- What is practical/pragmatic behavior/expectations?
- RATIONAL PLANNING
- Basis for Most Public Planning
- aka Synoptic Planning, Comprehensive Planning
4Rational Planning - 1 - BUDGETING THEORIES
- PROCEDURAL or BUDGETING THEORIES
- These are All forms of RATIONAL PLANNING
- PPBS - Planning, Programming, and Budgeting
Systems - developed in 1960s by US Dept. of Defense
- budgeting based on long-term planning needs
- MBO - Management by Objective
- determining objectives based on overall goals
- close cooperation between a manager and his/her
subordiantes - ZBB - Zero Based Budgeting
- larger budget broken into smaller decision
packages - managers of each decision package justifies
entire budget from scratch each year (zero-base) - used at NAU
5Rational Planning - 2 - STEPS
- Basic Steps in the Rational Planning Process
- 1 - Identify a Problem
- 2 - Identify a Goal
- 3 - Collect Background Data
- 4 - Identify a Means of Assessing Alternative
Plan Scenarios - 5 - Identify Alternative Plan Scenarios
- - consisting of Policies and Guidelines to
achieve the Goal - 6 - Assess Alternative Plan Scenarios
- 7 - Select the Preferred Alternative
- 8 - Implement the Plan
- 9 - Monitor, Evaluate and Revise the
Implementation - 10 - Identify New Problems and Begin the Process
again
6Rational Planning - 3 - PRACTICE
- Rational Planning in Practice
- typically more complex than simple model above
- A. Complete Agency Pre-planning Activities
- 1 - Clarify agency mission, role,
responsibilities - 2 - Delineate intended purpose and use of the
plan - 3 - Determine plan framework and format
- B. Establish Goals, Guidelines, and Standards
- 4 - Develop a planning process to do this
- Methodologies Data requirements
- Participants
Orientation/education - Coordination Organizational
structure - Evaluation procedure
- 5 - Develop a work program to do this
- 6 - Establish goals
- 7 - Establish guidelines and standards
(continued on next screen)
7Rational Planning - 4 - (continued)
- C. Identify Needs Priorities, Establish
Objectives, and Develop Plan Implementation
Strategy - 8 - Develop the planning process to do this
- 9 - Develop the work program and time schedule to
do this - 10 - Identify needs
- 11 - Determine priorities
- 12 - Establish objectives
- 13 - Develop the plan implementation strategy
- D. Publish and Implement the Plan
- E. Evaluate results Review, Revise and Update
the Plan - Rational Planning is often Criticized
- But it still remains the most common approach to
planning - because it is Rational and therefore easier to
justify
8Rational Planning - 5 - ASSUMPTIONS
- 1 - Assumes that people Behave Rationally
- That rationality is a part of everyday life
- That people and events are predictability
- 2 - Assumes Unlimited Problem Solving
capabilities and Perfect Information - Cost of information collection is affordable
- Ability to Identify all alternatives (synoptic)
- 3 - Assumes that Only Facts Exist
- No values (subjective belief systems)
- All variables exist within an interconnected and
closed system (no unforeseeable variables) - 4 - Assumes a Rational-Deductive sequence of
events - If A happens, the B will follow
- No need for political strategies
- Not suited for crisis or unforeseen events
9Incremental Planning Theory
- An alternative theory that accepts most obvious
shortcomings of Rational Planning - developed from the Peace Corps in the 1960s
- Limited time periods/horizons
- Political decision making
- Limited and imperfect information
- Limited time and for data collection
- Societal Values are as important as Facts
- Open, rapidly changing system Unforeseeable
events - Planning is disjointed, incremental and serial
- (serial one event after another with no giant
steps) - BUT
- Does assume ability to Explain, Predict and
Control - Problems and Goals are the same as in Rational
Planning - Approach is Comprehensive, but more Incremental
10Rational Incremental - Which is Better? - 1
- Depends of the Problem
- TAME and WICKED Problems (Rittle and Weber)
- 2 Types of Problems - which planners deal with
- 1. Physical Problems TAME
- 2. Social Problems WICKED
- problems change - perceptions
of problems change - quantification is difficult - few
methods or rules - difficult to formulate/stipulate precise problem
- don't know when the problem is solved
- not a 'true/false' decision, but rather a
'better/worse' one - no opportunity for trial and error
- Incremental Planning for WICKED, Low
Understanding Situations - Rational Planning is best for TAME, High
Understanding Situations - goals clearly defined or goal definition is not
the planners job - where Successful Planning achievement of the
goals
11Rational vs.Incremental - Which is Better? - 2
- Types of decision making
- Level of Understanding (High - or - Low)
- Degree of Change (Small Incremental - or -
Large) - 4 types of problems / decision making
situations - UNDERSTANDING
- Low High
- -------------------------------------------------
CHANGE - 1-Low/Large 3-High/Large Large
-
- 2-Low/Small 4-High/Small Small
- -------------------------------------------------
- 1 - Low Understanding / Large Change
- Wars, Revolutions, Crises grand opportunities
- Analytic Method Not formalized or well
understood - examples Iranian Revolution Bombing of
Hiroshima
12Rational vs.Incremental - Which is Better? - 3
- 2 - Low / Small Incremental Politics
- Analytic Method disjointed Incrementalism
- examples old Age benefits
- Most problems are solved at this level
- 3 - High / Large Utopian, Paradigm shifts
- Analytic technique None (an attempt at
comprehensive?) - examples Democracy (?)
- Higher understanding can often lead to higher
confusion - 4 - High / Small Some administrative many
technical - Analytic Method Rational / Synoptic /
Comprehensive - examples Going to the moon (closed situations
w/known variables) Traffic control on the Golden
Gate Bridge
13Goal Identification - 1
- all of the above (variations on Rational
Incremental) - Assume that Goals are Agreed Upon prior to
planning - Do not indicate HOW they are agreed upon
- BIGGER PROBLEM -
- figuring out what the goals should be
- Integration of Goal Definition into the Planning
Process - Logical Analysis 2 kinds of rationality
- Functional Rationality
- Given a goal, what should be the means of
attaining it? - Substantive Rationality
- What should the goals be?
- Cannot separate Ends (goals) from Means
(methodology) - Planners must be involved in goal formulation
- in order to evolve Methodology
14Goal Identification - 2
- Politics the allocation of limited resources
- based on Adopted and Implemented Policies
- Policies are decided by elected representatives
( democracy) - Planners are not elected
- Should they guide society if not elected?
- Major argument against Alternatives Planning
Approaches - Goal formulation requires Value Judgements
- What is Appropriate,Equitable/Fair, Good for the
Public - What should public goals be how should they be
achieved? - 3 Alternative Planning Theories / Approaches
- 1- Advocacy, 2- Radical, 3- Transactive
Planning - SITAR Synoptic, Incremental, Transactive,
Advocacy, Radical - the 5 types of planning
15Advocacy Planning
- Came out of 1960s - Adversarial approach in the
Legal profession - Defending the Weak against the Strong
- Weak Poor Disenfranchised Environmental
causes - Successful in blocking insensitive planning
- especially Urban Renewal
- razing of entire neighborhoods for new
development - Major tool Development of Plural Plans
- different plans for different sectors of the
community - Criticized for blocking / inhibiting efficient
planning - Social Policy Environmental Justice became
important planning issues - Sustainable Development
- the mainstreaming of advocacy issues
16Radical Planning
- 2 types
- 1 Based on concepts of Idealism, Self-reliance,
Mutual aid, Personal Growth, Personal Freedom - E.F. Schumacher's Small is Beautiful
- Deep Ecology, Humanism, Libertarianism
- Minimum state intervention/Maximum individual
participation - Back to the Land movement
- New Urbanism mainstreamed radicalism (?)
- 2 Marxist analysis of society
- Class structure Economic Relationships
- Politcal economy approach
- Based on Socialism Community Power
- Opposed to Media control of Culture Information
- Approach of most social movements labor
struggles - political activity is more important than market
rationality
17Paradigm Shift - 1 - Mannheim
- Carl Mannheim (philosopher)
- Paradigms of Thought in western society
- 1 - Before the Industrial/Scientific Revolution
(about 1750) - God ran the world - fate - not possible to plan
or intervene - Changes through Trial error, chance discovery
- 2 - Science Rationality (since 1750)
- Scientific Rationality Liberal Economic Theory
(Free Market) - Progress through intervention
- 3 - Planning Societal Guidance (date ?)
- Science Rationality no longer satisfy limits
to rationality - Mastery of relationships between systems of
intervention - deliberate regulation of social system (systems
science) - Evolution of Self Learning process
- Meta Planning The planning of planning
- Use of Media mediating mechanism
- How to find Key levers that have major impacts on
society
18Paradigm Shift - 2
- Each of Mannheims Level A Dominant Paradigm
- A way of viewing the world
- What will replace rationality?
- Shift to Post-Rational Paradigm
- many proposals
- Gaia Hypothesis, Deep Ecology, New Age
Spiritualism - Post Modernism / Post-Structuralism
- Transactive Planning
- In the Western World
- Rationality has meant Functional Rationality
- most efficient means of achieving a goal
- Since 1960s - trend towards Substantive
Rationality - No separations of Goals from Means
- Focus on Goal identification
- Means of achieving a goal should reflect the goal
itself?
19Transactive Planning - 1
- also called Post Rational Planning by some
- a response to the failures of Advocacy Planning
- Based on
- Social Learning Theory
- How do societies learn (and change)
- Interpersonal Interaction
- dialogue and mutual learning
- Planners Job
- Facilitate shared understanding among people
- Engage in mutual learning with clients/people
- Both require dialogue
- Major criticisms
- very time consuming and difficult
- very personal subjective
20Transactive Planning - 2 - Mutual Learning
- The Mutual Learning Process
- Planner contributes "process" knowledge
- Theory and Scientific Methodology
- Larger Societal Perspective Concerns
- Client contributes "personal" knowledge
- Direct Personal Experience
- Knowledge of Local Conditions and Needs
- BOTH are of Equal Value and Importance
- Process Personal knowledge become fused thru
- Personal and Verbal interaction DIALOGUE
- Public good is achieved
- Efforts to create intelligent institutions
- institutions which are self-learning /
educating / adapting
21Comparison of Approaches - 1
- Rational Planning Advocacy Planning Transactive
PlanningAudience decision maker / power
holder a community group society / "the
peopleView held by clientgoal oriented /
rational goal oriented / rational experiential
View of self (planner) rational analyst
technician rational analyst catalyst /
inventor change agent Methodology sci
ence science politics dialogue
politicsTechniquesanalytical analytical pro
cess / synthesisData objective processed
objective processed objective / processed
subjective/personal Goal one best
solution solution perceived best a working
solution by client continuing process
CONTINUED on Next Slide
22Comparison of Approaches - 2
- Rational Planning Advocacy Planning Transactive
PlanningView of change process controlled /
stability controlled / stability guided /
responsive to changeView of future comprehensi
ve / time-driven partial / short
term evolutionary / long-termWorldview (how
society should be organized) elitist /
structural efficiency benevolent / functional
participatory / structural efficiency fun
ctional efficiency Problem environment
isolated (closed system) isolated (closed
system) open systemImplementation not
planner's problem not planner's problem part of
solution processFocus the problem the
problem potential actors the problem
potential actors
23Value and Use of Planning Theory
- Planning Practice
- Procedural theory (rationality, advocacy, etc.)
- Substantive theory (ends and means), and
- Personal ideology
- all combine to produce a personal doctrine of
Planning - for each of us this doctrine
- 1- Gives us direction / purpose / justification
for our actions - 2- Identifies our influencing values
pre-suppositions/biases - 3- Can be used as a tool box to compliment our
techniques - Objective of most Planning
- 1 - To Serve the Public Interest (or Public
Good) - this is the Legal justification for Planning
- 2 - Social Equity Fair access and distribution
of public goods - this is the Principle moral justification guiding
public/governmental actions - Good/Successful Planning achieves these goals
- BUT, they are very idealistic goal
- competing interests make identification of the
Public Good very difficult
24The Art of Planning - 1
- Choosing the best theory to address a planning
problem - The best planners do this intuitively
- Techniques used come directly from the theory
chosen - Knowing theory first can strengthen
justifications for one's actions - Traditional Rational Planning
- often claimed to be an objective methodology
- applicable to any problem in any context
- But it is best used in situations in with simple,
clear and quantifiable parameters (i.e., Tame
Problems) - Most social problems are vague and often
conflicting - (i.e., Wicked Problems)
- Transactive Planning
- does not prescribe step-by-step approach
- but provides principles of Planner-Client
interaction - Success depends more on the openness of the
process - and the willingness for both to learn from each
other - Better suited to addressing the political nature
of complex problems
25The Art of Planning - 2
- How to Select the appropriate approach to a given
situation - CRITERIA
- 1- The degree and quantity of CONSTRAINTS on a
problems - Explicit, Clear, Routine Rational
- Implicit, Vague Transactive
- 2- The type of INFORMATION to be used
- Quantifiable (and lacking value judgements)
Rational - Value and Subjective Judgement Transactive
- 3- The type of ACTORS and associations involved
- Hierarchical, Authoritarian, Centralized
Rational - Decentralized, Egalitarian Transactive
- 4- The realm of potential ACTION PLANS
- Pre-determined Preferred Solution Rational
- Innovative, New Solutions Transactive
- 5- The potential for CONFLICT
- Often due to the Political nature of the problem
- Some will Gain and some will Lose
- Rational Planning s may convince some
- Transactive Planning s Dialogue betters
suited