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Planning Theory

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Title: Planning Theory


1
Planning Theory
  • Alan A. Lew
  • Northern Arizona University

2
Why 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

3
2. 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

4
Rational 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

5
Rational 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

6
Rational 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)

7
Rational 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

8
Rational 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

9
Incremental 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

10
Rational 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

11
Rational 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

12
Rational 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

13
Goal 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

14
Goal 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

15
Advocacy 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

16
Radical 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

17
Paradigm 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

18
Paradigm 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?

19
Transactive 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

20
Transactive 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

21
Comparison 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

22
Comparison 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

23
Value 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

24
The 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

25
The 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
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