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UNIT 4: RATIONAL & INCREMENTAL PLANNING THEORIES

UNIT 4: RATIONAL & INCREMENTAL PLANNING THEORIES. Unit 4A : Rational (Synoptic) Planning Theory. Meaning of Rationality. What do you understand by Rationality? Making decision based on reason/logic and in pursuance of one’s best interest Good judgement

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UNIT 4: RATIONAL & INCREMENTAL PLANNING THEORIES

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  1. UNIT 4: RATIONAL & INCREMENTAL PLANNING THEORIES

  2. Unit 4A: Rational (Synoptic) Planning Theory

  3. Meaning of Rationality What do you understand by Rationality? • Making decision based on reason/logic and in pursuance of one’s best interest • Good judgement How is the term Rationality used in the context of Economic Theory? RATIONAL & INCREMENTAL THEORIES

  4. Evolution of the Rational-Comprehensive Planning Model Planning Experiments in the US during the New Deal Era: • Planning re-defined as a scientific process (based on scientific techniques) and not just a design activity • Based on emerging Keynesian economics • Key Features of the New (Scientific) Kind of Planning: • rooted in the collection and examination of data, • evaluation of alternative courses of action and • the creation of systems for implementation. RATIONAL & INCREMENTAL THEORIES

  5. Evolution of the Rational-Comprehensive Planning Model Planning Experiments in the US during the New Deal Era: • Examples of interventions resulting from the New Kind of Planning: • Establishment of the National Resources Planning Board • the Resettlement Administration • Tennessee Valley Authority RATIONAL & INCREMENTAL THEORIES

  6. Evolution of the Rational-Comprehensive Planning Model Ideas of Karl Mannheim • Mannheim’s 4 social structures : 1) Dictatorship results from low levels of participation and high levels of centralization 2) Anarchy results from high levels of participation and low levels of centralization 3) Anomie (lack of social/ ethical standards) results from low levels of both participation and centralization 4) A "democratically planned society” results from high levels of both participation and centralization. [Mannheim, K. (1940): Man and Society in an Age of Reconstruction] • He favoured the 4th structure: "democratically planned society” RATIONAL & INCREMENTAL THEORIES

  7. Evolution of the Rational-Comprehensive Planning Model Ideas of Karl Mannheim • Mannheim’s caution: • Planners should not over rely on Functional Rationality; • They should demand attention to Substantial Rationality • What do you understand by Functional Rationality and Substantial Rationality? • Functional Rationality: • identification of the right (rational) means to achieve a goal • Substantial Rationality: • definition of correct (rational) end states or goals RATIONAL & INCREMENTAL THEORIES

  8. Evolution of the Rational-Comprehensive Planning Model Edward Banfield’s 5-Step Rational Planning Model: • Banfield formalized RCPM as a scientific, methodical process consisting of 5 major steps: 1. Ends reduction and elaboration; 2. Design of courses of action; 3. Comparative evaluation of consequences; 4. Choice among alternatives; 5. Implementation of the chosen alternative [Banfield, together with Rexford Tugwell, Harvey Perioff and Julius Margolis, was a faculty member in University of Chicago's Program in Education and Research in Planning] RATIONAL & INCREMENTAL THEORIES

  9. Evolution of the Rational-Comprehensive Planning Model Edward Banfield’s 5-Step Rational Planning Model: • The model was also described: "Desires, Design, Deduction, Decision, and Deeds” • The model distinguished between Individual Rationality and Collective Rationality. • Banfield’s model was applied in Public Policy Analysis (a new discipline at the time) by Margolis • Charles Lindblom (1959), a critic of the model, later referred to RCPM as Synoptic Planning RATIONAL & INCREMENTAL THEORIES

  10. Evolution of the Rational-Comprehensive Planning Model Edward Banfield’s 5-Step Rational Planning Model: • What do you understand by Individual Rationality and Collective Rationality? • Individual Rationality: • Collective Rationality: • Aggregating individual preferences to societal level sometimes produce illogical, undesirable outcomes • E.g. Undue delays in project implementation, hockey players' reluctance to wear helmets, etc. • In such situations, group-decision (as a whole) differs from sum the of individual decisions (Thomas Schelling, 1971) RATIONAL & INCREMENTAL THEORIES

  11. Characteristics of the Rational-Comprehensive Planning Model (RCPM) • Based on the application of logical positivism • Rationality defined exclusively in terms of positive knowledge and instrumental calculation • Politicians chose the values, while planners provide the processed facts • Planning viewed as a rational approach to acting (Amital Etzioni, 1967): • Decisions made according to technical rules for choice among alternatives RATIONAL & INCREMENTAL THEORIES

  12. Characteristics of the Rational-Comprehensive Planning Model (RCPM) • Planning viewed as a goal-oriented process that relies heavily on quantitative models, eg: • cost-benefit analysis; • input-output analysis • spatial interaction models; • projections/forecasting; • operations research, etc. RATIONAL & INCREMENTAL THEORIES

  13. The Systems Approach to Planning • This is a variant of RCPM • Planning viewed as a system with complex interrelated sub-systems • Understanding the relationships b/n the sub-systems enhances effective intervention • The planner pictured as a helmsman steering the city: he focuses on the plan and the future state it promises • Main proponents: Chadwick (1970); McLoughlin (1969); Churchman (1968) RATIONAL & INCREMENTAL THEORIES

  14. Critique of the Rational-Comprehensive Planning Model (RCPM) • Too costly and technically demanding • Tends to be top-down or centralized: • Lack of stakeholder participation—especially the poor • No mechanism to deal with conflicting goals, local needs or changing values RATIONAL & INCREMENTAL THEORIES

  15. Critique of the Rational-Comprehensive Planning Model (RCPM) • Criticisms of Charles Lindblom (1959): • Unachievable and out of step with political realities: • Political leaders cannot agree on goals in advance • They prefer to choose policies and goals at the same time • Evaluating all possible alternatives on all possible measures of performance (criteria) exceeds human abilities • Relationship between science and policy choice is oblique at best • A "good policy" is one on which policymakers agree RATIONAL & INCREMENTAL THEORIES

  16. Critique of the Rational-Comprehensive Planning Model (RCPM) • Findings from Alan Altshuler's (1965) doctoral dissertation: • Planners seldom achieved their objective, scientific aspirations • Planners claims to comprehensiveness not backed up by reality • Planners’ recommendations often ignored by policymakers • Policymakers prefer to satisfy the wishes of the politically connected rather than follow objective, scientific recommendations from planners RATIONAL & INCREMENTAL THEORIES

  17. Critique of the Rational-Comprehensive Planning Model (RCPM) • Beazley (1989): • Planning being as a technical, value-free, apolitical activity without proper consideration of socio-economic and political climate in which it operates • Goodman (1972): • RCPM maintains the existing power under a mask of rationality, efficiency and science • Under this model, planning is likely to benefit capitalists and those in the middle class while the poor become the casualties RATIONAL & INCREMENTAL THEORIES

  18. Unit 4B: Incremental Planning Theory and the Mixed Scanning Approach

  19. Origin of Incremental Theory • Main proponent: • Charles Lindblom • Lindblom proposed it as a conservative, market-oriented alternative to the RCPM RATIONAL & INCREMENTAL THEORIES

  20. Main Characteristics of Incremental Theory • Perceives planning as the “science of muddling through”: making decisions on day-to-day basis and focusing on marginal, incremental improvements over the status quo • Analysis carried out without the advance determination of goals • Instead, it calls for simultaneous selection of goals and policies RATIONAL & INCREMENTAL THEORIES

  21. Main Characteristics of Incremental Theory • Consideration of a few alternatives that are marginally different from the status quo • Simplified, limited comparisons among the few alternatives • Modest complexity and comprehensiveness of data collection, analysis and forecasting • No long-range (long-term) goals or vision RATIONAL & INCREMENTAL THEORIES

  22. Main Characteristics of Incremental Theory • Agreement among decision-makers (not elaborate scientific analysis) as the main ingredient for policy (plan) adoption • Flexibility: decisions can easily be changed (modified or abandoned) if they later turn out to be inappropriate • Lindblom described his model as partisan mutual adjustment and disjointed incrementalism RATIONAL & INCREMENTAL THEORIES

  23. Critique of Incremental Theory • Amitai Etzioni was one of the main critics of the Incrementalist Approach • Etzioni, A. (1967): A Third Approach to Decision-Making • Decisions are taken by consent among partisans without a society-wide regulatory centre and guiding institutions RATIONAL & INCREMENTAL THEORIES

  24. Critique of Incremental Theory • Decisions made under the Incrementalist model would reflect the interests of the most powerful: • ‘Partisans’ have varying power positions • Interests of the underprivileged and politically unorganized (an important partisan group) would invariably be underrepresented. RATIONAL & INCREMENTAL THEORIES

  25. Critique of Incremental Theory • Focusing on short term and seeking marginal improvements over the status quo does not encourage societal innovations • Following this model can lead to a planning process that is either: • Circular (leading us back to where we started) or • Dispersed (leading us in many directions at once but taking us nowhere) RATIONAL & INCREMENTAL THEORIES

  26. Amitai Etzioni’s Mixed Scanning Approach • The “mixed scanning” model was proposed by Amitai Etzioni • (see Etzioni, Amitai. 1973. Mixed scanning. In A reader in planning theory, ed. A. Faludi) • Her approach seeks to incorporate the strengths of both the synoptic (rational) model and the incremental model RATIONAL & INCREMENTAL THEORIES

  27. Amitai Etzioni’s Mixed Scanning Approach • Like the rational model, it explores long-range alternatives and thus avoids the conservative slant of incrementalism • Like incrementalism mixed-scanning seeks to reduce the unrealistic aspects of the rational model by limiting the details RATIONAL & INCREMENTAL THEORIES

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