This document discusses different planning theories that guide how planners approach their work. It outlines procedural planning theories, which deal with how to plan, and substantive planning theories, which address what to plan for. Several procedural theories are described in detail, including rational comprehensive planning, disjointed incrementalism, and transactive planning. The document also discusses foundations of planning theories, which seek to justify the role of planning and explain why it is undertaken. Major foundations mentioned are economic, political, and sociological rationales.

1. UNIVERSITY OF ZIMBABWE
DEPARTMENT OF RURAL AND URBAN PLANNING
FUNDAMENTALS OF PLANNING THEORY
• 2017
PLANNING THEORIES

2. PLANNING THEORIES
• INTRODUCTION
• Every action is carried out on the basis of pre-conceived idea
that tries to imagine reality. Such an idea is called theory.
Theorists try to systematise those ideas by simplifying reality
and make it easier for us to comprehend the complex
environment. They do this by abstracting from reality and
explaining what we normally take for granted.

3. MAJOR CATEGORIES OF PLANNING THEORIES
• Faludi (1973) argues that planning theory is divided into two
categories namely
• Theories of Planning (Procedural Planning Theories)
• Theories in Planning (Substantive Planning Theories)
• Other planning scholars have argued that there is a third
category of planning theories namely Theories for Planning

4. PROCEDURAL PLANNING THEORIES
• Theories of Planning (Procedural Planning Theories)
• These theories deal with how to plan. For planners to solve or
deal with certain problem situations, they do not act in an ad
hoc basis. But they follow certain procedures or predetermined
steps .These procedures are not uniform across all types of
problems as different problems require different approaches
hence the need to apply different frameworks of analysis.
• A theoretical framework of references which tries to guide how
planners should do their planning is called the procedural
planning theories.

5. TYPES OF PROCEDURAL PLANNING THEORIES
• Rational Comprehensive Planning
• Disjointed Incrementalism
• Mixed Scanning
• Innovative Planning
• Advocacy Planning
• Transactive Planning

6. Rational Comprehensive Planning
• The fundamental basis of rational model relates to the
fact that , ‘man’’ who is goal seeking is faced with a
problem of choice in choosing the best means or
instruments to achieve his/her goals.
• According to Banfield and Meyerson (1955) there are
basically there are 3 steps which are necessary to deal
with choice of means.
• The decision maker considers all the alternatives open to
him/her.

7. CONT’D
• He/she identifies and evaluates all the consequences which will
follow from adoption of each alternative.
• He/she selects that alternative which would be preferable in
terms of his most valued ends. (compare with or without
situations).
• Thus comprehensive Planning has 2 major characteristics
i. It is characterised by comprehensiveness because the
planner is required to consider all alternatives and all the
consequences of each alternative.
ii. Planning is an allocative mechanism, a means through which
resources are allocated in the most effective and efficient
manner within a comprehensive frame work

8. Criticism Of The RC Model
The R Comprehensive Model has been subjected to criticism
especially by those who favour disjointed incrementalism
• The mind is too small to grasp everything
• Difficult to assemble sufficient data
• Expensive-High cost implications.
• Limited resources-time, human resources,
• Long and dirty process –problems are not static and they shift
resulting in type error 3.
• Does not adapt to change yet planning problems are dynamic.
Lacks flexibility.

9. CONT’D
• It lacks the value laden-nature of decision making
• Optimality vs satisficing . The RC Model is an ideal approach. In
reality action is guided by bounded or limited rationality, that is,
rationality limited to the situation surrounding the problem

10. DISJOINTED INCREMETALISM
• Under this style of planning , the planner will not attempt to
achieve comprehensiveness. The proponents of this approach
maintain that comprehensiveness is an impossible ideal.
• It is difficult to achieve comprehensiveness because of a
number of factors.
• An inability to predict the future beyond 5 years.
• Inability to discover community goals upon which all members
can agree.
• A lack of knowledge of effective means to achieve goals.

11. CONT’D
• These factors force planners to work incrementally as these
problems become evident. The planners’ analysis is always
partial-focusing on particular aspects of the problem at hand
without too much concern for externalities arising from these
issues . In fact the planners’ seek to satisfice i.e to find a
solution that is satisfactory and sufficient for the moment. They
would not attempt to analyse or identify all possible solutions to
a particular problem.
• The planner will also attempt to devise programmes for
achieving a particular goal or objectives and will select
programmes appropriate to the available resources that is
strategic planning by small increments- that the science of
muddling through.

12. MIXED SCANNING
• The term was coined by Etzion (1967) but Meyerson (1956)
preferred the term Middle Range Bridge.
• It can also be referred to as the Third Approach because it is a
marriage of 2 end parts that is the synoptic idea of the RCM
and incremental models.
• It recognizes both the RCM and DI.
• The major purpose of this model is that it affords the planner an
opportunity to see the totality of the planning environment.

13. CONT’D
• At a macro level the purpose is to identify what could be called
pressing issues, danger spots and areas in need of immediate
attention. To single out a problem is not to say other areas do
not need attention but rather it is not possible do everything to
the same degree everywhere at the same time as there will be
ever a present need to consciously and continuously
discriminate in the event of attention that other areas competing
for the limited resources should receive.
• By extension the model also endorses part of the
incrementalist approach because danger sports and pressing
issues identified through the application of the model will
subsequently require a direct approach.

14. INNOVATIVE PLANNING
• First formulated by Friedman(1966) and it appears to possess
a potentially much more powerful form of planning than
advocacy planning.
• According to him this type of planning is not so visible and
therefore less consciously formulated and practiced. It is
concerned about coming up with new ideas.
• It attempts to mobilize and channel resources to some single
,new or neglected use achieving in the process the
legitimization of new social objectives.(Morgan H. P. 1974: 73

15. • The basic approach to achieve this is the creation of new
institutional arrangements which focus solely on plan making and
plan implementation. This emphasis is therefore on action and this
compels the innovative planner to mobilise and harness the largest
share of resources through the institution for a singular particular use
even though this may have severe implication for other uses and the
achievement of other values elsewhere.
• The innovative planner is more less a public entrepreneur (he/she
takes risks) . He/she potrays different behavior characteristics to the
allocative planner. These include a fairly immediate and intense
commitment to one particular solution and engagement into political
process in order to mobilise support for the solution , The concern is
to justify rather than to predict consequences. (reactive rather than
anticipative)

16. • Although innovative planning appears attractive in Regional Planning
some weaknesses have been identified,
• a wastage of resources during the period when the separate
innovations remain outside the purview of the broader nation.
• Delayed reform of basic gvt machinery itself.
• Inducement of harsh process of reform/change causing hardship and
suffering in those areas and sectors which are the responsibility of
the allocative planner.
• Innovative planning can become undemocratic form of planning
because the innovative planner is committed to one idea which he
she/he wants to pursue . The innovative planner may lose contact to
the initial problem and may impose some unwanted project onto
society which has an insufficient check.

17. Advocacy Planning
• According to Davidoff and Reiner 1973 advocacy planning is a
departure from comprehensive planning.
• Planning is viewed as a process of catering for those interests
which are not normally catered for under the public interest.
• Advocacy planner aligns with a group of people to champion
their cause and becomes a servant of their interest. The planner
becomes the voice of the voiceless, the under-represented and
those with inferior muscles.

18. CONT’D
• The basic rule is that the society is unequal, divided and
differentiated along economic, political gender, ethnic, racial
lines ie it is differentiated and composed of bigger and smaller
muscles.
• Therefore there is need to call the advocacy planner to
represent the marginalized and disadvantaged people.
Therefore planning becomes an embodiment of all interests of
the voiceless.
• The planner would identify certain groups of individuals with a
common purpose, align him/herself with them and champion
their cause. i.e. that represent their interests’.

19. CONT’D
• This model resembles the Truth Seeking Model propounded by
Paul Davidoff . This model rests implicitly on analogy with the
representation of interests in the law profession.
• An advocate Planner bases his argument on empirical evidence
/data in other words he is on a fact finding mission. However ,
there is no absolute rationality with this type of planning. It is
inclined towards a value laden or political ideology approach.

20. Transactive Planning
• Was propounded by John Friedmann. He called it the social
learning approach to planning. Its original ideas has foundations
in Chinese communist ideology and practice. It is the type of
planning that is applicable to both allocative and innovative
planning. Planners under this type of planning are required to
go to their clients so that they can tape or get their views.
Transactive planning emphasises communication(two way
between the planner and the client. It emphasises that societal
guidance is too important to be left in the hands of the planner
alone. It emphasises on face to face interaction between the
planner and the affected people. Transaction is between two
people. It is interactive in nature.

21. CONT’D
• Planners are required to go to the grassroots, listen to their
clients’ concerns capture their views and then forward their
recommendations.
• Since a transaction is between the planner and the community,
the knowledge generated is going to be localised.
• This type of planning says that the planner should have a feel of
the terrain. For this to work the planner should strive to cultivate
a degree of trust.
• The ultimate aim of transactive planning is the decentralisation
of the planning institutions., that is transactive planning from the
centre to the periphery/marginalised areas.

22. CONT’D
• In this approach planning ceases to be wholly technical, but
becomes service-oriented where it is part of the normal social
process. In other words planning becomes embedded in the normal
day to day activities of society.
• The whole planning exercise becomes action oriented , that is,
planning becomes a mutual learning process. It emphasises on
reciprocity.
• In this way planning becomes learning by doing as well as doing by
learning
• Transactive planning emphasises on social and personal
development rather than economic logic which is the whole mark of
rational planning.

23. Conditions For Successful Transactive Planning
• There should be trust between the planning agent and clients.
Trust requires that they are on equal footing. Is this possible?
• The planner and the client should go the table with a free mind
or without committed positions. There should be no incentives
because if people are given incentives their expectations will
become high.
• There should be existence of appropriate communication
mechanisms between the client and the planner. This
mechanism should allow the expression and representation of
interests at various decision levels.

24. • The success of Transactive Planning is also dependent on the political
system/environment. It can only be successful where the political
system allows bottom-up approach to planning. Otherwise it is not
applicable in a political system that has bias to top-down approach to
planning.
• That is people should have access to the different levels of planning
which should have propensity to consider their ideas, needs and
interests.
• There should be existence of special methods of conflict resolution
and mediation.

25. Problems of Transactive Planning
• Expensive mode of planning. Effective problem solution may require
the mobilisation of resources beyond the boundaries of a given
problem.
• At each level of Transactive Planning many different interest may be
included and these interests can have conflict with each other to
leading to deadlock.
• Coordination of responses working at cross purposes and having
competing claims on the same resources may be difficult.
• Response times may be delayed as information concerning a certain
problem is filtered through several layers of offices for approval and is
usually interpreted incorrectly .

26. Advantages
• It is good source of innovation as there is some mix of
hierarchical and non-hierarchical structures in planning.
• Transactive Planning is action-oriented in that the planner is
experiencing together with the subjects.
• Transactive Planning is responsive as plans are formulated in
relation to specific problems and people’s basic needs are
addressed. Planners have indepth knowledge about the
environment and hence are more likely to produce relevant
plans.

27. Theories in Planning (Substantive Theories)
• They deal with the subject matter o the substantive matters of
planning. These theories try to contextualise the whole planning
process. In much simpler terms substantive planning theories
deal with the Question ‘What to plan for?’
• Are dealing with Transport, Housing , population, project
planning, urban design, rural development, etc.
• These theories help to conceptualise or define problem under
scrutiny.
• They make it easier for planners to comprehend a situation or a
problem at hand.

28. THEORIES FOR PLANNING
• Foundations of Planning
• Theories for Planning answer the Question ‘Why Planning?’ Or
‘What is the rationale for planning?’
• They seek to justify planning intervention into human affairs.
They legimatise the whole planning process (Terry Moore
1978). These seek to answer the question, ‘Why planners do
what they do?’
• Planning is an eccletic discipline ,that is, planning descended
from different disciplines or in other words it has evolved from a
variety of disciplines. It is these disciplines that are referred to
as Foundations of Planning

29. FOUNDATIONS OF PLANNING
• Planning is naturally linked to these various disciplines which try
to justify or legitimatise its existence.
• Therefore Planning can be justified from different disciplinary
angles which include,
• Economic Rationale
• Sociological Rationale
• The Political Rationale
• Architectural/ Engineering Rationale
• Philosophical Rationale

30. Economic Rationale
• In a purely free market system economic agents pursue their own
self interests. Life is controlled by the notion of ‘Survival of the
Fittest’.
• The market led system is riddled with imperfections because the
players are led by the profit motive.
• The system cannot achieve socially beneficial outcomes and the
society at large is bound to suffer through what is called negative
externalities and this leads to what is also called market failure.
• Market failure is characterized by non-provision of public goods and
undersupply of merit goods
• Conflict is inevitable
• .

31. CONT’D
• The market fails to provide public goods or merit goods
e.g national security, education, health, etc. Merit goods
are important for social and economic development.
• Because of the market failure ,the Marxists and Liberalist
argued that there is need for a visible hand to regulate
that market.
• To the classical economist such as Adam Smith the
market is said to be imperfect and it cannot be socially
beneficial. Therefore there is need for intervention to help
it and this intervention is in the of name planning.
• Public goods theory(Terry Moore)

32. Political Rationale/ Foundation
• This foundation says that in society there is struggle between the
working class (labour) and the capitalist (ruling class).
• The capitalists are concerned with profit and exploitation and the
labour is concerned with sustainance.
• Planning is nothing more the extension of the ruling class. Planning
makes sure that the current economic situation is maintained.
• Planning is there to ensure harmonious co-existence between labour
and capital.
• It creates acceptable level/standards but the question is How?

33. CONT’D
• This done through taking care of social infrastructure, built
environment, sewer, water and reticulation services which people are
supposed to pay for through various forms of taxes/rates. By so doing
tension is reduced and development proceeds, the relations are
regulated, planning is a palliative exercise. It is like a pain killer which
provides relief to some tension. It provides relief without tackling the
problem.

34. Sociological Foundations
• This foundation says that planning has social objectives –planning has
to improve the standards of living of people (development and
wellbeing).
• There is a class theory which says that societies have classes. Societies
are fragmented along economic lines, along political lines(ruling and
the ruled) , ethnic lines, tribal lines, etc. The existence of these
classes results in conflicts which call for coordination and mediation .
• This coordination and mediation is achieved through planning
intervention. Therefore planning smoothens the terrain to avoid the
struggles. The planning profession has to work full time to understand
the situation and diffuse the tension in society.

35. • Two theories are worth noting here
• Revolutionary Theory
• This theory believes society progresses in complex manner. Everyone in
society is a product of the environment which is characterised by complex
interactions. It is this complexity which needs to be smoothened.
• Conflict Theory
• Society here is analysed in terms of conflict and power . In all societies
conflict and power struggles are inevitable. There is need for collaboration
in order to come to compromises, resolution and re-orientation.
• It is planning that assist in this conflict resolution.

36. Architectural/ Engineering Rationale
• The genesis of planning can be traced to environmental
determinism (ED) which says that if you manage the environment
especially the built environment you will improve the lives of the
people. ED draws from architecture ,engineering and public health.
• ED cropped up as an important contribution to planning because
there was a reform movement in planning. The fields of architecture
,engineering and public health gave the initial impetus to planning
which was basically a reactionary measure to the ills associated with
urbanisation and industrialisation of the old cities.
• This gave birth to ED which says that the lives of people could be
improved through good urban designs, that is, a good built
environment in terms of the building and infrastructure.

37. CONT’D
• The medical profession also played a crucial role in influencing
planning intervention. Overcrowding associated with rapid
urbanisation led to the spreading of diseases such as the
infamous Spanish flu. This then led to the enactment of various
public health Acts which are now pillars of the planning
profession.
• Pollution was also seen as weakening human life. Other
problems included disposal of human waste which was not
safe and lack of fresh air because of overcrowding .
• All these problems called for solutions which came in the form
of planning interventions which required
• Zoning of land uses especially separating industrial and
residential uses.

38. CONT’D
• The setting of building and health standards to improve the physical
environment.
• Coming up with urban designs which encourage efficient use of
resources and energy.

39. Philosophical Rationale
• Philosophy is the science of ideas, thoughts and logic.
• The question which is always coming up is , ‘Ís it necessary to
have planners?.
• Planners respond to this in the affirmative, ‘Yes’.
• Planners claim to have an epistemological basis to do planning
• Only planners can be planners by virtue of their expertise
• They are well equipped to do planning.
• The field of planning is too important to be left to common
people.

40. Ethical Rationale
• Ethics is about what is right /wrong
• Planners are said to be morally upright beings
• They determine what is right or wrong for society
• Avoid the bad and enhance the good.
• Taking into consideration issues of norms and values planners
try to reach some compromise.
• However, the ethical challenge in planning is moral justice
• and reaching compromises.

41. PROCEDURAL AND SUBSTANTIVE DEBATE
• There has been an ensuing debate as to whether there is a
separation /disjuncture/dichotomy between substantive and
procedural planning theories.
• One school of thought maintains that there is no separation between
substantive and procedural planning theories.
• While another argues that theories of planning should be considered
in isolation from theories in planning. There is no detachment
between the two. Separation can only be accepted solely for
conceptual classification but when it comes to planning practice can
talk about the separation.

42. CONT’D
• Those who advocate for separation between the two hold the view that
the way we approach planning problems is uniform / the same regardless
of the structure or structure or taste of the problem.
• They believe that the procedure or methodology which we employ are
static or rigid regardless of the way we comprehend the planning
phenomenon.
• However in reality the strategies /means which we employ are always
adaptive to the planning circumstances in which our object or subject of
study is found.
• Advocating for separation between the 2 is just as good as saying the
planning methodology is very much divorced to the subject matter of
planning. In other words in practice the planners strive to keep a distance
from the subject matter of planning.

43. Cont’d
• WHY KEEEP A DISTANCE?
• To avoid contamination. i.e. they are striving to achieve objectivity.
• Separating the planners from the subject matter of planning could
imply that planners are alien beings living on their on planet where
there are other people. i.e. planner are not part and parcel of the
society they are planning for. A common definition of planning
therefore emerged which tries to relate procedural planning theories
to substantive planning theories.
• Planning is now often seen as the application of rationale procedures
to substantive areas.
• Scholars like Faludi have argued that there is no separation between
substantive and procedural planning theories . To Faludi the relation
between the two is one of an envelope and a letter.

44. • Substantive/Letter Procedural/Envelope
• Means End
• Substantive planning theories in the urban context are basically
theoretical propositions that pertain to morphology of cities.
They aid planners in comprehending the process involved in
city planning.
• Substantive planning theories help us to comprehend the
phenomenon being studied . The (how) procedure part is not
divorced from the subject of study .e.g. rural poverty is
understood well from poverty theories .i.e is poverty an
institutional concern, is it an economic concern , is it spatial
marginalisation etc.

45. CONT’D
• If it is spatial marginalisation then relocation re-location be the
physical strategy. If it is one of institutional weakness, then
there will be need for institutional strengthening through
capacity building or increasing the level of involvement in
certain developmental activities.
• If it one of economic deprivation then financial assistance will be
possible solution.
• A definition of planning as a process applicable to various sub-
context has gained attention among modern planners . The
planning method being employed therefore will largely be
dependent on the phenomenon being planned for since a
planning action cannot be considered in isolation from the
object that is being planned for from that are affected.