Why we need Communicative Planning ------------------------------------------------- GIS-based modeling is stimulating changes in the fields of ecological research, resource management, and even ecologically-inspired politics. Within ecological research, the analytic and representational abilities of GIS have facilitated the introduction of a host of new ideas, including habitat fragmentation, wildlife corridors, and the patterns and periodicity of disturbances like fire, storms, and pest outbreaks. Within resource management, GIS technology and associated digital databases has expanded the power of managers by making it possible to keep track of the location and status of timber, water resources, and wildlife over wide areas. Within the realm of ecopolitics, data integration and mapping within GIS has facilitated the development of new concepts for managing nature at a scale variously called 'bioregional' or 'ecosystem' or 'landscape' (Miller 1996). Small wonder that one particularly enthusiastic promoter, the director of the Great Barrier Reef Marine Park Authority, has said, "Nature conservation is best served when there are adequate databases of biological, geological and pedological information, linked through a sound cadastral base.� (Bridgewater 1993). However, despite the availability of powerful statistical techniques, suitable data sources, and unprecedented computing capability, there have only been a scattering of efforts to employ GIS-based modeling platforms to address complex policy issues. A few promising attempts have been made in special places such as the Greater Yellowstone Ecosystem (Goldstein 1992) and a some effort has been made to couple GIS to a legislative mandate, such as multi-species Habitat Conservation Plans under Section 10a of the Endangered Species Act (Beatley 1994). However, GIS modeling has not been widely adopted to mediate environmental disputes between environmentalists, industry and agriculture, government, and the other participants in regional land and resource politics. Technological complexity, novelty, and cost certainly have a role in explaining this neglect, as well as the difficulty involved in creating empirically rigorous models that combine ecological and economic variables. But the greatest obstacle to widespread adoption is neither technical nor logistical. Time and time again, complex GIS-based models have been developed in isolation from the planning and policy-making environment, only to be ignored or scrutinized with great suspicion by key stakeholders. The solution to this divide between modeling and policy isn't more precise and accurate models, more user-friendly interfaces, or even a more sophisticated implementation strategy, utilizing techniques from marketing research and social psychology to overcome the resistance of comfortable old habits (Rogers 1995). Instead, we have to abandon the habit of designing the GIS first and only later thinking about model implementation. This approach violates the simple principle that, unlike a model intended purely for scientific research or efficient management, an effective planning model must be compatible with the values and knowledge of its users, as well as the way they interact politically. With this principle in mind, our question becomes, "How do we create an scientifically credible model that is integrated into the procedures through which communities actually form opinions and make decisions?" This is a tricky hybrid question, neither wholly about empirical modeling nor simply about public policy. Fortunately, research within the discipline of Urban and Regional Planning provides both an insightful critique of the failures of past GIS approaches and an exciting new set of theories and methods, which form the basis of the modeling strategy of University of California at Santa Cruz's California Biodiversity Project (CBP). Accordingly, this paper will attempt to demonstrate how many of the flawed implementation strategies adopted by GIS modelers recapitulate lessons learned over the last century in American planning theory and practice. These lessons are then consolidated with a new planning approach, called 'communicative planning', that could provide GIS modelers with the ability to make a significant contribution to policy and planning, and perhaps even catalyze changes that have long been forecast as a result of the GIS 'spatial revolution' but are rarely realized, such as bioregional and ecosystem management. This paper will conclude with a description of our attempt to apply the concept of communicative planning to the design of the ecological sub-model of the California Biodiversity Project, a three-year effort to help participants in county land-use planning understand the implications of changing land-use and development trends on regional biological diversity and mobilize effective policy responses to these impacts. Before I describe the new approach of communicative planning that we have adopted in the design of the California Biodiversity Project, I will review the two most common approaches that GIS modelers take when they try to build a bridge from their technical knowledge to planning efforts. It is my intent to demonstrate that these two planning alternatives are inappropriate for the California Biodiversity Project, the first (comprehensive rational planning) because it is based on erroneous assumptions about both modeling and politics and the second (policy analysis) because biodiversity planning cannot be defined without controversy or confined within a public or private institution that can act without outside interference. Despite these limitations these two approaches are almost universally relied upon, because the only widely recognized alternative, 'advocacy planning' or 'social mobilization' is generally associated with the work of social activists, a role usually thought inappropriate for government agencies or universities conducting government-funded research (our work is funded by the National Biological Service, a branch of the United States Geological Survey). As I will show, communicative planning provides a way out of this conceptual straightjacket. The Comprehensive Rational Planning Approach to Planning ------------------------------ Simply put, comprehensive rational planning is a form of social engineering, a replacement for politics and political participation. It flowered in the U.S. during the early part of this century, when public opinion reacted to the political corruption and Social Darwinism of the gilded age, and burgeoning industrialism and urbanization were accompanied by new levels of social coordination and control. Planning was offered as an alternative to politics, a means of employing a 'calculus of consent' to objectively measure the impacts of different public policies and choose the one that most efficiently served the public interest. Comprehensive rational planning demanded an end to politics, superseding the elected leader with the social technician, who measures collective values and develops collective plans outside of democratic control. This approach reached its high water mark during the Great Depression, when Roosevelt's 'New Deal' brought about an unprecedented surrender of authority to the planning bureaucracy by the demoralized citizenry. Some comprehensive planning advocates had even greater ambitions, such as Rexford Tugwell's 'superpolitical' societal coordination by a fourth branch of government operating outside of politics. Tugwell envisioned a revolution of rationality, abolishing freedom of markets and other arenas of conflict in favor of consensual social coordination from the top. While these ideas stood little chance of implementation, they stand as a pure expression of the spirit of comprehensive rational planning. Post-war inheritors of this tradition were more conciliatory to democratic practices. Some, like Amitai Etzioni, searched for ways to incorporate public participation within controlled conditions established by scientific planning specialists within a rational planning process (Friedmann 1987). A key feature of post-war comprehensive rational planning was the use of comprehensive information systems and economic and social indicators, combining concepts from macroeconomics and macrosociology with complex quantitative analysis. The burgeoning power of computers increased the capacity of planners to develop ambitious social analyses, and lent greater scientific legitimacy to comprehensive rational planning, which had been criticized for demonstrating an inadequate understanding of social and economic forces. One example of computer- assisted social analysis are the sophisticated macroeconomic analyses conducted by the Federal Reserve Board, which are a primary justification of the devolution of political authority to an appointed committee of bankers to regulate interest rates. The recent development of expert systems and artificial intelligence has also facilitated the incorporation of social values into decision making outside of a political process1. The possibility of explicit incorporation of social values into a GIS is quite enticing to an modeler who wants their work to benefit society. GIS can make it possible to measure the preferences of people in different locations and link these preferences to the disposition of the goods at different sites (e.g. zoning, infrastructure investment). GIS has the capability not only to calculate an optimal outcome in the present, but also to run series of simulations of the impact of different decisions, whose merits can be judged relative to a social optimization calculated by the modeler/planner. One GIS application that demonstrates this approach is Robert Costanza's Patuxent landscape model (Costanza and Wanger 1993). This model combines economic and ecological sub- models, modeling changing sediment and nutrient loads in a watershed as farmers change land use practices in response to market conditions. Simulating the entire range of societal preferences is beyond the capabilities of most modelers. However, there is one example of a modeling system that has many features of a GIS, that incorporates social preferences, simulates societal development through time, permits the modeler a great diversity of opportunities to influence social development through nearly the entire range of urban and rural land use and infrastructure decisions, and costs about $49, delivered in a colorful box with a good manual. This remarkable product is SimCity, a spatial simulation package from the MAXIS Corporation that has sold over a million copies to budding comprehensive rational planners throughout the world. The power of SimCity software to combine social choice with spatially-explicit simulations of land use and landscape change presents a clear embodiment of the comprehensive rational planning ideal. Behavior of 'Sims' (the simulated citizens) varies depending on the opportunities and constraints controlled by the Mayor/model user (and the occasional random generation of a fire, riot, or rampaging monster). However, the illusions of democracy vanish when you consider how the economic and social preferences of the 'Sims' are calculated: only SimCity's programmers take individual and collective values into account to determine the suitability of particular social arrangements (and reward the user for creating these arrangements with simulated popularity, population growth and the financial means to grow the city). Why Comprehensive Rational Planning is a Failure ----------------------------------------- While comprehensive rational planning has undeniable appeal (I confess to owning the latest version of SimCity), it does not provide a planning template for the California Biodiversity Project. For one thing, the programmers of SimCity do not have to reckon with three basic limitations on comprehensiveness that we face: 1. The data may not be available to represent biodiversity or land use change. Many of the government data series available at the county and regional scale are gathered opportunistically to satisfy environmental impact review, and other sources are gathered to satisfy traditional agency objectives in ways that might not pertain to new concerns such as biodiversity. For example, when the Pacific Northwest spotted owl controversy was heating up in the late 1980�s, the Forest Service had great difficulty identifying the boundaries of old-growth forest because they had always classified forest type by stand volume and tree diameter-at-breast-height, instead of coarse woody debris, presence of indicator species, and other dimensions of an old growth forest. 2. Modeling components may not articulate because they operate at different temporal and spatial scales. Many of the socioeconomic processes associated with environmental variation are more rapid than ecological processes at the county scale (Doke 1995), and process dynamics are governed by constraints operating at different scales (Allen and Hoekstra 1992). Resolution disparity is compounded by irreconcilable spatial data. Ecological data is usually aggregated at scales that have some functional relationship to the process in question, while socioeconomic data is aggregated by administrative or jurisdictional metrics. For example, the U.S. census data is aggregated by census zones, spatially irregular aggregations of houses that bear only a secondary relationship to the underlying terrain (Martin and Bracken 1993). 3. There are few approaches, concepts and features that are useful to bridge between ecological and socioeconomic phenomena. We know that ecological elements that comprise biodiversity are sensitive to human disturbance, and that people are drastically altering their environment through habitat conversion, resource extraction, and a multitude of other activities both on and off-site. Yet there are no empirically-derived algorithms to calculate the ecological impact of changing human population density, or good general rules for predicting which biological elements can coexist with forestry or agriculture, or adjacent to a road. Even framing problems like these may face daunting theoretical and methodological obstacles. Recent inquiry into the philosophy and sociology of science has replaced the notion of a steady and seamless accumulation of knowledge with the idea that scientific disciplines develop knowledge in isolation from each other, relying on fundamentally different paradigms, research methods, and technical languages (Kuhn 1970). In addition to these limitations, comprehensive rational planning requires a number of unsupported assumptions about society. First of all, calculation of an "optimal" state of society using comprehensive rational planning models relies on the assumption that social systems are equilibrial and human preferences are static. For example, SimCity's 'Sims' do not change in the way they respond to the provision of infrastructure or economic incentives, and are immune to social and economic change from outside their domain. Needless to say, social and economic relations in California's counties hardly exhibit such stability, and their residents are notoriously susceptible to changes in opinion. Most good spatial models of land use change (e.g. Zhang and Landis 1995) use logistic regression equations to extrapolate on the basis of past growth trends, which can only approximate the present because of variation in the economy, rapid spatial restructuring of industrial location in the 1990's, variation in population growth, and a myriad of other variables that impact human distribution patterns. Furthermore, comprehensive rational planning presumes that policy making can be modeled as a rational process, that political agents are endowed with unbounded rationality, and that there are no legal or institutional constraints on policy implementation (Friedmann 1973). The actual policy context of the CBP is about as far as you can get from these assumptions - political authority in California counties is fragmented and subject to passion and ideology, county land use policy is bounded by a host of legal and institutional constraints, and any single institutional actor holds limited knowledge about ecological and social change, whether they are a county supervisor, director of a regional environmental advocacy group, or a real estate developer. And there are few planners left who would argue that this inefficient and sometimes inequitable process should be discarded in favor of rational comprehensive planning. Advocates of this position are called 'technocrats', and scorned for their lack of respect for the institutions and practices of representative democracy (Fischer 1990). The Policy Analysis Approach to Planning ------------------------------------------------- After W.W.II planners carved out a more modest role for their craft. Because of their inability to either derive or justify reliance on a single rational comprehensive model, planners were urged to address specific social grievances and allow themselves be subject to the political process (Popper 1959). Charles Lindblom suggested that no single individual or institution could possibly predict, let alone implement, the policies that result from competition and conflict between political actors (Lindblom 1959). Instead, Lindblom advised that planners devote their efforts to making decision analysis widely available, enhancing the autonomy of individuals, and improving the ability of people to communicate among themselves. Other planners, such as Saul Alinsky, learned to act as advocates for less powerful interests rather than social engineers working for an abstract public interest. These advocacy planners anticipated resistance instead of conformity in response to their suggestions and innovations (Friedmann 1987). There are a few examples of an advocacy planning GIS. In South Africa, Trevor Harris and his colleagues sought to empower politically marginal black township people (Harris et.al 1995). Harris focused on incorporating local knowledge into the database, enhancing access to the technology, and using the model to change the practices of local land use planners. The process wasn't easy: Harris had great difficulty defining how people should participate, given the complex power relations in the community. However, because of the expense and complexity of GIS modeling efforts, the great majority were developed either to support a particular position (evidenced by the proliferation of 'hired gun' research and policy consultants), or focus on technical analyses intended to increase government and industry efficiency and reliability, leaving determination of social value to elected officials. A widely acclaimed example of the latter approach is the GIS-based National Gap Analysis Program, intended to identify gaps in the representation of biological diversity within protected areas (Scott et.al. 1994). GAP analysis is firmly circumscribed by scientifically validated procedures, and scrupulously excludes any overt mention of human values, environmental politics, or the perception of communities living on the lands that it encompasses. As the lead Gap Analysis researchers wrote, "Gap Analysis is a powerful and efficient first step toward setting land management priorities."(Scott 1994). The Limits of Policy Analysis ------------------------------------------------------------------ Adopting an open advocacy position is clearly inappropriate for the California Biodiversity project, a government-funded, university-run effort to help communities develop an understanding of the cumulative impact of development and land use practices on biodiversity. A natural choice would be the other alternative, a policy science approach that demonstrates how communities can efficiently allocate development in way that preserves as much biodiversity as possible. The great majority of GIS applications adopt this strategy. Sadly, this approach is as infeasible and misguided as the comprehensive rational planning model. Land use planning and biological conservation are not topics that are amenable to rational and efficient solutions followed by implementation by the private sector or a government agency. Instead, they are hotly contested fields in which stakeholders engage in conflict within a host of different political venues and cannot even reach agreement on common terms of reference, let alone an optimal solution. At most, the policy analysis approach would provide ammunition for one side to lambaste their opponents, a result that would not accomplish CBP's goal of encouraging creative county-level growth management activities by fostering an understanding of the relationship between environment and development. Not all fields within GIS modeling are contested, of course. Sometimes private enterprise holds a reasonable monopoly over decision making, such as in deciding where is the most profitable place to site a new facility, or what the rotation schedule for timber should be on private land. Some areas in the public domain are similarly uncontested, such as determining the fastest way for emergency services to reach an accident site, or topographic mapping. Also, some policy arenas where there are a variety of possible ways to conceptualize or interpret a problem are still dominated by a single problem definition. In these cases, expert analysis may reinforce a dominant view, keep the issue confined to institutions where special interests can best be served, and restrict who can participate in the discussion by using arguments about issue complexity or the neutrality or inevitability of social impacts (Baumgartner and Jones 1993). The military-industrial complex enjoys this sort of dominant position over defense policy, as does the medical establishment over many aspects of health care. Environmental issues are rarely amenable to dominance by a single stakeholder, although advocates of different positions have frequently tried to evade controversy by defining problems in narrow terms. For example, state agencies commonly use GIS to locate a hazardous waste disposal site, attempting to focus efforts on identification of the most economically efficient site, rather than consideration of the relative benefits of source reduction or recycling. However, though agencies and corporations prefer to solve the hazardous waste question in this way, local residents often mobilize to reject their assigned role in the social welfare model. Similarly, property owners and corporate interests have proven that they can mobilize to undermine scientifically-based biodiversity management efforts, either by commissioning their own expert analysis or through legal action. There are usually plenty of avenues for different stakeholders to intervene in an environmental debate, including different levels of government (e.g. local, state, federal), different stages of the policy process (e.g. agenda setting, policy implementation), and different government institutions (e.g. the legislative and executive branches, the courts). Not only are there a myriad of opportunities for participation in environmental issues (many of which provide effective veto power over a proposed action), but environmental issues are open to multiple interpretations. Biodiversity is one of the most flexible environmental terms. Over the past decade, biodiversity has replaced species diversity as the focal point of conservation, increasing conservationist's ability to introduce different ecological subdisciplines into conservation policy, while remaining ambiguous about the relative weight applied to its constituent elements. In the Global Biodiversity Strategy, a widely disseminated document, biodiversity emphasizes genetics, species and ecosystems, gives second billing to the subdisciplines of community and population ecology, and mentions human cultural diversity in passing (World Resources Institute 1991). The ability to define and weight the term in a myriad of ways, and their implicit relationship to other widely held social values (including cultural diversity and wilderness conservation), makes biodiversity a term that resists definitive expert definition. Because of this ambiguity, biodiversity has to be actively defined each time it is used. The Right Choice: Communicative Planning ------------------------------------------------ The communicative planning approach that the California Biodiversity Project has adopted is an method to deal with these conditions of uncertainty and conflict. The three main components of this approach are; (1) examining problems from the perspective of community stakeholders as well as empirical experts; (2) basing the model on the concept of negotiated, rather than received knowledge, and (3) emphasizing dialogue within small groups as the ideal environment for social learning. The communicative approach is particularly appropriate for cases in which no single stakeholder can implement policy without coordinating with others, and where the definition as well as the solution to the problem is contested. The communicative approach overcomes the partiality of policy analysis by relying on techniques developed in the practice of conflict mediation and alternative dispute resolution. Rather than providing stakeholders with intellectual ammunition to engage in conventional political struggles, communicative planning strives to bring stakeholders together under conditions where there is a lack of coercion and domination between participants, an equality of access to information, and representation of all relevant interests. Under these conditions, people with different values may be able to build a common problem definition, as well as build the foundation for understanding and trust. In addition, by engaging all of the stakeholders in a process of mutual accommodation, communicative planning also corrects for the fatal drawbacks of comprehensive rational planning. In a recent paper, planning theorist Judy Innes describes how this works; (1) Instead of attempting to scientifically determine the public interest, communicative planning fosters the formation of political will between representatives of the community by promoting dialogue; (2) Rather than trying to set collective goals in isolation from political interaction, communicative planning encourages stakeholders who have knowledge of the way decisions are made to develop a strategy that can be implemented through the political process; (3) Modelers are relieved of the responsibility of making political choices, confining their efforts to providing analytic and regulatory expertise and facilitating the process; (4) Instead of assuming that stakeholders will cooperate to reach common goals, communicative planning provides a process for stakeholders to enhance their capacity to cooperate; (5) Rather than requiring integration of all the details of a comprehensive plan, the communicative planning process yields a set of general guidelines and strategies that can be fleshed out through the conventional decision making process; (6) Communicative planning does not produce a single plan, which would threaten the desire of stakeholders to maintain their influence over the policy process and address individual topics as they arise; (7) The planning procedure allows stakeholders to build on small agreements, rather than requiring them to vote up or down on a complex package they are unfamiliar with (Innes 1996). Applying Communicative Planning to the California Biodiversity Project ------------------ Communicative planning radically alters the role of California Biodiversity Project researchers. Instead of deciding on the components of each sub-model and determining parameter weighting through expert consultation or a literature review, we are convening two workshops. One workshop will bring together local and regional ecological experts, and the other representatives from the principle county stakeholders. We will employ dispute resolution and consensus building techniques to develop a consensus on the three fundamental features of our ecological sub-model; (1) a basis for comparison and weighting between biodiversity elements(e.g. importance ranking or weighting coefficients of different elements of biodiversity to permit assessment of cumulative impact of different development scenarios); (2) the relationship between biodiversity elements and different types and intensities of land use (e.g. the thresholds at which housing density impairs and destroys the ecological value of an Oak Woodland patch); and (3) recognition and evaluation of landscape-scale ecological features, such as corridors or patch area. While this approach relieves us of the burden of establishing and defending one particular formulation of biodiversity, we have to have to mediate between the expert knowledge of the ecologists and planners and the knowledge of each stakeholder, since acceptance of the output of the combined model by the stakeholders is crucial to our efforts to provide a framework for community discussion of biodiversity. We will also use our workshops to foster dialogue about policy initiatives that can be derived from the trends revealed by the analysis. In contrast to a comprehensive rational planning effort, the CBP will not create a map of a single county development pattern that purports to minimize impact on biodiversity. Instead, model users will be able to alter the definition of biodiversity to explore how different development patterns influence different combinations of ecological resources. The choice of how to weight biodiversity will be influenced by the ecological questions being asked, the expertise available to conduct the weighting, the policy environment (including time frame, policy issues, and constraints) and the regulatory tools available of the model user. For example, if a county was attempting to avoid biodiversity 'train-wrecks' such as an endangered species listing this would suggest weighting the presence of at-risk species, such as State-designated Species of Special Concern. Alternatively, if the county were interested in integrating their protected area and open space lands with state-wide conservation priorities, they might select a more holistic definition of biodiversity, systematically combining species and habitat criteria. This flexibility is crucial, since stakeholders in each county will be motivated to participate in this modeling effort because of their inability to solve different sets of biodiversity and development policy issues. After we integrate the ecological and socioeconomic sub-models and develop a user interface that allows users to alter model assumptions and derive results in a readily understood format, we intend to convene a third workshop in which we will assist the same stakeholders who helped develop the model to explore the ecological impact of different growth scenarios and discuss what policy actions they might undertake to improve growth control measures in the county. Possibilities include a published report with model results and analysis, a combined initiative to amend habitat protection ordinances to take cumulative impacts into account, recommendations to improve GIS capability within the county planning, and distribution of a CD-ROM with a variety of development scenarios developed for educational purposes. Regardless of the direction chosen, we think that one of the most important benefits of this modeling process will be improvements in the level of communication and collaboration among stakeholders between players, as a result of greater agreement on both basic facts (e.g. what is biodiversity, how does development impact it) and on appropriate policy responses (Innes 1994). Conclusion ------------------------------------------------------------------------------------- The California Biodiversity Project is intended to enable participants in county land-use planning to design protected areas, craft regulatory strategies and zoning schemes to protect biodiversity, or conduct a wide range of other activities. The emphasis is on flexibility, accommodating a wide range of planning needs and growth scenarios. Our modeling design will offer interested parties the capacity to vary factors systematically, allowing them to overlay a community-generated vision of biodiversity with socioeconomic scenarios constructed by economists and regional planners working at the county scale. A communicative planning model provides a superior foundation for this modeling strategy, extracting many of the worthwhile features of comprehensive rational planning and policy analysis while helping to attract the interest and commitment of the important stakeholders in our pilot counties. We hope that our work will demonstrate a cure for the frustration that many modelers feel after they develop sophisticated GIS-based models, only to have them ignored by planners and policymakers. We also hope that our work can contribute toward overcoming the ideological, organizational, and intellectual obstacles that have prevented communities from addressing the terrifying social and ecological consequences of the gradual loss of regional biodiversity. Acknowledgements: I appreciate the efforts of Michael Soule, Jim Estes, Steven Minta, Pete Stine, and Chris Cogan in designing and collaborating on the California Biodiversity Project. EndNotes: 1 Expert systems are a method of querying a population (generally of technical specialists) in a way that reduces their capability to personally influence one another's opinion, creating a statistically defensible summary of their collective judgment. Artificial intelligence takes this one step further, determining the steps by which experts formulate judgment and systematically organizing these steps. 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